Untitled

Dedicated to my significantly better half, Asha,
and
my professional fraternity.
Also, to you, the reader

in the hope that understanding of
good-quality EIA report preparation will improve.
CONTENTS
List of Figures, Tables and Boxes.......................................................... xviii
Preface..................................................................................................... xxi
Acknowledgments .................................................................................. xxiv
Chapter 1 .................................................................................................... 1
Environmental Management
1.1. Environmental management .......................................................... 1
1.1.1 Environmental management and corporates ........................... 2
1.1.2 Audit and resource management ............................................ 3
1.1.3 The scope of environmental management .............................. 4
1.1.4 Approaches to environmental management ........................... 5
1.1.5 The cost of environmental degradation .................................. 6
1.2. Sustainability and sustainable development ................................... 7
1.2.1 Sustainability and sustainability principles ............................ 7
1.2.2 Sustainable development ........................................................ 8
1.3. Environmental legislations ............................................................. 9
1.4. Environmental management decision tools.................................. 12
1.4.1 Environmental management tools ........................................ 13
1.4.2 Classification of environmental management decision tools .... 14
1.4.3 Environmental management systems and business
management .................................................................................. 15
References........................................................................................... 16
Chapter 2 .................................................................................................. 18
The Basics of Environmental Impact Assessment
2.1 EIA: definition .............................................................................. 19
2.2 Objectives of EIA ......................................................................... 20
2.3 Principles of EIA........................................................................... 22
2.4 Background to the evolution of EIA ............................................. 25
2.5 Historical developments of EIA .................................................... 25
2.6 Understanding E, I, and A of Environmental Impact Assessment ..... 29
2.6.1 Environmental ...................................................................... 29
2.6.2 Impact ................................................................................... 32
2.6.3 Assessment ........................................................................... 37
viii Contents
2.7 Risk assessment ............................................................................ 38

2.7.1 Environmental risk assessment............................................. 39
2.7.2 Risk assessment methodology .............................................. 40
2.8 Environmental management program ........................................... 41
2.9 Integration of risk assessment into EIA ........................................ 43
References........................................................................................... 45
Chapter 3 .................................................................................................. 51
Environmental Impact Assessment: Process
3.1 Screening ...................................................................................... 51
3.1.1 Who carries out the screening and when? ............................ 52
3.1.2 Screening methods ............................................................... 52
3.1.3 Application of screening methods ........................................ 61
3.2 Scoping ......................................................................................... 61
3.2.1 What is scoping? .................................................................. 61
3.2.2 Key objectives of scoping .................................................... 63
3.2.3 Scoping process .................................................................... 64
3.2.4 Guiding principles ................................................................ 64
3.2.5 Scoping methods .................................................................. 65
3.2.6 Stakeholders involvement in scoping .................................. 71
3.2.7 Importance of scoping .......................................................... 72
3.2.8 Who carries out scoping and when? ..................................... 73
3.2.9 Application of scoping methods ........................................... 74
3.3 Consideration of alternatives ........................................................ 74
3.3.1 What is the consideration of alternatives .............................. 75
3.3.2 Importance of the consideration of alternatives.................... 75
3.3.3 Scope of analysis of alternatives .......................................... 75
3.3.4 When to consider alternatives?............................................. 76
3.3.5 Types of alternatives ............................................................ 78
3.3.6 Methodology of the consideration of alternatives ................ 81
3.3.7 Who undertakes the consideration of alternatives? .............. 84
References........................................................................................... 84
Chapter 4 .................................................................................................. 87
Environmental Impact Assessment: Methodologies and Techniques
4.1 EIA methods and techniques......................................................... 87
4.2 Requirements of methodology ...................................................... 93
4.2.1 Impact identification............................................................. 93
4.2.2 Impact prediction.................................................................. 95
4.2.3 Impact assessment ................................................................ 95
Handbook of Environmental Impact Assessment: Concepts and Practice ix
4.3 Methodology selection .................................................................. 96

4.4 Impact prediction and evaluation/assessment ............................... 97
4.4.1 Quantitative form ................................................................. 97
Air dispersion modelling.......................................................... 98
Classification of air pollution dispersion models .................. 106
Characteristics of air pollution dispersion models ................ 109
4.4.2 Qualitative form ................................................................. 117
Likert Scale ............................................................................ 117
Battelle Environmental Evaluation System............................ 118
Leopold Matrix ...................................................................... 119
References......................................................................................... 120
Chapter 5 ................................................................................................ 122

Preparing for Environmental Impact Assessment
5.1 Aims and objectives of EIA ........................................................ 122
5.2 Project development and site selection ....................................... 125
5.3 Terms of reference ...................................................................... 127
5.4 An EIA team leader .................................................................... 138
5.4.1 Tasks of an EIA team leader .............................................. 140
5.5 EIA functional professionals ....................................................... 142
5.6 Quality management system ....................................................... 144
5.7 Structure of the EIA report.......................................................... 149
5.8 Executive summary ..................................................................... 155
5.8.1 What is an executive summary? ......................................... 155
5.8.2 Executive summary of EIA report ...................................... 156
5.8.3 Preparation of an executive summary of an EIA report ..... 156
5.9 Description of the project............................................................ 158
5.10 Description of the environment................................................. 161
5.10.1 The need for environmental baseline conditions .............. 161
5.10.2 Information for environmental baseline conditions .......... 161
5.10.3 Study area ......................................................................... 163
5.10.4 Terms of reference............................................................ 164
5.10.5 Environmental baseline monitoring.................................. 164
5.10.6 Representation of baseline data ........................................ 165
5.10.7 Concept of a moving baseline .......................................... 166
5.10.8 Establishing realistic baseline conditions ......................... 168
5.11 EIA and mitigation measures .................................................... 168
5.11.1 Environmental impact assessment stages ......................... 170
5.11.2 A conceptual approach to EIA ......................................... 171
5.11.3 Technology and process design ........................................ 174
x Contents
5.11.4 Impact assessment ............................................................ 175

5.11.4.1 Involvement of the EIA team leader ......................... 191
5.11.4.2 Realistic impact assessment ..................................... 192
5.11.4.3 Impact assessment: air environment ........................ 193
5.11.4.4 Noise environment ................................................... 197
5.11.4.5 Water environment................................................... 197
5.11.4.6 Land environment .................................................... 198
Soil ................................................................................... 198
Land use/land cover, landscape ....................................... 200
5.11.4.7 Ecological environment ........................................... 201
5.11.4.8 Social environment .................................................. 202
5.11.4.9 Risk assessment ........................................................ 203
5.12 Establishing the significance of impacts ................................... 204
5.12.1 Significant impacts ........................................................... 204
5.12.2 Basis of determining the significance............................... 205
5.12.3 Determination of significance .......................................... 208
5.13 Mitigation measures .................................................................. 209
5.13.1 Why incorporate mitigation measures? ............................ 209
5.13.2 Objectives of mitigation measures ................................... 210
5.13.3 Hierarchy of mitigation .................................................... 211
5.14 Residual environmental impacts ............................................... 214
5.15 Consideration of alternatives .................................................... 217
5.16 Environmental management program ....................................... 219
5.16.1 What is an environmental management program? ........... 219
5.16.2 Why is an environmental management program
required?...................................................................................... 220
5.17 Other aspects ............................................................................. 221
5.17.1 Neglected impacts ............................................................ 221
5.17.2 Addressing uncertainty in impact predictions .................. 223
5.18 Output of an EIA study ............................................................. 223
References......................................................................................... 224
Chapter 6 ................................................................................................ 229

Conducting an Environmental Impact Assessment
6.1 The EIA team leader ................................................................... 229
6.2 Functional professionals ............................................................. 232
6.3 Kick-off meeting ......................................................................... 235
6.4 Description of the project............................................................ 237
6.5 Establishing environmental baseline conditions ......................... 237
6.5.1 Baseline data ...................................................................... 238
6.5.2 Baseline monitoring of the environmental components ..... 241
Handbook of Environmental Impact Assessment: Concepts and Practice xi
6.5.2.1 Air environment ......................................................... 241

Considerations for establishing air environmental
baseline conditions ..................................................... 243
6.5.2.2 Noise environment ..................................................... 247
Output of the establishment of baseline conditions .......... 248
6.5.2.3 Water environment..................................................... 249
Considerations for establishing water environmental
baseline conditions ..................................................... 252
6.5.2.4 Land environment ...................................................... 255
Soil ................................................................................... 256
Land use/land cover ......................................................... 256
Landscape and visual environment .................................. 257
Output of the baseline conditions ..................................... 258
6.5.2.5 Ecological environment ............................................. 259
6.5.2.6 Social environment .................................................... 264
6.5.2.7 Risk assessment .......................................................... 268
6.6 EIA on different environmental components and mitigation
measures ...................................................................................... 270
6.6.1 Air impact assessment and mitigation measures ................ 270
6.6.1.1 Impacts of air pollutants ............................................ 270
6.6.1.2 Air pollution prediction modelling............................. 272
6.6.1.3 Source data-related information ................................ 274
6.6.1.4 Selection of prediction models ................................... 275
6.6.1.5 Fugitive emissions ..................................................... 275
6.6.1.6 Output of air dispersion prediction models ............... 276
6.6.1.7 Brownfield projects .................................................... 277
6.6.1.8 Impact significance .................................................... 277
6.6.1.9 Mitigation measures .................................................. 279
6.6.1.10 Output of an air environmental impact assessment ... 281
6.6.1.11 Odor nuisance .......................................................... 282
6.6.2 Noise impact assessment and mitigation measures ............ 284
6.6.2.1 Impacts of noise and vibration................................... 284
6.6.2.2 Identification of sources of noise and vibration ........ 285
6.6.2.3 Prediction of noise levels ........................................... 288
6.6.2.4 Noise impact assessment ............................................ 289
6.6.2.7 Mitigation measures ................................................. 291
xii Contents
6.6.2.8 Output of the noise environmental impact

assessment ........................................................................ 292
6.6.3 Water impact assessment and mitigation measures ............ 293
6.6.3.1 Impacts of water ........................................................ 293
6.6.3.2 Identification of water users and sources of
wastewater ....................................................................... 294
6.6.3.3 Impact assessment ..................................................... 295
6.6.3.7 Output of the water environmental impact
assessment ........................................................................ 306
6.6.4 Land impact assessment and mitigation measures ............. 306
6.6.4.1 Identification of land impact-causing activities ........ 307
6.6.4.2 Land and soil-related impacts ................................... 308
6.6.4.3 Land use/land cover ................................................... 310
6.6.4.4 Landscape and visual impacts ................................... 311
6.6.4.6 Waste management .................................................... 313
6.6.4.8 Output of the soil and land environmental impact
assessment ........................................................................ 315
6.6.5 Ecological impact assessment and mitigation measures..... 316
6.6.5.1 Identification of impact-causing attributes ................ 316
6.6.5.6 Output of the ecological environmental impact
assessment ........................................................................ 323
6.6.6 Ecological impact assessment and mitigation measures..... 324
6.6.6.1 Impacts identification ................................................ 324
6.6.6.5 Impact mitigation ....................................................... 327
6.6.6.6 Cultural impacts ........................................................ 328
6.6.6.7 Mitigation of cultural impacts ................................... 329
6.6.6.8 Social needs assessment............................................. 329
6.6.6.9 Output of the socio-economic impact assessment ...... 330
6.6.7 Risk assessment .................................................................. 330
Handbook of Environmental Impact Assessment: Concepts and Practice xiii
6.6.7.1 Identification of hazard potential............................... 330

6.6.7.2 Identification of typical sources of accidental
releases ............................................................................ 331
6.6.7.3 Risk assessment.......................................................... 333
6.6.7.5 Risk mitigation measures ........................................... 336
6.6.7.6 Output of risk assessment .......................................... 337
6.7 Environmental impact evaluations using the Leopold matrix:
an illustration ............................................................................... 337
6.8 Additional studies ....................................................................... 341
Risk assessment ........................................................................... 342
Marine environmental assessment .............................................. 344
Hydrogeological studies .............................................................. 347
6.9 Summary of the environmental impacts ..................................... 348
References......................................................................................... 350
Chapter 7 ................................................................................................ 354

Environmental Management Program
7.1 Objectives of an EMPg ............................................................... 356
7.2 The scope of an EMPg ................................................................ 356
7.3 The structure of an EMPg ........................................................... 357
7.4 The coverage of an EMPg ........................................................... 359
7.5 Components of an EMPg for greenfield projects ........................ 360
7.5.1 Administrative framework ................................................. 361
7.5.2 Environmental impact management ................................... 363
7.5.2.1 Pre-construction phase .............................................. 366
7.5.2.2 Construction phase .................................................... 366
Labor camps management program ................................ 366
Training program for the personnel of contractors
and sub-contractors .................................................... 367
Ecological management program .................................... 367
Sediment management program....................................... 368
Air quality and noise management programs .................. 368
Wastewater program ........................................................ 368
Solid waste management .................................................. 368
Construction materials management program................. 369
Transport and traffic management program .................... 370
7.5.2.3 Post-construction phase ............................................. 371
7.5.2.4 Operation phase......................................................... 371
Air quality management ................................................... 372
Solid waste management .................................................. 372
xiv Contents
Water and wastewater treatment, and disposal program 372

Noise and vibration management program ...................... 373
Transport and traffic management programs .................. 373
Occupational health management program ..................... 374
Risk management program .............................................. 375
Emergency and consequences reduction program ........... 376
Ongoing training program for project personnel ............ 376
7.5.2.5 Post-operation phase ................................................. 377
7.5.3 Environmental monitoring ................................................. 377
7.5.3.1 Who carries out environmental monitoring? ............. 378
7.5.3.2 Scope of environmental monitoring ........................... 378
7.5.3.3 Compliance-related environmental monitoring ......... 379
7.5.3.4 Performance evaluation-related environmental
monitoring ........................................................................ 380
7.5.3.5 Requirements for environmental monitoring ............. 381
7.5.3.6 Importance of environmental monitoring .................. 387
7.5.3.7 Importance of environmental monitoring information .. 388
7.5.4 Environmental compliance management............................ 389
7.5.5 Environmental enhancement programs .............................. 389
7.5.5.1 Topsoil management .................................................. 389
7.5.5.2 Green belt development ............................................. 389
7.5.5.3 Rainwater harvesting ................................................. 391
7.5.5.4 Resource conservation ............................................... 392
7.5.5.5 Proficiency improvement program ............................ 392
7.5.5.6 Ecological enhancement program ............................. 393
7.5.5.7 Rehabilitation and resettlement program .................. 393
7.5.5.8 Social development .................................................... 394
7.5.5.9 Public relations program ........................................... 394
7.6 EMPg for brownfield projects..................................................... 395
7.7 Maintaining flexibility in an EMPg ............................................ 396
7.8 The commitment of the project proponent .................................. 397
7.9 EIA and the implementation of an EMPg ................................... 399
References ........................................................................................ 400
Chapter 8 ................................................................................................ 405

Drafting an Environmental Impact Assessment Report
8.1 Steps involved in drafting an EIA report .................................... 405
8.2 Steps involved from the draft EIA report to the review/
appraisal ...................................................................................... 408
8.3 The need for documentation ....................................................... 409
8.4 Salient contents of a good-quality EIA report ............................. 411
Handbook of Environmental Impact Assessment: Concepts and Practice xv
8.4.1 The need for a good-quality EIA report ............................. 411

8.4.2 A good-quality EIA report ................................................. 411
8.4.3 Greenfield projects ............................................................. 412
8.4.4 Brownfield projects ............................................................ 423
8.5 Annexes and appendices ............................................................. 424
8.5.1 Public consultations-related documents ............................. 425
8.5.2 Other documentary evidence .............................................. 425
8.6 Ongoing improvements in EIA quality ....................................... 428
References......................................................................................... 428
Chapter 9 ................................................................................................ 430

Environmental Impact Assessment: Case Studies
9.1 Thermal power projects .............................................................. 431
9.1.1 Applicable regulations/guidelines in the Indian context..... 431
9.1.2 Sectoral brief .................................................................. 433
9.1.3 Brief project details ............................................................ 434
9.1.4 Establishing environmental baseline conditions ................. 436
9.1.5 Impacts and mitigation measures ....................................... 436
9.1.6 Additional studies ............................................................... 454
9.1.7 Environmental monitoring program ................................... 454
9.1.8 Environmental management program ................................ 455
9.2 Mining......................................................................................... 457
9.2.2 Sectoral brief .................................................................. 459
9.2.3.1 Surface mining of minerals ..................................... 463
9.2.3.2 Underground mining of minerals ........................... 463
9.2.3.3 Oil and gas ............................................................. 464
9.2.3.4 Coal-bed methane................................................... 465
9.2.5.1 Surface mining of minerals ..................................... 466
9.2.5.2 Underground mining .............................................. 469
9.2.5.3 Oil and gas ............................................................. 474
9.2.5.4 Coal-bed methane................................................... 474
9.3 Ports and harbors......................................................................... 481
9.3.2 Sectoral brief .................................................................. 483
xvi Contents

9.4 Area development and construction projects .............................. 494
9.4.2 Sectoral brief .................................................................. 496
9.5 Chemical and allied projects ....................................................... 511
9.5.2 Sectoral brief .................................................................. 513
9.5.3.1 Petrochemicals ....................................................... 515
9.5.3.2 Bulk drugs .............................................................. 516
9.5.3.3 Pesticides ................................................................ 517
9.5.3.4 Chlor-alkali ............................................................ 519
9.5.5.1 Petrochemicals ....................................................... 520
9.5.5.2 Bulk drugs .............................................................. 526
9.5.5.3 Pesticides ................................................................ 526
9.5.5.4 Chlor-alkali ............................................................ 526
9.5.8.1 Petrochemicals ....................................................... 530
9.5.8.2 Bulk drugs .............................................................. 531
9.5.8.3 Pesticides ................................................................ 532
9.5.8.4 Chlor-alkali ............................................................ 532
9.6 Cement ........................................................................................ 532
9.6.2 Sectoral brief .................................................................. 533
Handbook of Environmental Impact Assessment: Concepts and Practice xvii

9.7 Cross-country pipelines for petroleum products ......................... 539
9.7.2 Sectoral brief .................................................................. 540
References......................................................................................... 547
Chapter 10 .............................................................................................. 548

Reviewing Environmental Impact Assessment Reports
10.1 Objectives of an EIA Review.................................................... 548
10.2 Applications of an EIA review.................................................. 549
10.3 Who reviews the EIA report?.................................................... 549
10.4 EIA review steps ....................................................................... 550
10.5 Criteria for EIA review ............................................................. 551
10.6 Conducting an EIA review ........................................................ 551
10.6.1 Effectiveness of the EIA................................................. 552
10.6.2 Methodology for conducting an EIA review .................. 552
10.6.3 Conducting a review of the EIA report .......................... 554
References......................................................................................... 563
Chapter 11 .............................................................................................. 565

Introduction to Strategic Environmental Assessment
11.1 What is a SEA? ......................................................................... 566
11.2 The evolution of SEA ............................................................... 568
11.3 Concepts of SEA ....................................................................... 571
11.4 SEA and EIA ............................................................................ 573
11.5 Components of SEA ................................................................. 575
11.6 The importance of SEA ............................................................ 577
11.7 Characteristics of the SEA process ........................................... 578
11.8 Tools for SEA ........................................................................... 581
11.9 Putting SEA into practice .......................................................... 582
11.10 SEA and developing countries ................................................ 587
References......................................................................................... 588
LIST OF FIGURES AND TABLES
Figures
Fig. 2.1 Generalized flow chart of an EIA process ................................... 21
Fig. 2.2 Environment-interaction of components ..................................... 31
Fig. 2.3 Potential impacts complex web ................................................ 33
Fig. 2.4 Environment - source and sink .................................................... 42
Fig. 3.1 Scoping (potential impacts) matrix for a thermal power project ... 67
Fig. 3.2 Stages in the analysis of alternatives ........................................... 77
Fig. 4.1 Vertical temperature profile ...................................................... 102
Fig. 4.2 Vertical temperature and density profiles under different
atmospheric conditions ..................................................................... 105
Fig. 4.3 Applicability of typical dispersion models ................................ 109
Fig. 5.1 Prediction of baseline conditions............................................... 167
Fig. 5.2 Impact causal chain ................................................................... 169
Fig. 5.3 Conceptual approach for an EIA report preparation.................. 173
Fig. 5.4 Addressing significant impacts systematically .......................... 206
Fig. 5.5 Residual impacts - flow sheet for the significance .................... 215
Fig. 6.1 Hydrological cycle .................................................................... 251
Fig. 8.1 EIA report flow chart ................................................................ 407
Fig. 10.1 EIA appraisal methodology ..................................................... 555
Tables
Table 1.1 Environmental regulations in India .......................................... 10
Table 2.1 Typology of environmental impacts ......................................... 35
Table 3.1 Questionnaire checklist for screening ....................................... 58
Table 3.2 Information needed for scoping ................................................ 62
Table 4.1 Pasquill stability categories .................................................... 100
Table 5.1 Environmental impact prediction software in use .................. 190
Table 5.2 Typical emission sources and associated major pollutants ..... 195
Table 5.3 Soil salinity classification ....................................................... 200
Table 5.4 Significance level of residual environmental impacts ............ 216
Table 5.5 Summary of consideration of alternatives .............................. 218
Handbook of Environmental Impact Assessment: Concepts and Practice xix
Table 6.1 Noise levels from typical sources ........................................... 287

Table 6.2 Addition required for estimating cumulative noise ................ 289
Table 6.3 Use-based classification of surface waters in India ................ 305
Table 6.4 Risk matrix ............................................................................. 334
Table 6.5 Severity criteria for magnitude of impacts ............................. 339
Table 6.6 Score ranges for beneficial and adverse impacts .................... 339
Table 6.7 Impact evaluation matrix ........................................................ 340
Table 6.8 Summary of impact assessment .............................................. 349
Table 7.1 Transportation of materials in a typical cement plant ............. 374
Table 7.2 Output of environmental monitoring program........................ 383
Table 9.1 Typical major environmental issues/impacts during the
construction phase of thermal power projects and corresponding
mitigation measures .......................................................................... 440
operations phase of thermal power plants and corresponding
construction phase of surface mining projects and corresponding
operations phase of mining projects and corresponding mitigation
measures ........................................................................................... 470
operations phase of oil and gas exploration and production projects
and corresponding mitigation measures ............................................ 475
construction phase of port and harbor projects and corresponding
operations phase of ports, harbors and terminals and corresponding
Table 9.8 Typical major environmental issues/impacts during the pre-
construction and construction phase of major area developments
and construction projects and corresponding mitigation measures ... 501
operations phase of major area developments and construction
projects and corresponding mitigation measures .............................. 507
operations phase of petrochemical projects and corresponding
xx List of Figures, Tables and Boxes

operations phase of chemical and allied projects and corresponding
operations phase of cement plants and corresponding mitigation
measures ........................................................................................... 537
Table 9.13 Typical major environmental issues/impacts for cross-country
pipelines and corresponding mitigation measures ............................ 543
Table 11.1 EIA and SEA comparison in emphasis .............................. 574
Table 11.2 EIA and SEA fundamental differences .............................. 575
Boxes
Box 5.1 Standard terms of reference for conducting an environment
impact assessment study for thermal power plants projects and
information to be included in the EIA/EMP report ........................... 128
Box 5.2 Guidance for assessment relevance and reliability of analytical
methods and framework used for impact prediction ......................... 177
Box 10.1 Checklist 1 .............................................................................. 556
Box 10.2 Checklist 2 .............................................................................. 557
PREFACE
A huge amount of literature is available on the concepts and theory of

environmental impact assessments (EIAs). EIAs have been performed for
almost half a century now and in terms of the number and depth, there has
been a phenomenal growth of EIA studies and EIA reports.
The growing awareness of the environmental impact on the ecosystem

highlighted in various reports and protocols issued by international agencies
has prompted governments in different countries to continuously update
their environmental laws. In India, EIAs were mandated for development
projects in 1994, re-engineered in 2006, and are proposed to be revamped
in 2020.
For rapid economic growth and enhancing employment opportunities, the

manufacturing sector, duly supported by the infrastructural sector, is
considered to play a vital role in emerging economies. It is of utmost
importance that good-quality EIA reports are prepared for development
projects to facilitate decision-making with sustainability considerations. It
is acknowledged that many professionals engaged in preparing as well as
reviewing EIA reports in developing countries were not taught about EIAs
while they were university students. Moreover, those who are being taught
at universities may not be aware of the nitty-gritty of an EIA report.
In consideration of the above, an attempt is made in the book to include

basic aspects of EIA, impact assessments on different components of the
environment, and practical guidance on the process of preparing EIA reports
for greenfield as well as brownfield projects. Whereas what needs to be
included in a typical EIA report is described at length, the expected output
of the study is highlighted, and how it can be done is broadly described.
However, the detail of the methodologies is not attempted, considering that
a deep understanding is required on each environmental component and that
enormous literature is available on the same. Further, the book is not
intended to serve as an EIA manual per se though it will facilitate an EIA
consulting organization a great deal in preparing one. It need not be
emphasized that EIA is project-specific and site-specific. Accordingly, the
xxii Preface
depth of coverage of environmental issues in an EIA report will vary from

project to project and location to location.
The book describes the basic principles and salient features of EIAs, based
on the analysis of shortcomings observed in several EIA reports examined
by the author, how the EIA for a project is conducted, and how a good-
quality EIA report is prepared. The presentation in the book is in the form
of numbering and bullets rather than long descriptive text, making it easily
readable. EIA case studies are included in mining, thermal power, ports and
harbors, chemical and allied, cement, cross-country pipelines, and area
development and construction project sectors.
Even though the book focuses on the Indian context in its discussion of
environmental regulations and the EIA framework, the concepts and
techniques described are applicable universally. It should, therefore, be very
useful to a wide range of stakeholders, viz. EIA professionals and consultants,
project proponents, EIA review/appraisal authorities, and competent
authorities, particularly in emerging economies where major developmental
work is being undertaken and which is expected to continue in decades to
come. Academics will also find the book useful for learning practical
aspects. The book should also be useful for preparing EIA reports for the
projects proposed to financial institutions and multilateral institutions for
funding.
The terminology environmental management program is proposed in this

book in place of the environmental management plan, generally adopted in
the EIA reports, basically because a program is expected to facilitate a
project proponent in the implementation whereas a plan, consisting of a set
of objectives to be achieved in a longer time frame and setting the context
for programs, could be conceptual, philosophical, or abstract to some extent.
An environmental management program is an implementable program for
which the budget is committed by the project proponent. It is the most
important output of the EIA process, especially for developing countries
where priority is on economic development by way of development projects
and the EIA process has inherent weaknesses.
For continual improvement of EIA reports, EIA consultants may be assigned

the task of implementing and operationalizing the suggested environmental
management program for a certain number of years in addition to
conducting an EIA study and preparing an EIA report. The system of peer
review of EIA reports is also expected to improve EIA quality.
Handbook of Environmental Impact Assessment: Concepts and Practice xxiii
EIA will keep on transforming itself according to new knowledge acquired

through research and worldwide experiences which will make this tool more
and more versatile and dynamic. It is thus recognized that there will always
be scope for improving the contents and expanding the coverage of the book
to make it more useful to different users.
ACKNOWLEDGMENTS
I am very grateful to Mr. K. V. Bhanujan, former Chairman, Gujarat Pollution

Control Board, for conducting a peer review of the manuscript and making
several suggestions that have helped to enrich the book.
My grandson Aayush and son Ashish helped me in making some figures

and tables, and editing the manuscript. My son Amar, brother Jagdish and
nephew Somil helped me in getting print outs, some specific information,
and documents from the literature. Their contribution is appreciated. My
grandchildren Anuj and Aditi deserve a special word of appreciation for
repeatedly offering their little fingers to type the manuscript.
The help extended by several professionals with whom I have interacted is

thankfully acknowledged. Gratefulness is expressed to several authors,
agencies, and publishers whose references are cited in the book. I thank Ms
Eleanor Moore for proofreading the manuscript so meticulously.
Finally, I acknowledge with deep appreciation the support and patience of

my wife Asha whom I deprived of my time even in the Covid-19 lockdown
period because of long hours of work.
A K A Rathi
Ahmedabad, India
November 5, 2020
CHAPTER 1
ENVIRONMENTAL MANAGEMENT
Environmental management is a very broad and diverse subject that has

been defined in a variety of ways. Environmental management is not about
managing the environment per se but rather managing the interaction
between people and their environment, especially the impacts of anthropogenic
activities on their supporting environments (Ross et al. 2010).
Environmental management offers the additional capacity to reduce waste,

wastewater, and emissions in the production processes of goods and
services, and emissions due to transportation, and thereby improve the
health and well-being of the people. It may also help to minimize the
environmental burden of development and growth by reuse and recycling.
Hartmann and Vachon (2018) found that environmental management
relates positively to corporate environmental performance; and the positive
relationship between environmental management and corporate environmental
performance is moderated positively by industry munificence and
negatively by industry dynamism.
1.1 Environmental management

Environmental management is essentially internalizing the externalities
arising from developmental activities, i.e. internalizing an informed concern
of the environmental consequences of the actions of an enterprise in the
policies and procedures of the management. An environmental management
program is a tool for adhering to the compliance of regulations and
standards, and also a course correction instrument when unanticipated
issues crop up in the implementation and operation lifecycle phases of a
project.
Environmental management can be defined as a set of activities through

which an organization maintains awareness of and control over its
interactions with the environment. It is a systematic approach to short-term
as well as long-term environmental responsibility throughout an organization.
For good environmental management, fundamental types of supporting
2 Chapter 1
activities such as the following must be effective:
a. developing and maintaining awareness of the environmental

performance of the environmental matters that are of importance
to an organization
b. monitoring and improving environmental performance
Different organizations, depending upon their type of business and

geographic location, may have specific environmental matters/issues which
are more important to them. For example, the important environmental
issues of more relevance to different projects may be as follows:
a. thermal power plants based on coalair emissions and fly ash

management
b. ceramic plantsair emissions and inert solid waste management
c. chemical and petrochemical plantstoxic emissions, wastewater,
hazardous waste, explosion, and fire
d. portsmarine water quality, emissions and risks from material
handling and storage
e. highwaysvehicular emissions, noise, and accidents
f. miningdegradation of ecology, sediment transport, air emissions,
and wastewater
1.1.1 Environmental management and corporates

Environmental management is considered to be an integral part of business
management in an enterprise. Whereas disciplines like financial management,
materials management, production management, marketing management,
and human resource development form part of the curricula in business
management schools and are a well-accepted agenda in business organizations
for discussion at the Board of Directors level, environmental management
is yet to receive the attention it deserves. A certificate confirming compliance
with the applicable environmental regulations from the concerned executives
often suffices for the agenda of most of the Board of Directors meetings and
it formally gets noted in the minutes of the meeting without any discussion.
Several organizations consider the requirements of environmental approvals
for setting up manufacturing, energy, and infrastructural projects to be
impediments in the faster economic growth of the country. The top
management of corporations, especially in developing economies, appears
to be more concerned about profitability, net worth, and return on
investment rather than issues related to environmental sustainability in the
long run (Rathi 2016, 2018a).
Environmental Management 3
Further, even though sustainability is positively affected by technology

(Nasrollahi et al. 2020), technology is yet to be recognized as a driving force
for improvements in environmental management. Suitable financial systems
have not yet evolved at the national level to promote environmentally
sustainable development. Financial systems of a country including aligning
the financial sector towards a green agenda, restricting investments in
highly pollution-potential sectors, and incentivizing private investments in
green projects could help in bringing the environmental management
agenda to the board level of corporations.
1.1.2 Audit and resource management

Managers are generally entrusted with the responsibility of resource
management in an organization. Under existing management practices, such
resources generally include financial, machinery, materials, and human
resources. However, the optimal utilization of natural resources to sustain
production in the manufacturing and energy sectors does not get the
consideration it deserves. Further, while financial audits and cost audits are
well-accepted tools for financial management and are mandated to be
employed for ensuring the protection of the interest of shareholders,
environmental audits lack proper understanding and acceptability as a tool
for improving resource management. Environmental audits and safety
audits are still considered as a financial burden on an enterprise. There is
abundant professional expertise available and the practices are fairly well
established for conducting financial audits and quality management system
audits but environmental audits are yet to be established in a true sense in
developing economies.
The scope of environmental audits is generally limited to environmental

monitoring to verify compliance with the applicable regulations on the
physical-chemical components of the environment. It is ignored that
environmental audit reports, among other things, can highlight inefficiencies
concerning the use of resources like raw materials, utilities, and energy, and
hence offer the potential of cost reduction. If environmental auditors were
encouraged to build their capacity to carry out audits religiously and suggest
effective corrective measures and proactive actions, environmental audits
would benefit the industrial as well as the service organizations, and society
at large. Likewise, energy (electrical as well as thermal) audits are expected
to reveal inefficiencies and hence offer the potential of saving power and
fuel, and thereby help to improve the environmental quality. Environmental
audits and energy audits could, therefore, be employed as management tools
to improve resource management, ultimately leading to green productivity
4 Chapter 1
as well as improving the bottom line of an organization. Such good

management practices offer a win-win opportunity to the industry as well
as the environment in the long run (Rathi 2001a).
The experience of business in developed economies has revealed that going

beyond compliance helps to accrue several benefits and enhances the
bottom line of the business. For example, increased profitability through
cost reduction by, say adopting cleaner production practices, improves the
balance sheet of an enterprise, and also helps it to achieve a competitive
advantage by creating a better image as an environmentally responsible
business while contributing to environmental protection at the same time.
The major benefits in the long run are the achievement of sustainability
through resource conservation and the minimization of future risks of
environmental liability to the business. It is thus expected that it is only a
matter of time before the corporate world and the shareholders of business
enterprises, even in developing countries, will realize that there is a synergy
between good environmental management and good financial management.
1.1.3 The scope of environmental management

The scope of environmental management is not limited to environmental
compliance management. It includes integrated environmental assessments
as an interdisciplinary process of identification and analyzed appraisals of
all the relevant natural and human processes and their interactions that
determine both the current and future state of environmental quality and
resources on appropriate spatial and temporal scales (EEA 1995).
Environmental management facilitates the framing and implementation of
suitable policies and strategies (Boersema and Reijnders 2009).
Environmental management of operational manufacturing and fossil-fuel-

based energy projects needs to include a way of devising systems (NRC
2003) to meet long-term challenges, like improving understanding of:
a. structure-toxicity relationships
b. biological and physical-chemical interactions in response to
environmental stresses
c. fate and transport of the emitted or discharged anthropogenic
chemicals
d. biogeochemical cycles
e. gas-to-particle conversion in the atmosphere
f. functional genomics and the chemical processes that govern
organism-environment relationships
g. chemical-gene interactions in the real environment

h. persistent organic products; etc.
The new approaches of green chemistry and sustainable chemistry for new
chemical processes require:
i. increased understanding of biogeochemical processes and cycles

ii. advances in industrial ecologynew attitudes about waste
utilization
iii. development of environmentally friendly materials, e.g. bio-
degradable packaging
iv. new methods for pollution prevention and waste management
v. green chemistry and biomass-based new chemical processes
vi. uncovering of unknown environmental issues and identification of
their underlying causes and mechanisms
vii. development of improved modeling and simulation techniques for
contributing to
a) a fundamental understanding of the environment
b) a remediation of the existing environmental problems
c) prevention of environmental problems in the future
d) protection of the environment
Thus, a systems approach is needed for environmental management in

several areas including
a. actions that affect any of the three principal environmental sinks,

viz. air, water, and soil media, and the biological systems with
which they interact, with a clear understanding that managing each
of them separately will invariably transfer environmental problems
from one medium to the other rather than solving these; and
b. management of environmental impacts, spatial as well as temporal,
arising from processing, manufacturing, handling, transportation,
etc.
1.1.4 Approaches to environmental management

It may be recalled that approaches to environmental management, even in
developed economies, were essentially limited to reacting to an
environmental, rather pollution-related, problem by adopting end-of-pipe
control until the 1970s. Thereafter, environmental management gradually
started widening its scope with an increased emphasis on
6 Chapter 1
a. proactive measures like anticipation and prevention of

environmental problems
b. broadening of the aspirational horizon of the people from local to
global
c. shifting from immediate and short-term perspectives to the needs
of the next generation
d. environmental performance evaluations
The shift in the approach to environmental management was triggered by

some of the major disasters including the Seveso explosion in 1976, the
Bhopal tragedy in 1984, the Exxon Valdez oil spill in 1989, etc.
Environmental management, especially in projects of conventional sources

of power generation and manufacturing sectors includes cleaner production
(Rathi 2001a, 2003), waste minimization, green chemistry, development of
cleaner technologies (Rathi and Bhanujan 2004), and the use of renewable
energy and the enhancement of energy efficiency in addition to adopting
key sustainability principles like anticipating and preventing the
environmental consequences of an activity. It will, therefore, be in the
interests of corporations to go beyond compliance with the applicable
environmental regulations and focus on enhancing their environmental
performance, which in turn will improve their financial performance as
well.
It is being observed that an ever-increasing number of enterprises are

recognizing the need to make their operations more sustainable, and
governments, stock exchanges, markets, investors, and society at large in
developed economies are calling on enterprises to be transparent about their
sustainability goals, environmental performance, and impacts. Several
companies have started voluntarily reporting sustainability following the
G4 sustainability reporting guidelines (GRI 2015), and many more continue
to join. A survey conducted by MIT (2012) revealed that sustainability
started appearing on the management agenda of several organizations in
developed economies from 2000 and that several of these companies are
profiting from sustainability activities.
1.1.5 The cost of environmental degradation

It has been found that there is a strong correlation between environmental
degradation and chronic poverty in developing and under-developed
economies (Rathi 2001b). As per the World Bank report (2013), the annual
cost of environmental degradation in India amounted to about Rs. 3.75
trillion ($80 billion) which is equivalent to 5.7% of its GDP. Out of this, 3%
is attributed to particulate matter pollution in the air resulting in substantial
cardiopulmonary and chronic obstructive pulmonary disease mortality load
among adults, and 2.7% was attributed to lack of access to a clean water
supply, sanitation, and hygiene and natural resources depletion resulting in
waterborne diseases. The study further highlighted that 23% of child
mortality in India could be attributed to environmental degradation. The
need, importance, and serious consideration of environmental management
at different levels can thus be sensed from these statistics.
1.2 Sustainability and sustainable development

1.2.1 Sustainability and sustainability principles
Sustainability is an abstract concept of an ideal state in which mankind and
nature are in balance. It is defined by Clift (2000) as a state of existence,
in which humanities techno-economic skills are deployed, within long-
term ecological constraints imposed by the planet, to provide resources and
absorb emissions and to provide the welfare on which human society relies
for an acceptable quality of life. Ben-Eli (2005) defined sustainability as
a dynamic equilibrium in the process of interaction between a population
and the carrying capacity of its environment such that the population
develops to express its full potential without producing irreversible adverse
effects on the carrying capacity of the environment upon which it depends.
Sustainability principles are expressed in relation to the following:
i. material domain
ii. economic domain
iii. domain of life
iv. social domain
v. spiritual domain
Quental et al. (2011) identified the following basic sustainability principles:
a. the limits principle that ensures that the scale of the human
economy is low enough to allow the maintenance of healthy life
support systems
b. the means and ends principle that economic growth is not an end
in itself but an instrument that can help to achieve higher-order
ends, e.g. human well-being, and freedom
8 Chapter 1
c. the needs principle that the minimum needs of every human being
and each system must be satisfied independently, not on an
aggregated basis
d. the complexity principle that systems exhibit complex behavior
through multiple stable equilibria and non-linear behavior, which
may even collapse on reaching thresholds
Petts (1999) considered key sustainability principles as follows:
i. anticipate and prevent

ii. exercise precaution
iii. remain within the source and sink constraints
iv. maintain natural capital at or near current levels
v. avoid conversion of land to more intensive uses
vi. make the polluter pay
The availability of natural resources and improving environmental quality

are the major challenges to environmental sustainability (Rathi 2018b),
necessitating several actions by different stakeholders in a time-bound
manner. In a simplistic understanding, sustainability is ultimately about
ensuring that currently available resources can continue to deliver benefits
to future generations.
1.2.2 Sustainable development

The literature on sustainable development was reviewed by Mensah (2019).
The bottom line for any organization is ensuring compliance with the
applicable environmental regulations, and the common goal is contributing
to sustainable development, defined in Our Common Future (WCED 1987),
also known as the Brundtland Commission report, as development that
meets the needs of the present without compromising the ability of the
future generations to meet their own needs.
The Supreme Court of India (1996) had observed in its judgment that the
traditional concept that development and ecology are opposed to each other
is no longer acceptable. Sustainable development, defined by the
Brundtland report, is the answer. The apex court was of the view that the
precautionary principle and the polluter pays principle are essential
features of sustainable development.
A robust and objective definition of sustainable development (Merkel 1998)

is given as using resources, no faster than they can regenerate
themselves and releasing pollutants to no greater extent than natural

resources can assimilate them.
The President, the World Bank (2019) stated that clean water is a key factor
for economic growth. Deteriorating water quality is stalling economic
growth, worsening health conditions, reducing food production, and
exacerbating poverty in many countries. Their governments must take
urgent actions to help tackle water pollution so that countries can grow
faster in an equitable and environmentally sustainable way.
Humanity is facing challenges such as climate change, depletion of water

resources, loss of vegetation, inequality, insecurity, hunger, deprivation,
and poverty. The principles of sustainability can be used to address these
issues, considering that the eventual goal of sustainable development is to
achieve a balance among environmental, economic, and social facets
(Mensah 2019).
1.3 Environmental legislations

Agenda 21, finalized in the United Nations Conference on Environment &
Development held at Rio de Janeiro from 3-14 June 1992, observed that
humanity was faced with a worsening of poverty, hunger, ill-health and
illiteracy, and the continuing deterioration of the ecosystems on which the
well-being of humanity depends. The integration of environment and
development concerns and greater attention to them will lead to the
fulfillment of basic needs, improved living standards for all, better protected
and managed ecosystems, and a safer, more prosperous future. This requires
taking a balanced and integrated approach to environmental and development
questions.
The first Earth Summit was followed by several international conventions

and protocols, which necessitated the signatory countries to legislate
suitable environmental regulations. Some environment-related conditions
were also imposed by developed countries as non-tariff trade barriers which
exerted pressure on the developing countries to put in place an effective
environmental regulatory regime.
It may be observed that in addition to the constitutional provisions, India

has established a comprehensive set of laws for the management and protection
of the environment. The major environment-related legislation in India in
the form of Acts, Rules, and Notifications are compiled in Table 1.1. The
Courts have played a very important role in framing as well as enforcing
10 Chapter 1
environmental regulations in democratic countries. Environmental

management in India has essentially revolved around responding to the
environmental legislation notified from time to time and taking measures to
meet compliance requirements.
Table 1.1 Environmental Regulations in India

Component Regulation
Air Air (Prevention and Control of Pollution) Act, Rules, and
Amendments, 1981, 1982, 1983, 1987
Atomic Energy Act, and Amendments, 1982, 2015
Central Motor Vehicle Rules, 1989
Energy Conservation Act, 2016
Indian Boiler Act, and Amendments, 1923, 2017
Motor Vehicles (Amendment) Act, 1988, 2019
National Ambient Air Quality Standards, 2009
Static and Mobile Pressure Vessels (Unfired) Rules, and
Amendments, 1981, 2016
The Gas Cylinder Rules and Amendment, 2004, 2016
Noise National Road Safety & Traffic Management Board Bill,
2010
Noise Pollution (Regulation and Control) Rules, and
Amendments, 2000, 2006, 2010
Water Coastal Regulation Zone Notification, and Amendments,
2008, 2011, 2019
Environmental (Protection) Rules, 1991, 2019
Indian Fisheries Act, 1897
Inter-state Water Disputes Act, and Amendments, 1956,
2019
Marine Fisheries (Regulation and Management) Act, 2019
Merchant Shipping Act and Amendments, 1958, 1970,
2015
Oil Fields (Regulations and Development) Act, and
River Boards Act, 1956
Water (Prevention and Control of Pollution) Act, Rules,
and Amendments, 1974, 1977, 1978, 1988
Water (Prevention and Control of Pollution) Cess Act,
Rules, and Amendments, 1977, 1978, 2003
Hazardous Ammonium Nitrate Rules, and Amendments, 2012, 2018

substances Explosives Act, Rules, 1884, 2008, 2019
Hazardous and Other Wastes (Management and
Transboundary Movement) Rules, 2016
Insecticide Act, and Amendments, 1968, 2019
Manufacture, Storage and Import of Hazardous Chemical
Rules, 1989, 1994, 2000
Oil Mines Regulations 1984 (OMR) under the Mines Act, 1952
Petroleum Act, 1934
Petroleum and Natural Gas Rules, 1959 under Oilfields
(Regulation and Development) Act, 1948
Petroleum Rules, and Amendments, 2002, 2018
Rules for the Manufacture, Use, Import, Export, and
Storage of Hazardous Micro-organisms Genetically
Engineered Organisms and Cells, 1989
The Recycling of Ships Act, 2019
Wastes Batteries Waste Management Rules and Amendment, 2001,
2020
Biomedical Waste Management Rules and Amendment,
1998, 2013, 2015, 2016
Construction and Demolition Waste Management Rules,
2016
E-waste Management Rules and Amendment, 2011, 2018
Fly Ash Notification and Amendments, 2009, 2015, 2016
Solid Waste Management Rules, 2016
Flora, and Biological Diversity Act, Rules, 2002, 2004
fauna Forest (Conservation) Act and Rules, and Amendments,
1980,1981, 2003, 2017, 2018
Indian Forest Act and Amendment, 1927, 1984, 2017, 2019
National Forest Policy (Revised), 1988
Prevention of Cruelty to Animals Act, Rules and
Amendment, 1960, 1978, 2001, 2017
Protection of Plant Varieties and Farmers' Rights Act, 2001
Wildlife (Protection) Act, Rules, and Amendments, 1972,
1973, 1991, 1995, 2002, 2014
Land use Environmental (Siting Industries) Rules and Amendment,
1999, 2016
Industries (Development and Regulation) Act, and
Model Regional and Town Planning and Development
Law, 1985, and Provisions in State Acts on Town and
Country Planning
The Airport Economic Regulatory Authority of India Act
and Amendment, 2018, 2019
12 Chapter 1
Mining Coal Mines (Conservation and Development) Amendment

Act, 1985, 2020
Coal Mines (Special Provisions) Act, 2015
Granite Conservation and Development Rules, 1999
Mineral Concession Rules and Amendment, 1960, 2016
Mineral Conservation and Development Rules, 1988
Mineral Laws (Amendment) Act, 2020
Mines and Minerals (Regulation and Development) Act
and Amendment, 1957, 1984, 2016
Mines Rescue Rules, 1985
Mines Rules, 1955
National Mineral Policy, 2019
The Mines Act, 1952
General Ancient Monuments and Archaeological Sites and Remains
Act and Rules, 1958, 2010, 2017
Disaster Management Act, 2005
Electricity Act, 2003, 2020
Environment (Protection) Act and Rules, 1986, 1991, 2019
Environmental Audit Notification, and Amendments, 1992,
1993
Environmental Impact Assessment Notification, and
Environmental Standards Notification, and Amendments,
1993
National Environment Tribunal Bill,1995
National Green Tribunal Act, 2010
National Highway Act, and Amendments, 1956, 2017
National Policy of Resettlement and Rehabilitation, 2007
Public Hearing Notification, 1997
Public Liability Insurance Act, Rules, and Amendments,
1991, 1992, 1993
The Chemical Accidents (Emergency Planning,
Preparedness, and Response) Rules, 1996
The Factories Act and Amendment, 1948, 1987, 2016
(Source: Compiled from different sources)
1.4 Environmental management decision tools

Environmental management decision tools facilitate identifying, evaluating,
and addressing the environmental consequences of an organizations
activities to take well-informed decisions on improving environmental
management within an organization and around it. Many of the tools have
evolved independently over time to meet specific requirements. There are
some differences as well as similarities between different tools; the extent

may vary. Some tools are complementary to each other. The similarities
between different environmental management tools and systems
engineering methods are described (FET, n.d.).
1.4.1 Environmental management tools

The following sixteen approaches (SETAC 1993) are used primarily in the
context of industrial decision-making:
1. Lifecycle assessment
2. Design for life
3. Lifecycle thinking
4. Cleaner technology
5. Environmental risk assessment
6. Total quality management
7. Environmental impact assessment
8. Industrial ecology
9. Environmental auditing
10. Environmental performance evaluation
11. Substance flow analysis
12. Product line analysis
13. Energy and material analysis
14. Integrated substance chain management
15. Total cost assessment
16. Cost-benefit analysis
Petts (1999) described the decision-making context and characteristics of

the following primary environmental management decision tools at length:
1. Environmental Impact Assessment (EIA)

2. Risk Assessment (RA)
3. Technology Assessment (TA)
4. Lifecycle Analysis (LCA)
5. Cost-Benefit Assessment (CBA)
6. Environmental Audit (EnA)
7. Strategic Environmental Assessment (SEA)
Each of the management tools has some advantages and some limitations in
its applicability. The relevance and applicability of these environmental
management tools vary with the decision-making requirements at different
14 Chapter 1
stages of product and/or project development and implementation. For

example,
i. Strategic environmental assessments at policy, planning, and

program levels
i. Environmental impact assessments at the pre-project level
ii. Risk assessments, more akin to the environmental impact
assessment, at the pre-project as well as project operation level
iii. Technology assessments and lifecycle analyses at the developmental
stages of a product as well as project stage
iv. Environmental audits at the project operation level
There is some overlap in the applicability of some of these tools. For

example,
i. SEA, CBA, and RA at the policy, plan, and program levels

ii. LCA, TA, and RA at the assessment of product design and
development stages
iii. EIA and RA at the pre-project stage
iv. EnA and RA at the operation stage of a project
1.4.2 Classification of environmental management decision tools

Environmental management tools can be classified as follows:
1. Management-based tools, viz.

i. Environmental Management System (EMS)
ii. Total Quality Management (TQM)
iii. Environmental Audit (EnA)
iv. Environmental Economics
v. Environmental Performance Evaluation
vi. Total Cost Accounting
vii. Environmental Regulations
viii. Sustainability Reporting; etc.
2. Process-based tools, viz.

i. Technology Assessment (TA)
ii. Cleaner Production (CP)
iii. Cleaner Technology (CT)
iv. Waste Minimization (WM)
v. Pollution Prevention (PP)
vi. Best Available Techniques (BAT)
vii. Best Available Technology Not Entailing Excessive Cost

(BATNEEC)
viii. Best Practicable Environmental Option (BPEO)
ix. Best Available Demonstrated Control Technology
(BADCT)
x. Best Control Techniques for Conventional Pollution
(BCT)
xi. Best Environmental Practices (BEP)
xii. Best Engineering Practices; etc.
3. Project/product-based tools, viz.

i. Design for Environment
ii. Lifecycle Assessment (LCA)
iii. Eco-Labelling
iv. Risk Assessment (RA)
v. Industrial Ecology
vi. Environmental Impact Assessment (EIA); etc.
A detailed discussion on environmental management tools other than the

EIA is beyond the scope of this book.
1.4.3 Environmental management systems and business

management
ISO 14001: 2015 defines an environmental management system (EMS) as
part of the management system (set of interrelated or interacting elements
of an organization to establish policies and objectives and processes to
achieve those objectives) used to manage environmental aspects, fulfill
compliance obligations, and address risks and opportunities.
The EMS accomplishes the above through:
a. ongoing evaluation of practices and performance

b. establishment and maintenance of policies and goals
c. establishment of procedures
d. assignment of responsibilities
e. allocation of resources within a systematic management program
f. management review
It may thus be observed that the basic elements of the EMS are essentially
similar to those of business management.
16 Chapter 1
The EMS, as per ISO 14001, is applicable universally to all organizations

irrespective of their type, size, and location. Though framed as a voluntary
standard, ISO 14001 is being made mandatory by some regulatory agencies
in certain countries for some specific manufacturing and energy sector
projects.
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CHAPTER 2
THE BASICS OF ENVIRONMENTAL

IMPACT ASSESSMENT
Environmental assessment, the term used as a generic process encompassing

the environmental impact assessments (EIAs) of projects and their strategic
assessment (Sadler 1996), is carried out at different levels of the hierarchy
of decision-making as follows:
1. Strategic environmental assessment is done at the highest levels,

viz. at the levels of policy, plan, or program. It may include
environmental assessment of say, energy policy, industrial policy,
or tourism policy at national level, or development plans at
regional levels
2. Regional environmental assessment is done for an identified larger
geographical region. It may include environmental assessment of
say, a special investment region in which multiple, similar, or
diverse activities are proposed, a development corridor of a
predetermined width on either side of a railway line or highway, or
a demarcated region like the national capital region
3. A sectoral environmental assessment is done for a given project
sector. It may include an environmental assessment of say, the
mining, energy, industry, or real estate sector at national or
regional level
4. An environmental impact assessment is done for a given project
proposed at a particular location. It may include an EIA of say, a 3
million metric tons per annum cement project proposed at an
identified location, a 1000 megawatt (MW) thermal power project
based on coal to be set up at an identified location, or a 4-lane
highway project for connecting two identified locations
Number 4 above is referred to as a project-level EIA, which is the theme of

this book.
The Basics of Environmental Impact Assessment 19
2.1 EIA: definition

Some definitions of EIA, taken from the literature are reproduced below.
Wathern (1988) defined EIA as a process having the ultimate

objective of providing decision-makers with an indication of the
likely consequences of their actions.
A simple definition of EIA given by UNECE (1991) is an
assessment of the impacts of a planned activity on the
environment.
DOE (1995) defined EIA as a process by which information about
the environmental effects of a project is collected both by the
developer and from other sources, and taken into account by the
relevant decision-making body before a decision is given on
whether the development should go ahead (or not).
Petts (1999) defined EIA as a technique or a systematic process
by which information about the environmental effects of a project
is collected both by the developer and from other sources, and
taken into account by the planning authority in forming their
judgments on whether development may be permitted (or not).
The International Association of Impact Assessment (IAIA 1999)
defined EIA as the process of identifying, predicting, evaluating,
and mitigating the biophysical, social, and other relevant effects of
development proposals prior to major decisions being taken and
commitments made.
EIA is a tool used to identify the environmental, social, and
economic impacts of a project prior to decision-making (CBD, n.d.).
ISO 14001:2015 defines the environment as surroundings in
which an organization operates, including air, water, land, natural
resources, flora, fauna, humans and their interrelationships.
From the above definitions, it may be observed that EIA is essentially a

systematic process of evaluating the environmental effects of developmental
proposals, which would be considered by the decision-making authority in
deciding whether to give the green light to the proposed development or not.
In the context of the EIA study and preparation of the EIA report, the EIA
process consists of the following stages:
1. screening
2. scoping
3. consideration of alternatives
20 Chapter 2
4. establishing environmental baseline conditions

5. EIA and mitigation measures
6. environmental management *program
7. draft EIA report
8. public participation
9. final EIA report
10. review of the EIA report and decision-making
11. communication of the decision (whether approved or rejected)
* The term used in this text in place of the word plan generally adopted in EIAs
A project can be implemented only after getting environmental approval.

The important stages involved during as well as after the project
implementation are:
i. environmental monitoring
ii. follow-up on the implementation of the environmental management
program and compliance with the conditions of environmental
approval
A generalized process flow sheet of the EIA process, modified from UNEP
(2002), is given in Fig. 2.1.
2.2 Objectives of EIA

The broad objectives of EIA include the following:
a. prediction and assessment of the environmental impacts of the

proposed anthropogenic activities
b. understanding the utility of EIA as a tool in decision-making
c. balancing environmental, economic, and social concerns, also
termed as the 3 Psplanet, profit, and peopleas per another
terminology
d. using the potential of an EIA to enhance sustainable development
The objectives of EIA (IAIA 1999) are as follows:
a. to ensure that environmental considerations are explicitly addressed

and incorporated into the development decision-making process
b. to anticipate and avoid, minimize, or offset the adverse significant
biophysical, social, and other relevant effects of development
proposals
c. to protect the productivity and capacity of natural systems and the

ecological processes which maintain their functions
d. to promote development that is sustainable and optimizes resource
use and management opportunities
22 Chapter 2
2.3 Principles of EIA

Barrette and Therivel (1991) suggested that an ideal EIA system would:
i. apply to all the projects which have the potential to cause

significant environmental impacts, and address all the significant
environmental impacts
ii. compare alternatives to a proposed project (including the
possibility of not developing the site), management techniques,
and mitigation measures
iii. result in a clear environmental impact statement (EIS) which
conveys the importance of the likely impacts and their specific
characteristics to the non-experts as well as experts in the field
iv. involve broad public participation and undergo stringent
administrative review procedures
v. be timed in such a way that it provides the required information for
decision-making
vi. be enforceable
vii. incorporate monitoring and feedback procedures
IAIA (1999) suggested basic principles and operating principles to be

followed while conducting EIA studies. The basic principles apply to all the
stages of an EIA and the operating principles describe how the basic
principles should be applied to the main steps and specific activities of the
EIA process, e.g. screening, scoping, identification of environmental
impacts, and assessment of alternatives. As per the basic principles, an EIA
should be:
i. Purposivethe process should inform decision-making and result

in appropriate levels of environmental protection and community
well-being
ii. Rigorousthe process should apply best practicable science,
employing methodologies and techniques appropriate to address
the problems being investigated
iii. Practicalthe process should result in information and outputs
which assist with problem-solving and are acceptable to and able
to be implemented by project proponents
iv. Relevantthe process should provide sufficient, reliable, and
usable information for development planning and decision-making
v. Cost-effectivethe process should achieve the objectives of EIA
within the limits of available information, time, resources, and
methodology
vi. Efficientthe process should impose the minimum cost burdens

in terms of time and finance on proponents and participants
consistent with meeting accepted requirements and objectives of
EIA
vii. Focusedthe process should concentrate on significant
environmental effects and key issues, i.e. the matters that need to
be considered in making decisions
viii. Adaptivethe process should be adjusted to the realities, issues,
and circumstances of the proposal under review without
compromising the integrity of the process, and be iterative,
incorporating lessons learned throughout the proposals lifecycle
ix. Participativethe process should provide appropriate opportunities to
inform and involve the interested and affected public, and their
inputs and concerns should be addressed explicitly in the
documentation and decision-making
x. Interdisciplinarythe process should ensure that the appropriate
techniques and experts in the relevant biophysical and socio-
economic disciplines are employed, including the use of traditional
knowledge as relevant
xi. Crediblethe process should be carried out with professionalism,
rigor, fairness, objectivity, impartiality, and balance, and be
subject to independent checks and verification
xii. Integratedthe process should address the interrelationships of
social, economic, and biophysical aspects
xiii. Transparentthe process should have clear, easily understood
requirements for EIA content; ensure public access to information;
identify the factors that are to be taken into account in decision-
making; and acknowledge limitations and difficulties
xiv. Systematicthe process should result in full consideration of all
relevant information on the affected environment, of proposed
alternatives and their impacts, and of the measures necessary to
monitor and investigate residual effects
As per the operating principles, EIA should be applied:
a. as early as possible in decision-making and throughout the

lifecycle of the proposed activity
b. to all development proposals that may cause potentially significant
effects
c. to biophysical impacts and relevant socio-economic factors,
including health, culture, gender, lifestyle, age, and cumulative
24 Chapter 2
effects consistent with the concept and principles of sustainable

development
d. to provide for the involvement and input of communities and
industries affected by a proposal, as well as the interested public
following the internationally agreed measures and activities
The EIA process should specifically provide for the following:
i. Screeningto determine whether or not a proposal should be

subject to EIA, and if so, at what level of detail
ii. Scopingto identify the issues and environmental impacts that are
likely to be important and to establish terms of reference for EIA
iii. Examination of alternativesto establish the preferred or most
environmentally sound and benign option for achieving the
objectives of the proposal
iv. Impact analysisto identify and predict the likely environmental,
social, and other related effects of the proposal
v. Mitigation and impact managementto establish the measures
that are necessary to avoid, minimize, or offset predicted adverse
impacts and, where appropriate, to incorporate these into an
environmental management plan or system
vi. Evaluation of significanceto determine the relative importance
and acceptability of residual impacts, i.e. the impacts that remain
even after applying mitigation measures
vii. Preparation of environmental impact statement (EIS) or EIA
reportto document clearly and impartially the impacts of the
proposal, the proposed measures for mitigation, the significance of
effects and concerns of the interested public, and communities
affected by the proposal
viii. Review of the EISto determine whether the report meets its
terms of reference, provides a satisfactory assessment of the
proposal and the information required for decision-making
ix. Decision-makingto approve or reject the proposal, and to
establish the terms and conditions for its implementation
x. Follow-upto
a) ensure that terms and conditions of the environmental
approval are met
b) monitor the impacts of development and effectiveness of the
implemented mitigation measures
c) strengthen future application and mitigation measures
d) undertake environmental audit and process evaluation, where
required to optimize environmental management
2.4 Background to the evolution of EIA

There was a time when humanity had to choose between economic
development by undertaking developmental projects and environmental
protection by maintaining the status quo. With an increasing population
over a period, economic development was considered indispensable for
meeting the basic requirements for living, and later for making life more
and more comfortable. However, the environmentalists invariably took an
extreme position expressing apprehensions that the development projects
would cause environmental degradation, which would be detrimental to
people in the long run. Thus, there was a conflict between economic
development and environmental protection. This conflict was proposed to
be resolved with the application of some environmental management tools
like EIAs. EIAs were thus conceived as a tool to aid decisions in the late
1960s in response to the ecocentric concerns that any developmental activity
would cause irreparable damage to the environment, and challenging the
technocentric view that there were technological solutions to every
environmental problem. A conflict resolution often poses challenges and
these challenges need to be met by converting them into opportunities and
by adopting appropriate strategies.
The approaches followed by developed, developing and under-developed

economies differ in meeting the challenges for the obvious reasons of
differences in their respective priorities. But the differences are likely to
become narrowed down once the larger population in developing and under-
developed countries attain a threshold level of economic development, a
better standard of living, and improved quality of life.
2.5 Historical developments of EIA

The US National Environmental Policy Act (NEPA 1969) represented the
first formal incorporation of the impact assessment process in a legislative
form (ORiordan and Sewell 1981). NEPA called for
i. consideration of environmental values in decision-making

ii. use of a systematic, interdisciplinary approach for this purpose
iii. a detailed statement on
a) the environmental impact of proposals for major federal
actions
b) any adverse effects which cannot be avoided
c) alternatives to the proposed action
iv. making the statement available to the public
26 Chapter 2
This process came to be known as EIA. Under NEPA, federal agencies were
required to produce a statement of the environmental impacts of the
proposed development and release it to the public, to demonstrate how these
considerations had been recognized and addressed. This statement was the
enforcing mechanism to keep agencies accountable to the public, but the
substantive requirement of NEPA was for a well-founded assessment of the
relevant environmental impacts of project proposals, and for these to be
used in the agencies decision-making. Following the example of the USA
and the early adopter countries like Australia, Canada, Sweden, and New
Zealand in 1973-74, Columbia, France, Philippines, the Netherlands, and
Brazil incorporated some form of impact assessment process into their
formal procedures or legislation in the late 1970s and early 1980s.
The EIA process took off after the mid-1980s when the Directive on EIA
(CEC 1985) established basic principles and procedural requirements for all
its member states, and the World Bank adopted EIAs in 1989 for major
developmental projects. The comprehensive document of the World Bank
(1991) was especially aimed at developing countries. It spelled out the
requirements of the World Bank for environmental assessment under which
the borrower country had to undertake an EIA under the supervision of the
World Bank (Sadler 1996). Procedural guidelines for international bilateral
aid were issued by the OECD (1994). UNEP (1995) advocated less secrecy
and the integration of EIAs into the project, planning and development
cycle, and donor agencies publicized how EIAs influenced their own
decisions. This helped improve the effectiveness of EIAs. The importance
of public participation in the EIA process (World Bank 1995, NRC 2008)
and continued environmental management and monitoring of the
implementation were recognized. EIAs developed steadily thereafter in
several countries that institutionalized it in their legislative framework.
In India, river valley projects came under the ambit of examination from an
environmental angle in 1977, which was followed by adding major public
sector projects but environmental clearance was made mandatory (MOEF
1994) for listed projects exceeding certain investment thresholds. Based on
the experience gained in implementing the EIA framework in India, more
comprehensive legislation on EIAs was notified (MOEF 2006). To take into
consideration several amendments to the notification, the orders of courts
from time to time, and further experience gained in implementing the
legislation, new draft legislation has recently been notified (MOEF 2020).
In the European Union, an environmental assessment (EU 2005) is considered

to be a procedure that ensures that the environmental implications of
decisions are taken into account before making the decisions. It was
suggested by the EU (2014) that the quality and contents of EIAs should be
improved and EIA reports should be made more understandable to the
public, especially regarding the assessment of the current state of the
environment and alternatives to the proposal.
EIAs got a further boost (Morgan 2012) from increasing recognition by the
global community of the problems associated with
a. climate change
b. loss of biodiversity
c. a threat to freshwater sources and water quality
d. damage to marine areas
e. other forms of global environmental changes
EIA, or environmental assessment as it is referred to in the UK, is recognized

in numerous international conventions, protocols, and agreements including
the following:
1. The Convention on Wetlands of International Importance, 1971

2. The Convention on International Trade in Endangered Species of
Wild Fauna and Flora (CITES), 1973
3. The Convention on the Conservation of Migratory Species of Wild
Animals, 1979
4. The Convention on the Conservation of European Wildlife and
Natural Habitats, 1979
5. The United Nations Convention on the Law of the Sea, 1982
6. The Convention on EIA in a Transboundary Context, 1991
7. The Protocol on Environmental Protection to the Antarctic Treaty,
1991
8. The Convention on Biological Diversity, 1992
9. The Convention on Access to Information, Public Participation in
Decision-making and Access to Justice in Environmental Matters,
1998
It may seem reasonable to believe that EIA is now universally recognized

as a key instrument for environmental management and is widely accepted
as a decision support tool in domestic as well as international environmental
law. Impact assessment practice around the world is dominated by its use at
the project level, with a particular emphasis on major projects (Wood 2003).
Many of the legislated EIA processes refer to cumulative effects as one of
the characteristics of the proposed activities that need to be considered but
28 Chapter 2
in practice, they are often not addressed or are handled inadequately

(Duinker and Greig 2006, Gunn and Noble 2011). These initiatives are
expected to subject major development projects to EIA and related
assessments, and promote consistency in project appraisal. However, on the
issue of EIA practice, the International Study of the Effectiveness of
Environmental Assessment (Sadler 1996) concluded that despite the many
methodological and administrative advances in EIA over the past two
decades, recent experience in many countries confirms that there is still
scope for strengthening the process. Immediate and cost-effective measures
could help to improve the process in four key areas, viz.:
i. scoping
ii. evaluation of significance (ADB 1994, Canter and Canty
1993)
iii. review of environmental assessment reports
iv. monitoring and follow-up
The policy objectives of the Environmental Assessment Safeguards (World

Bank 1999) are to help ensure the environmental and social soundness and
sustainability of investment projects, and to support the integration of
environmental and social aspects of projects in the decision-making process.
Safeguarding policies are at the center of the efforts to protect people and
the environment and to achieve goals to end extreme poverty and to
sustainably promote shared prosperity. The World Bank launched a multi-
phased process in 2012 to review and update its environmental and social
safeguarding policies.
The sustainability framework (IFC 2006), adopted by the International

Finance Corporation, part of the World Bank Group, and updated in 2012,
consists of policies on environmental and social sustainability, which
describes how the IFC implements its commitment to sustainable
development and performance standards of the roles and responsibilities of
its clients concerning environmental and social risk management.
Regarding the private sector financial institutions, the IFC, along with
several major banks, launched equator principles providing guidelines on
the use of EIA concerning major project funding decisions by the
institutions. The equator principles are as follows:
Principle 1- Review and Categorization

Principle 2- Environmental and Social Assessment
Principle 3- Applicable Environmental and Social Standards
Principle 4- Environmental and Social Management System and

Equator Principles Action Plan
Principle 5- Stakeholder Engagement
Principle 6- Grievance Mechanism
Principle 7- Independent Review
Principle 8- Covenants
Principle 9- Independent Monitoring and Reporting
Principle 10- Reporting and Transparency
It may be observed that central to these principles is the EIA process. The
OECD group of countries adopted environmental and social assessment
procedures (OECD 2007) for bilateral funding. Guidance on sustainability
impact assessment (OECD 2010) was also issued for going beyond the
conventional considerations while preparing EIAs.
2.6 Understanding E, I, and A of environmental impact

assessment
Environmental impact assessment consists of three words, viz. environmental,
impact, and assessment. It is vital that a thorough understanding is
developed on each of these three words by all those who are
a. involved in conducting EIA studies and preparing EIA reports for

the proposed development projects
b. associated with reviewing EIA reports
c. taking decisions on granting environmental approvals
This will equip them in making sure that they do full justice to their
respective roles and responsibilities.
2.6.1 Environmental
To appreciate the importance of environmental management in general, and
EIA in particular, it is essential to understand the meaning and scope of the
word environmental, i.e. relating to the environment. The meaning and
definition of environment obtained from some sources are as follows:
i. Merriam-Websters collegiate dictionary defines environment as

the complex of physical, chemical, and biotic factors (such as
plants, animals, human beings) that act upon an organism or an
ecological community and ultimately determine its form and
survival
30 Chapter 2
ii. The Environment Protection Act (MOEF 1986) defines environment

as including water, air and land and the interrelationship which
exists among and between water, air and land, and human beings,
other living creatures, plants, micro-organisms, and property
iii. The broader concept of the environment (Canter 1996) includes the
physical-chemical, biological, cultural, and socio-economic
components of the total environment.
iv. A comprehensive definition of environment given in the European
Directive (CEC 1997) includes
a) human beings, fauna, and flora
b) soil, water, air, climate, and landscape
c) material assets and cultural heritage
d) interaction between any of the factors in a, b, and c above
v. The EIA course module developed by the United Nations
University (UNU 2007) defines environment as a complex web of
interrelationships between abiotic and biotic components which
sustain all life on earth, including the social and health aspects of
human existence
vi. The environment comprises all entities, natural or man-made,
external to oneself, and their interrelationships, which provide
value, now or perhaps in the future, to humankind. Environmental
concerns relate to their degradation through the actions of humans
(MOEF 2012)
It may be observed from the above that the environment includes the
interaction of several biotic and abiotic environmental components between
and among them, as illustrated in Fig. 2.2. It depicts very clearly that one
environmental component affects the other components, and also gets
affected or influenced by the other components. Thus, none of the
environmental components could ever remain in isolation or be treated as
stand-alone elements. The complexity of the environment thus becomes
evident, necessitating its proper understanding, appreciation, and
interpretation while conducting EIAs or taking any decision on matters
related to the environment.
32 Chapter 2
2.6.2 Impact
ISO 14001: 2015 defines environmental impact as a change to the environment,
whether adverse or beneficial, wholly or partially resulting from an
organizations activities, products, or services that interact or can interact with
the environment. Canter (1996) considered the terms effects and impacts as
synonymous. Petts (1999) described impacts as the effects of environmental
quality on public health, well-being, biodiversity, and economic production.
Human-induced changes have sometimes been equated with effects while the
consequences of such changes have been referred to as impacts (Catlow and
Thirlwall 1976, Munn 1979). Thus, while the changes caused by
anthropogenic activities could be equated with effects, the consequences of
these changes or effects on human health and well-being, and the environment
could be termed as impacts. Thus, changes, per se, may not result in impacts.
For each change anticipated to occur in the environment due to any of the
proposed developmental activities, one may ask a simple question, so what if
this change occurs? The answer to this question will disclose the impact
which may be on human health and welfare, and/or the ecosystem. For
example, construction-related activities for a project may create dust
(particulate matter) emissions and thereby cause changes in the quality of
ambient air in its surroundings. The changes observed in air quality parameters
may be considered as the effect of the construction-related activities on the
ambient air quality. If the change in the air quality, i.e. the effect of increased
particulate matter, for example, has the potential to aggravate breathlessness in
an asthmatic person who gets exposed to that air (of changed quality), stunted
growth of the plantations, and poor visibility for the people driving on the roads
in the surroundings, it may be considered as the impact on human health,
plantations, and human well-being respectively due to the construction-related
activities. Likewise, the project-related activities causing an increase in
atmospheric temperature referred to as global warming may be considered as
an effect. Global warming resulting in, e.g. sea-level rise, causing inundation
of landmass and thereby leading to the displacement of inhabitants from such
places, may be considered as impacts on soil, groundwater, land use/land
cover, and socio-economic aspects due to the project-related activities.
In short, changes in spatial and temporal characteristics (Wathern 1988)

compared with the situation without the proposed activities, i.e. the business
as usual scenario, are considered as effects and their consequences to living
beings and/or any of the components of the environment are considered as
impacts. The complex web of potential environmental impacts arising from

typical large projects of the manufacturing sector is illustrated in Fig. 2.3.
34 Chapter 2
With the above understanding, impacts from different activities to be

undertaken during the entire lifecycle of the proposed project, consisting of
several phases like pre-construction, construction, operation, and post-
operation could be classified as follows:
1. harmful or beneficial impacts on different people or components

of the environment like landowners losing their land and,
therefore, their means of livelihood, or people getting employment
2. naturally reversible or irreversible impacts like that from a sudden
minor emission for a short duration damaging the plantation which
could recover after some time, or a major emission over a long
duration destroying the plantation
3. reparable with suitable environmental management interventions
or irreparable impacts like the translocation of species or
compensatory afforestation, or the loss of rare species on land that
is used for construction and other infrastructures
4. short-term or long-term impacts like the exposure of project
emissions causing nausea to passersby, or chronic diseases to
residents
5. temporary or permanent impacts like intake of contaminated water
by a person once causing diarrhea which is curable, or regular
intake of water, say contaminated with heavy metals that
accumulate in the human body and cause chronic diseases
6. periodic or continuous impacts like emissions causing damage
from occasional or intermittent operations, or those from
continuous operations
7. direct (primary) or indirect (secondary) impacts like by exposure
to toxicants, a person becomes sick, or a pregnant woman or
lactating mother becomes sick and her child becomes sick too
8. single or cumulative impacts like impacts from an individual
project, or that from several projects in the vicinity at a given time,
or over a period
9. spatial or temporal impacts like a series of explosions destroying
property at different places away from the source, or property at a
given place over a period, due to explosions of different frequency,
duration, and intensity
10. local or transboundary impacts like noise affecting nearby
population (local), or air emissions or oil spills traveling long
distances and affecting the population in neighboring countries
Table 2.1 illustrates the categorization of impacts. Lohani (1997) suggested

the categorization of the potential impacts of a project, i.e. each combination
of project activity and the environmental parameter in an impact matrix, as

follows:
Table 2.1 Typology of Environmental Impacts

Category Impacts
Type Physical, Chemical, Biological, Health, Social,

Economic
Nature Direct, Indirect, Cumulative, Beneficial (Positive),
Harmful (Negative)
Magnitude or Severity High, Moderate, Low
Extent/Location Local, Regional, Transboundary, Global
Timing Immediate, Delayed, During Pre-Construction,
Construction, Operation, and Post-Operation phases
Duration Temporary, Permanent, Short-Term, Long-Term,
Intermittent, Continuous
Likelihood ProbabilityLow, Moderate or High, Uncertain,
Unknown
Reversibility Reversible, Irreversible
Spread Spatial, Temporal
Significance Significant, Insignificant
(Source: Modified from Environmental Impact Assessment Training Resource
Manual 2002)
i. No impact: The impact of project activities will be assessed as no

impact if the project activity is physically removed in space or time
ii. Significant impact: The impact is said to be significant if a project
activity has the potential to affect an environmental parameter. The
following criteria are used to determine whether a given impact is
significant:
a) spatial scale of the impact, e.g. site, local, regional,
national, or transboundary
b) the time horizon of the impact, e.g. short, medium, or
long-term
c) the magnitude of the change brought about in the
environmental parameter, e.g. small, moderate, or large
d) importance to local human populations, e.g. fish for
consumption, drinking water, land for agricultural
production, etc.
e) national or international profile, e.g. tropical rainforests,
any rare or endangered species, designated sites, etc.
36 Chapter 2
iii. Insignificant impact: If an impact occurs but does not meet the
criteria for significance, it is assigned the category of insignificant.
iv. Unknown impact: The impact of project activity will be assessed
as being unknown if
a) the nature and location of the project activity is uncertain
b) the occurrence of the environmental parameter within the
study area is uncertain
c) the spatial scale over which the effect may occur is
unknown
d) the time scale of the effect is unknown
e) the magnitude of the effect cannot be predicted
v. Mitigated impact: The impact of project activity on an environmental
parameter is said to be mitigated if the significant impact can be
prevented or reduced to an acceptable level
vi. Residual impact: The impact is called residual if it remains, though
of lower severity, even after applying the mitigation measures
It may be appreciated that adverse environmental impacts on
i. the health of human beings can be recognized early and some
corrective measures could possibly be taken immediately to
mitigate the same
ii. the ecosystem are recognized later after some damage, maybe
irreparable, has already taken place
iii. the global environment cannot be noticed, but only felt much later
The difference in the timescales involved in detecting the above types of

environmental impacts may be understood from the following:
a. morbidity and mortality studies reveal the impact on human health,
possibly in a span of a few years
b. loss of some species making them threatened, rare, or endangered
reveals an impact on the ecosystem, possibly in a span of a few
decades
c. global warming-related impacts on the global environment are felt,
possibly in a span of a few centuries
It may thus be observed that the span increases by an order of magnitude in

detecting environmental impacts on human beings, ecosystems, and the
global environment. This highlights the relevance of developing a thorough
understanding of various components of the ecosystem, and proper
identification and evaluation of the environmental impacts on the
components of the ecosystem due to the proposed project-related activities.
2.6.3 Assessment
The assessment consists of identification, prediction, and evaluation. The
assessment of the environmental impacts consists of the following basic
steps:
a. identification of the impacts

b. prediction or estimation of the impacts
c. assessment or evaluation of the impacts
The activities over the entire lifecycle of the proposed project may cause
changes in different parameters of the environmental components. Several
methods and tools including models and software are available for
predicting such changes. It is generally assumed that the significant changes
or effects will lead to significant consequences or impacts. Thus, assessment
of changes in the environmental attributes and EIA could be treated as inter-
changeable. The assessment of impacts essentially involves:
i. comparing the predicted environmental conditions, i.e. those

resulting from project-related activities, and induced development
that is envisaged in the vicinity of the proposed project in the
foreseeable future with
a) the existing values of the environmental parameters, i.e.
under a no project scenario
b) the permissible values of such parameters as per the
applicable regulations
ii. evaluating the extent to which the resultant environmental
conditions are acceptable
iii. making a judgment on the impacts
The identification and prediction of likely changes in different attributes of

the physical-chemical, biological and social environment due to the
proposed project-related activities over the entire lifecycle of the project are
the first two steps in the EIA. A good amount of literature is available to
correlate such changes with the consequences on human health and the
ecosystem. The EIA is the assessment of the consequences of the predicted
changes in the environmental attributes of the physical-chemical,
biological, and social environments under different scenarios, viz. normal
and abnormal operations, and accidental ones, using the literature, standard
tools, techniques, and experience.
It may be recognized that several activities are undertaken in the entire

lifecycle of a project, encompassing different project phases, viz. pre-
38 Chapter 2
construction, construction, operation and maintenance, and post-operation

consisting of closure, restoration, demolition, or decommissioning, as
applicable. Such activities cause different kinds and degrees of changes and
concomitant environmental impacts. It is necessary to identify all such
activities and assess corresponding significant environmental impacts,
preferably by using deterministic models, where possible. Moreover, a
project is likely to trigger some predictable induced developments in the
foreseeable future, say five years or so, depending upon the type and size of
the project, and some other developments which may be difficult to
anticipate. The significant impacts from induced developments including
those on land use/land cover, taking into consideration regional development
plans, need to be identified and estimated using probabilistic models,
documenting the assumptions made very clearly. The applicable environmental
regulatory regimes must be known to those conducting EIA studies.
It needs to be acknowledged that any futuristic predictions invariably have

some degree of inherent uncertainty. The uncertainties in impact assessment
may arise from several factors (Lohani 1997) including the following:
i. lack of theory, explanatory paradigms, and basic understanding

ii. inadequate monitoring of parameters of varying environmental
conditions
iii. sampling and analytical errors
iv. lack of the available baseline environmental data for the project
location
v. models employed may not completely correspond to the reality
because of limitations in considering all the variables, and the
need to simplify them
vi. the novelty of technology or materials proposed
vii. skillsets of the employees
viii. the occurrence of inherent variations, and stochastic events in
the complex natural systems
ix. control and replication problems in ecological research; etc.
2.7 Risk assessment

In situations where several uncertainties are involved, generally, an
environmental risk assessment is carried out in place of an EIA. For
example, a risk assessment is carried out for events or situations like leaks
and spills, movement, and the fate of pollutants in the environment,
accidents, dose and response relationships (based on animal studies), errors
in human behavior, equipment or structural failures, and weather and storm

events.
Like EIA, risk assessment (RA) is also a prominent and widely employed
environmental technique for environmentally compatible development. A
RA involves the identification of hazards and the evaluation of the
associated risks. Like EIAs, RA was also instituted in the 1970s, with a
primary focus on human health and ecology. In the framework, both EIAs
and RAs have evolved as analogous and, at times, overlapping procedures
(Essays UK 2018) to provide a sufficient basis for aiding decision-making
(Andrews 1995).
2.7.1 Environmental risk assessment

RA was primarily developed as a process for the analysis of risks associated
with different types of development (Glasson et al. 2005), considering the
characterization of the nature and magnitude of health risks to humans and
ecological receptors from chemical contaminants (US EPA 2016) and
attributes, viz. air and water pollution, hazardous substances, hazardous
waste, and toxic exposure present in the environment. The concepts,
principles, and tools used in a widely accepted risk management approach
are summarized by DEAT (2006). Rathi (2018) described components of
risk assessment in a typical EIA study for a new chemical industry project.
An environmental risk assessment (ERA) consists of a human health risk

assessment and an ecological risk assessment and contributes to achieving
the goals of sustainable development (UNEP 1999). An overview of ERAs
and environmental risk management is given by Calow (1997). Like EIAs,
ERAs also provide technical support (UNEP 1999) for evaluating prevalent
environmental settings and anticipating future settings under selected
scenarios. ERAs could be employed as such or as complimentary to EIAs
for facilitating environmental decisions. In quantitative risk assessment,
ecosystem risk assessment strategies (Gurjar and Mohan 2002) are
evaluated to ascertain that the risks associated with the exposure of
ecosystems to chemical contaminants remain within the limits prescribed in
the applicable regulatory standards. However, in the absence of well-
established quantitative systems (Nicol and Chades 2017, Suter 2006) in
understanding the risks posed by a proposed activity in quantitative terms,
descriptive methods like EIA (Petts 1999) are generally employed. Since
RA is concerned more with well-defined regulatory issues and uses formal
quantitative analysis of the probability of specific undesired events, it is
more focused than EIA (Suter et al. 1987). Julius and Fatuma (2013)
40 Chapter 2
described the components of disaster risk assessment, consisting of assessment

of source, exposure and effects, and integrative risk characterization, and gave
an overview of EIA tools which are used in post-disaster settings. Effective
environmental risk management (CYP 1998) is a continuous, participatory,
and forward-looking process that predicts and estimates potential impacts
from project-related activities. However, Flyberg (2003) had reservations
on risk assessment in practice.
2.7.2 Risk assessment methodology

RA methodology (IGFDP 2013, Muralikrishna and Manickam 2017)
consists of steps like risk scoping and preliminary risk assessment, detailed
risk assessment, risk management, and communication. A detailed RA
(Popov et al. 2016) includes hazards identification, estimation of the
probability of the incident or occurrence of exposure, severity of harm or
consequence, and assessment of risk. The main components of an RA
(Cranfield University 1998) are the formulation of a problem, assessment
of the risk, identification, appraisal of the available management options,
and risk management. There are similarities in the steps of the RA and EIA
processes (Eduljee 1999), e.g.
a. hazard identification in RA is equivalent to screening and

scoping in EIA
b. risk estimation is equivalent to environmental impact
prediction
c. risk evaluation is equivalent to determining the significance of
the impact
d. risk management including risk reduction and control is
equivalent to impact mitigation
The similarities and differences in EIA and ERA can be understood (ADB
1997a) by posing the following basic questions and seeking answers on how
the abnormal risks in EIA will be addressed:
i. what can go wrong with a project?

ii. what adverse consequences might occur to human health and the
environment?
iii. what is the range of magnitude of adverse consequences?
iv. how likely are these consequences?
A typical EIA addresses i and ii above and gives a qualitative indication to

iii to some extent. But all these questions, specifically iii and iv are
addressed in a typical ERA in quantitative terms. Thus, uncertainty is

addressed categorically in an ERA (Brookes 2001), whereas environmental
impact predictions in an EIA are deterministic.
2.8 Environmental management program

The mechanism of management of the environmental impacts, including
residual impacts, uncertainties in environmental impact predictions,
environmental compliance monitoring, environmental performance
evaluation, environmental enhancement, etc. are required to be detailed in
the environmental management program, and Chapter 7 is devoted to this
topic.
Considering 2.6, 2.7, and 2.8 above, it is extremely important that the
professionals engaged in the preparation, as well as a review of EIA reports,
and also the decision-making authority on the grant of environmental
approvals
a. develop a thorough understanding of the following basic

terms: environment, environmental issues, environmental
impacts, environmental impact assessment, determination of
significant impacts, environmental risk assessment, and
environmental management program
b. broaden their perspective on the above
c. become sensitive to these aspects
Then only the EIA exercise can become more meaningful and effective in
meeting its objectives.
It may be realized that the environmental impact assessment, an integral

component of the overall framework of environmental management, has
received global acceptance for considering the environmental impacts that
are likely to arise in the future because of the proposed developmental
activities. It is recognized that the environment acts both as the source for
resources and the sink for waste disposal as depicted in Fig. 2.4. It is,
therefore, also necessary to take effective measures for resource
conservation as well as waste minimization, among others, for development
projects.
42 Chapter 2
2.9 Integration of risk assessment into EIA

One of the trends in impact assessment is an increasing focus on integrative
approaches (Vanclay 2004) to make it more effective. The European Union
Directive on EIA is deeply rooted in a risk-based concept. Several risk-
related terms, such as magnitude and complexity of the impact, probability
of the impact, and duration, frequency, and reversibility of the impact
are used in the Directive (AIRSSP 2005). Several researchers have
investigated the application of RA in the impact assessment of development
projects (AIRSSP 2005; Zavadskas 2010). According to ADB (1997), the
basic questions needing answers in EIA for addressing abnormal risks are:
a. what can go wrong with a project?

b. what adverse consequences might occur to human health and the
environment?
c. what is the range of magnitude of adverse consequences?
d. how likely are these consequences?
While a and b above, and qualitatively c to some extent, are addressed in a

typical EIA, all these questions, notably c and d, are addressed in a typical
environmental risk assessment (ERA). An ERA in an EIA is essentially an
application of RA methods and risk management techniques to the
associated ecological, social, and economic issues (Elliot and Thomas 2009,
Hyett 2010) to aid the scoping of scientific studies, the prioritization of
impact assessment for managerial intervention, the integrated assessment of
environmental, social, and economic aspects, and the management of
uncertainty. The inclusion of RA in EIAs has some possible advantages
(Bridget 2010) such as
i. encouragement for integrated thinking by the interdisciplinary

teams conducting EIA studies
ii. an opportunity to focus attention on risk reduction activities such
as waste minimization, pollution prevention, and mitigation
measures
iii. inclusion of emphases on emergency response measures in the
event of accidents and associated environmental perturbations
An overview of the historical developments of RA in EIA is given by

Bridget (2010). The need for integration of RAs and EIAs arises because
the impacts are not all assessed adequately in EIAs (Zele áková and
Zvijáková 2017). RA, undertaken as part of an EIA (DEAT 2006), also
helps in assessing specific impacts that are not easy to predict due to the
44 Chapter 2
high degree of uncertainty involved. The term uncertainty used by some

researchers needs to be broadened to circumscribe the values and beliefs
that affect environmental assessment (EA) in intricate and vague conditions
(Duncan 2013, Bond et al. 2015).
Guidelines are available for conducting RA as a part of EIA (WB 1991,

ADB 1997b), and its integration in project development and implementation
processes (Kjorven 1998). The components of disaster risk assessment, viz.
assessment of source, exposure and effects, and integrative risk
characterization, are described by Julius and Fatuma (2013) along with an
overview of EIA tools which are used in post-disaster settings. This role of
EA can be strengthened further (Fischer 2014) by specifically combining
disaster risk-related aspects into development planning through EA, and
integrating EA fully into the pre-disaster planning of post-disaster actions.
This would help assimilate EA into post-disaster decision-making (Ryo et
al. 2014), and prevent disaster recurrence in the post-disaster period (Gore
and Fischer 2014). EIAs need to consider significant hazards, possible
sources, and environmental issues that could trigger or aggravate potential
disasters, impacts of conflicts and disasters, and suggest measures for the
reduction of disasters by having a meaningful engagement of RA in EIA
(Kelly 2019).
Considering that RA literature is dominated by engineering resilience,

which generally does not take into account ecosystems existing in multiple
regimes, Angler et al. (2018) proposed a conceptual model for resilience-
based risk and impact assessment. Zele áková (2020) developed a general
methodology to apply RA for the impact assessment of construction
activities and provided an approach for the assessment and evaluation of
risks based on the predetermined, defined, and objectively justified
indicators and criteria for determining the probabilities and consequences
of stressors/impacts for environment and health within EIAs.
AGIP KCO (2004) proposed an approach based on impact intensity, the

spatial impact scale, and temporal impacts assessed in EIA for integrating
RA into the EIA process. The wider use of risk-based approaches is
acknowledged as potentially helpful in defining environmental risks more
precisely and enabling a focus on key issues in environmental management,
including monitoring (Zele áková et al. 2017). A risk-based approach has
several potential advantages (Nicol and Chadès 2017), viz. better prediction
and recognition of cause and effect, sensitivity analysis, continual learning,
optimal resource allocation, etc. While adopting risk-based techniques, a
conservative approach (Arafura Resources 2016) is suggested in terms of
the likelihood of the occurrence of credible worst-case consequence

scenarios to assess potential impacts from project activities and gathering
reasonable outcomes. A structured risk management framework for the
assessment and compliance stages of the EIA process in Australia is
suggested and the Bayesian Belief Network is proposed as a risk model to
predict overall EIA risk (Nicol et al. 2014, 2015). Much of the research in
EIA has focused on the theory, practice, and review of EIA and the
application of descriptive EIA methods, and less attention has been given to
methods to aid prediction in real systems and development projects.
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CHAPTER 3
ENVIRONMENTAL IMPACT ASSESSMENT:

PROCESS
The Environmental Impact Assessment (EIA) process broadly consists of

the following four stages (Petts 1999):
1. (pre-EIA) Action definition

2. Preparation of EIA report
3. Review of EIA report and decision-making on environment
approval
4. EIA follow-up for compliance monitoring and performance audit
in each lifecycle phase of the project
The design for stage 4, i.e. EIA follow-up, is described in Chapter 7,

Environmental management program. Stage 3, i.e. the EIA review, is
outlined in Chapter 10, Reviewing EIA reports. Stage 2, i.e. EIA report
preparation, is detailed in four chapters, viz. Chapter 5, Preparing for
EIA, Chapter 6, Conducting EIA, Chapter 7, Environmental management
program, and Chapter 8, Drafting an EIA report, and reinforced in
Chapter 9, EIA case studies. In this chapter, stage 1, i.e. action definition,
principally consists of the following three important sub-stages of the EIA
process:
1. Screeningwhether EIA is required

2. Scopingcoverage of the EIA report, in case screening reveals
that EIA is required
3. Consideration of alternatives
3.1 Screening
Screening is the first key sub-stage of the action definition of the EIA
process. The objective of screening is to determine whether EIA is required
to be carried out for the proposed project (or not).
52 Chapter 3
3.1.1 Who carries out the screening and when?

It is the primary responsibility of the project proponent to carry out
screening. In practice, it is generally carried out by a project proponent in
consultation with the EIA consultant and sometimes even with the
competent authority. In some EIA frameworks, the competent authority
carries out screening. Project financing agencies including the World Bank
and multilateral agencies may have their EIA criteria of the project
proposals submitted to them. Screening needs to be carried out at an early
stage of the development project so that the project proponent and other
participants become aware of the EIA requirements, and also the time and
expenses involved in completing the EIA process.
3.1.2 Screening methods

Methods used in screening could be prescriptive or discretionary as
described below.
i. The prescriptive method considers criteria given in the

applicable EIA regulatory framework, which may be
a) an inclusion list of projects/activities (with or without
thresholds) for which an EIA is required
b) an exclusion list of projects/activities which do not
require an EIA because their environmental impacts
are considered to be insignificant, or these are
exempt by the applicable regulation, e.g. defense-
related projects
The applicable EIA regulation generally specifies the requirement

for screening and the procedure to be followed. For example, the
regulation in India (MOEF 2006) has a schedule containing a list
of projects, categorized as category A and category B, that require
prior environmental clearance. The proposals could be for
a. new project(s)
b. expansion and/or modernization of the existing project(s)
c. any change in the approved product-mix in the existing
manufacturing facility beyond the specified range
Further, it specifies the mechanism of further screening of category

B projects as B1 and B2 categories by the competent authority. The
Environmental Impact Assessment: Process 53
proposed new regulation (MOEF 2020) categorizes the projects as

categories A, B1, and B2.
ii. The discretionary method considers the criteria for a case-by-

case screening of proposals to identify whether the proposed
activities require an EIA. This method is applied when the
regulatory requirement is not very specific about screening
and/or proposed projects may
a) be just below the listed threshold
b) have unclear or uncertain environmental impacts
Case-by-case screening is undertaken by applying indicative

guidelines and established criteria. It gives project proponents and
the competent authority greater discretion in determining whether
an EIA is required to be carried out.
The outcome of the screening process could be any of the following:
a. no EIA is required
b. a limited EIA is required, which is generally called a
preliminary assessment
c. a full EIA is required
d. further study, generally called an initial environmental
evaluation (IEE), is necessary to determine the level of EIA
required
Screening methods available in the literature include:
A. Lists
B. Thresholds
C. Criteria
D. Matrices
E. Initial environmental evaluations
These methods are briefly described below:
A. Lists
Based on the experience that certain projects have
a. significant environmental impacts, or

b. negligible or minimal environmental impacts, projects are
listed under
54 Chapter 3
i. a positive or inclusive list (projects having significant

potential impacts), and
ii. a negative or exclusive list (projects having negligible or
minimal environmental impacts)
Based upon the degree of potential impacts, projects are listed by the World
Bank (1993) in the following three categories:
1. Category A projects require a full EIA to be carried out, and their

potential significant adverse environmental impacts are considered
to be:
i. serious, i.e.
a) irreversible
b) affecting vulnerable ethnic minorities
c) involving involuntary resettlement
d) affecting cultural heritage sites
ii. diverse
iii. unprecedented
iv. affecting an area broader than the site where physical
work is proposed to be undertaken for the proposed
facilities
2. Category B projects normally require a limited EIA, considering

that potential adverse environmental impacts are likely to be less
significant than those of category A projects, e.g.
i. few impacts are likely to be irreversible
ii. impacts are site-specific
iii. mitigation measures can be designed more readily than
for category A projects
Suitable mitigation and environmental management measures are

to be identified and incorporated into the project design of such
projects.
3. Category C projects do not require an EIA, considering that the

potential environmental impacts are likely to be minimal or not
adverse.
The lists method is very simple to use but the weakness of this method is
that even individual projects of the same general nature can vary in size,
layout, process, or technology and hence may have different environmental
effects. To overcome the inherent weakness of the lists method, the World
Bank and international experience suggest that lists prepared for projects
should be used flexibly in screening the proposals. Depending upon the
proposed project location and its environmental settings, and the project
type and scale, the project may have to be reclassified if it
a. is proposed in the vicinity of sensitive and valued ecosystems,

heritage, or cultural resources
b. is proposed in a critically polluted area (MOEF 2006)
c. has the potential of cumulative impacts
d. displaces people who are particularly vulnerable and difficult
to resettle
B. Thresholds
Under certain regulatory frameworks, EIAs are required when projects

exceed a predetermined threshold of, e.g.:
a. size
b. capital cost
c. output
d. area of land proposed for projects like mining and area
development
MOEF (2006) mandates that an EIA is required for projects exceeding

certain thresholds, e.g.:
i. mining projects involving a lease area of > 5 hectare (ha)

ii. thermal power projects having a capacity of > 5 megawatt
(MW)
iii. coke oven projects having a capacity of > 25000 metric ton
per annum (mtpa)
iv. the sugar industry having a cane crushing capacity of > 5000
metric ton per day (mtpd)
v. ports and harbors for fish having > 10000 mtpa fish landing
vi. townships and area development projects involving > 50 ha
land, or > 150,000 square meter (sq m) built-up area
These thresholds are proposed to be revised (MOEF 2020).
While the threshold method is simple to use, its weaknesses are that
56 Chapter 3
a. even individual projects of the same thresholds may have different

environmental effects depending on the proposed location
b. the impacts of a project just below the threshold need not be low
or insignificant
c. it may be misused by project proponents who may propose several
projects, each one just below the threshold to bypass the EIA
requirement
C. Criteria
Criteria may include the following:
a. characteristics of projects concerning

a) the type, e.g. chemical, metallurgical, or automobile
b) water consumption
c) waste generation
d) usage or production of hazardous substances, etc.
b. characteristics of projects concerning the size, e.g. micro, small,
medium, or large
c. use of natural resources, e.g. land, water-intensiveness, energy-
intensiveness
d. sensitive area criteria, e.g. distance from the nearby protected areas
like a national park, wildlife sanctuary
e. the character of the receiving environment, e.g. ecologically
sensitive or fragile, carrying capacity to assimilate impacts
f. risk of accidents in handling and storage of, e.g. inflammable,
toxic, hazardous substances
g. degree of public interest, e.g. scenic beauty, specific local features,
or factors
Screening criteria may be introduced based on the following:
a. Location of the projectenvironmental sensitivity of the proposed

location and its surroundings with regard to:
i. existing land use, viz. residential, commercial, industrial,
or mixed
ii. pollution levels
iii. the regenerative capacity of the natural resources
iv. the assimilative capacity of the natural environment, viz.
a) forests, wetlands, coastal zones, and mountains
b) protected areas like national parks and wildlife
sanctuaries
v. areas of historical, cultural, and archaeological significance

vi. dense population
b. Characteristics of potential environmental impacts with regard to
i. the extent of the environmental impacts, considering
a) vulnerable areas
b) size of the population
ii. the magnitude and complexity of the environmental
impacts
iii. the probability of the environmental impacts
iv. the duration, frequency, and reversibility of the environmental
impacts
The criteria method can also be applied for the selection of project locations,
and in a strategic environmental assessment approach
D. Matrices
The matrices method is generally used for major projects. It essentially

comprises a combination of two checklists with
a. environmental components on one axis, and

b. project-related activities on the other
It is used to correlate project activities with the corresponding

environmental consequences and their interactions to examine
i. significant effects
ii. no significant effects
E. Initial environmental evaluations
The initial environmental evaluation (IEE) or preliminary environmental

assessment is essentially an initial examination of potentially significant
adverse environmental impacts (UNU 2007) arising from the proposed
activities on:
a. human health and safety

b. air and water quality
c. rare or endangered species
d. protected areas
e. fragile or valued ecosystems
f. biological diversity
g. the lifestyle and livelihood of the local population, etc.
58 Chapter 3
EC (1996) guidelines on screening aim to take into consideration a wide

range of factors which may affect screening decisions but without encouraging
detailed investigations. The questionnaire checklist of information (ERM
2001a) required for an IEE is reproduced in Table 3.1. Based on the IEE, a
suitable decision could be taken on whether the project would require:
i. an EIA
ii. only an IEE but not an EIA
iii. none of i and ii above
The IEE method requires information on the project as well as

environmental settings of the proposed location, and a basic understanding
of the potential environmental impacts. The IEE may conclude the potential
environmental impacts of the proposed project as:
a. insignificant
b. significant but mitigable
c. significant but may or may not be mitigable
d. significant with significant public concern
It may also disclose uncertainty regarding environmental effects and/or

uncertain effects.
Table 3.1 Questionnaire Checklist for Screening

Questions to be considered for further guidance Yes/No/ Is this likely
on factors to be considered Dont to result in a
know- significant
Briefly effect?
describe Yes/No/
Dont know-
Why?
I. Brief Project Description

1. Will construction, operation, or
decommissioning of the project involve actions
that will cause physical changes in the locality
(topography, land use, changes in water bodies,
etc.)?
2. Will construction or operation of the project
use natural resources such as land, water,
materials, or energy, especially any resources
which are non-renewable or in short supply?
3. Will the project involve the use, storage,

transport, handling, or production of substances
or materials which could be harmful to human
health or the environment or raise concerns about
actual or perceived risks to human health?
4. Will the project produce solid wastes during
construction or operation or decommissioning?
5. Will the project release pollutants or any
hazardous, toxic, or noxious substances in the
air?
6. Will the project cause noise and vibration or
release of light, heat energy, or electromagnetic
radiation?
7. Will the project lead to risks of contamination
of land or water from releases of pollutants onto
the ground or into surface waters, groundwater,
coastal waters, or the sea?
8. Will there be any risk of accidents during
construction or operation of the project which
could affect human health or the environment?
9. Will the project result in social changes, for
example, in demography, traditional lifestyles,
employment?
10. Are there any other factors that should be
considered such as consequential development
which could lead to environmental effects or the
potential for cumulative impacts with other
existing or planned activities in the locality?
11. Are there any areas on or around the location
which are protected under international, national
or local legislation for their ecological,
landscape, cultural or other value, which could
be affected by the project?
12. Are there any other areas on or around the
location which are important or sensitive for
reasons of their ecology e.g. wetlands,
watercourses or other water bodies, the coastal
zone, mountains, forests, or woodlands, which
could be affected by the project?
which are used by protected, important or
sensitive species of fauna or flora e.g. for
breeding, nesting, foraging, resting,
overwintering, migration, which could be
affected by the project?
60 Chapter 3
14. Are there any inland, coastal, marine, or

underground waters on or around the location
which could be affected by the project?
15. Are there any areas or features of the high
landscape or scenic value on or around the
location which could be affected by the project?
16. Are there any routes or facilities on or around
the location which are used by the public for
access to recreation or other facilities, which
17. Are there any transport routes on or around
the location which are susceptible to congestion
or which cause environmental problems, which
18. Is the project in a location where it is likely
to be highly visible to many people?
19. Are there any areas or features of historic or
cultural importance on or around the location
20. Is the project located in a previously
undeveloped area where there will be a loss of
greenfield land?
21. Are there existing land uses on or around the
location e.g. homes, gardens, other private
property, industry, commerce, recreation, public
open space, community facilities, agriculture,
forestry, tourism, mining, or quarrying which
22. Are there any plans for future land uses on or
around the location which could be affected by
the project?
which are densely populated or built-up, which
which are occupied by sensitive land uses e.g.
hospitals, schools, places of worship, community
facilities, which could be affected by the project?
which contain important, high quality, or scarce
resources e.g. groundwater, surface waters,
forestry, agriculture, fisheries, tourism, minerals,

which are already subject to pollution or
environmental damage e.g. where existing legal
environmental standards are exceeded, which
27. Is the project location susceptible to
earthquakes, subsidence, landslides, erosion,
flooding, or extreme or adverse climatic
conditions e.g. temperature inversions, fogs,
severe winds, which could cause the project to
present environmental problems?
II. Summary of features of the project and its
location indicating the need for EIA
Source: Reproduced from ERM (2001a)
3.1.3 Application of screening methods

Considering the weaknesses or limitations of each of the above screening
methods, it is advisable to follow a hybrid approach, i.e. use of more than
one method for effective screening. Sometimes discretion may also have to
be used.
3.2 Scoping
Scoping is the second key sub-stage of action definition of the EIA process
which is applicable only when the screening process has concluded that EIA
is required to be carried out for the proposed project. The objective of
scoping is to determine the detailed scope of the proposed EIA study.
3.2.1 What is scoping?

Scoping is the process of identifying key environmental issues, i.e.
a. identification of the environmental issues which are likely to be

relevant and important to address in the EIA
b. elimination of the issues that are of little concern
Scoping is an extremely important stage (UNU 2007) in the EIA process

since it helps to ensure that
a. EIA studies are focused on the significant effects

b. time and money are not wasted on non-important or unnecessary
investigations
62 Chapter 3
The information needed for scoping (ERM 2001b) is reproduced in Table

3.2. Scoping primarily determines the content and extent, i.e. breadth and
depth of the environmental information that needs to be collected and used
in conducting the EIA study and addressing the issues suitably in the EIA
report. The typical output of the scoping process is establishing terms of
reference for the EIA study and preparing the EIA report. Scoping enables
the project proponent to get a clear direction on what is expected, and the
time and cost involved in the EIA study. Experience has revealed that the
terms of reference (TOR) should be a flexible document. The TOR may
need some alterations as further information becomes available, new issues
emerge, or some issues get reduced in importance while conducting the EIA
study.
Table 3.2 Information Needed for Scoping

I. Contact Details of the Project Proponent
1. Name of the company
2. Postal address, telephone, and e-mail details of the company
3. Name of the contact person with postal address, telephone, and e-mail
details
II. Characteristics of the Project

1. Brief description of the proposed project
2. Reasons for proposing the project
3. A plan showing the boundary of the development including any land
required temporarily during construction
4. The physical form of the development (layout, buildings, other structures,
construction materials, etc.)
5. Description of the main processes including size, capacity, throughput,
input, and output
6. Any new access arrangements or changes to the existing road layout
7. A work program for construction, operation and commissioning phases, and
restoration and after-use where appropriate
8. Construction methodology
9. Resources used in construction and operation (materials, waster, energy,
etc.)
10. The relationship with other existing/planned projects
11. Information about alternatives which are being considered
12. Information about mitigating measures which are being considered
13. Other activities which may be required as a consequence of the project (e.g.
new roads, extraction of aggregate, provision of a new water supply,
generation or transmission of power, increased housing, and sewage
disposal)
14. Details of any other permits required for the project
III. Location of the Project

1. Maps and photographs showing the location of the project relative to
surrounding physical, natural, and man-made features
2. Existing land uses on and adjacent to the site and any future planned land
uses
3. Zoning or land use policies
4. Protected areas or features
5. Sensitive areas
6. Details of any alternative locations which have been considered
IV. Characteristics of the Potential Impact
1. A brief description of the likely impacts of the project considering the
following factors
i. Impacts on people, human health, fauna and flora, soils, land use,
material assets, water quality and hydrology, air quality, climate,
noise and vibration, the landscape and visual environment,
historic and cultural heritage resources, and the interactions
between them
ii. Nature of the impacts (i.e. direct or indirect/secondary, short,
medium or long-term, permanent or temporary, positive or
negative, cumulative)
iii. The extent of the impact (geographical area, size of the affected
population/habitat/species)
iv. Magnitude and complexity of the impact
v. Probability of the impact
vi. Duration, frequency, and reversibility of the impact
vii. Mitigation incorporated into the project design to reduce, avoid,
or offset significant adverse impacts
viii. Trans-frontier nature of the impact
(Source: Reproduced from ERM 2001b)
3.2.2 Key objectives of scoping

The key objectives of scoping include:
i. a focus on the important environmental issues to be addressed

in the EIA study
ii. setting clear boundaries for the EIA with respect to temporal,
spatial, ecosystem, social, jurisdictional, and subject matters
iii. setting requirements for the collection of environmental
baseline and other information
iv. specifying significant effects and factors to be studied in detail
v. focusing on the information necessary for decision-making
vi. establishing terms of reference for an EIA study
64 Chapter 3
vii. providing the foundation for an effective and efficient EIA

process
3.2.3 Scoping process

The scoping process starts with a review of the proposed project for
identifying the project-related activities which are likely to cause major
impacts to the physical-chemical, biological, and/or social environment, i.e.
it is the determination of:
a. detailed activities proposed or involved in the entire lifecycle of

the project
b. where, when, how and for what duration of time will each of these
activities take place
c. whether these activities will be permanent or temporary, or
continuous or intermittent
d. direct and indirect environmental changes that are likely to occur
due to these activities, and their probable impact on the
environment as well as on people
e. applicable regulations
The basic steps involved in the scoping process include the following:
i. preparation of an exhaustive list of a wide range of environmental

issues and concerns
ii. evaluation of their relative importance and significance
iii. preparation of a shortlist of key issues
iv. organization of the key issues into the environmental impact
categories for further evaluation
v. establishing the TOR for the EIA, including information
requirements, study guidelines, and methodologies to be followed
3.2.4 Guiding principles

The guiding principles for the scoping process (UNU 2007) include the
following:
a. recognizing scoping as a process rather than a one-time activity or

event
b. taking a systematic approach
c. documenting the results to facilitate the preparation of the EIA
report
d. responding to new information and further issues raised by

stakeholders
e. being open to additional information required to predict
environmental impacts more thoroughly even after completion
of the initial scoping
f. placing limits on the information to be gathered and scrutinizing
the collected information in a focused manner
g. considering scoping as a flexible, adaptive, and iterative process,
usually based on preliminary consultations, literature searches,
project site visits, and preliminary field surveys (IEEM 2006).
3.2.5 Scoping methods

Scoping methods described in the literature, in the order of advancement,
include the following:
1. Checklists
2. Matrices
3. The component interaction technique
4. Networks
5. Overlay maps
6. Analogs
These methods are briefly described below:
1. Checklists
The checklists methods are based on the listing of specific attributes or

aspects that might be affected by the proposed project, e.g.
a. population
b. flora, fauna
c. air, water, soil
d. architectural and historic heritage
e. landscape and topography
f. designated sites and policies
g. risk of accidents
The weakness of the checklists method is that it is inherently too simple

to identify indirect or secondary impacts and thus cannot help to identify all
the significant impacts. Other types of checklists may be descriptive
questionnaire checklists (ERM 2001b). A checklist is not prescriptive (Petts
1999) and may be considered as a guide for undertaking the scoping.
66 Chapter 3
2. Matrices
A simple matrix consists of cells formed by combining two checklists.

Based on the effect of a particular activity, a cell is filled with the level of
impact, viz. high, low, or negligible impact, whether positive, negative, or
unknown. This method considers the impacts of different project activities
on different attributes of the environment in a qualitative manner. Fig. 3.1
illustrates a typical scoping matrix for a thermal power project. The
estimated impacts could be quantified by using a scoring system, i.e. by
assigning a score to the impacts, say on a scale of 0 to +/- 5. Leopold
matrices consider scoring obtained from experts. This method has some
drawbacks, viz.:
a. the probability of occurrence of impact is not indicated in each cell

b. the available data may be quantitative or qualitative
c. indirect or secondary impacts cannot be shown
d. the importance of different impacts is not reflected in the absence
of an assignment of weights
e. the matrix does not itself assist in determining the significance
3. Component interaction technique
This method was developed to incorporate secondary impacts. It requires a

thorough understanding of the components of ecosystems and their
interactions. The environment is modeled as a list of components, ranked in
the order of ability to initiate secondary impacts based on linkages, i.e.
chains of dependence between them. The drawback of this method is that it
requires a thorough understanding of the components of ecosystems and
their interactions.
4. Networks
The networks method is a further advancement of the component interaction

method. It recognizes that the environment consists of a complex web of
relationships (Petts 1999), allowing identification of the secondary impacts
along with the estimation of:
a. magnitude
b. significance
c. probability
Columns:
1. Air quality - PM 11. Landscape/ asthetics 21. Health
2. Air quality - Gaseous 12. Agriculture 22. Nuisance
3. Noise 13. Pasture 23. Infrastructural development
4. Odor 14. Ecology - flora 24. Social development
5. Traffic 15. Ecology - fauna, avifauna 25. Employment
6. Water- resources 16. Aquatic/ marine ecosystem 26. Local economy
7. Water- quality Soil 17. Wetlands 28. Cultural
8. Drainage pattern 18. Socio-economic 29. Material assets
9. LU in core zone 19. Displacement 30. Risk
10. LU in buffer zone 20. Livelihood 31. Occupational health
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
ACTIVITIES:
EFFECTS:
Preconstruction
Land acquisition
Construction
materials
sourcing (offsite)
Construction
Site development
Transportation
Construction
power
Construction
water
Labor camp
Excavation
68 Chapter 3
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
ACTIVITIES:
Roads
Foundations
Piling
Buildings /
Structures
Waste disposal
of:
excavated
material
other wastes
Wastewater
disposal
Cables, piping
laying
Equipment
transportation
Equipment
installation
Site clearance
Operation
Coal handling
and storage
Coal
pulverization
Fuel combustion
Fly ash handling,
storage and
disposal
Bottom ash
handling, storage
and disposal
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
ACTIVITIES:
Water sourcing,
storage and
distribution
Demin water
plant
Cooling tower
Power generation
Wastewater
disposal
Township
wastewater
disposal
Township waste
disposal
Maintenance
Steam venting
Soot blowing
Transportation
Power
transmission
Green belt
development
Greening project
premises
Rain water
harvesting
Induced
developments
Social
infrastructure
70 Chapter 3
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
ACTIVITIES:
Post-operation/ Decommissioning
Dismantling
infrastructure
Transportation
Site restoration
Columns:
1. Air quality - PM 11. Landscape/ asthetics 21. Health
2. Air quality - Gaseous 12. Agriculture 22. Nuisance
3. Noise 13. Pasture 23. Infrastructural development
4. Odor 14. Ecology - flora 24. Social development
5. Traffic 15. Ecology - fauna, avifauna 25. Employment
6. Water- resources 16. Aquatic/ marine ecosystem 26. Local economy
7. Water- quality Soil 17. Wetlands 28. Cultural
8. Drainage pattern 18. Socio-economic 29. Material assets
9. LU in core zone 19. Displacement 30. Risk
10. LU in buffer zone 20. Livelihood 31. Occupational health
Fig. 3.1 Scoping (potential impacts) matrix for a thermal power project
This method helps to trace direct or higher-order impacts on particular

sections of the community. However, it has drawbacks in that it does not
establish the magnitude of relationships or the extent of any change. Further,
it involves considerable time and requires detailed knowledge of different
communities in the environment.
5. Overlay mapping
Overlay mapping involves the superimposition of several thematic maps.

This method is widely used in environmental planning, especially for large
area developments and linear projects, e.g. townships, industrial areas,
roads, railways, and cross-country pipelines, and also for comparing
alternatives. The Geographical Information System (GIS) has further
facilitated environmental planning with the incorporation of varied
information. The limitations of this method are that it does not include the
probability of occurrence of the environmental impacts, and secondary
impacts are not shown. Further, it does not differentiate between reversible
and irreversible impacts.
6. Analogs
Analogs are used to draw on experiences of similar projects in other regions

or countries with similar environmental settings. However, it needs to be
ensured that a sound analogy gets drawn to the potential impacts.
3.2.6 Stakeholders involvement in scoping

In some EIA frameworks, public consultation may be mandatory for
scoping but the Indian regulation (MOEF 2006, 2020) does not have such a
provision. Some project proponents may consult the public voluntarily at
the scoping stage. The scoping process is generally the first point of contact
with the stakeholders who are likely to be affected by or interested in the
project. A consideration of alternatives also can be facilitated by public
consultation. Public consultation at the scoping stage provides an important
opportunity for the project proponent to:
a. inform the public about the proposed project and the EIA process
b. understand their concerns
c. gather historical information for proper scoping
d. set out the role and contribution of the public involvement in
decision-making
e. carry the public along
72 Chapter 3
f. build a degree of trust with the public

g. create a feeling of us rather than them
Experience shows that where scoping acknowledges the inputs from the
stakeholders and public, even though it may not always accommodate them,
benefits are reaped by way of:
a. avoiding misunderstandings and costly mistakes

b. ensuring coverage of all the important issues
c. obtaining increased acceptance of the EIA process including
decision-making
Typical good practices in scoping consultations (ERM 2001b) involve the

following activities:
i. preparing an updated list of organizations and individuals who may

be interested in the project
ii. contacting each interested person using appropriate means
including social media to request their help in scoping
iii. sending them information about the project online, in the form of
leaflets, or brochures
iv. making the printed information widely available in common places
like libraries, religious places, offices of local self-government,
post offices, banks, etc.
v. collating and analyzing all the responses and taking them into
account in planning the environmental studies
vi. communicating with the respondents, appreciating their valuable
inputs or feedback
vii. organizing personal meetings with the leaders of community-based
organizations (CBOs) and local non-government organizations
(NGOs)
viii. organizing periodic group meetings, structured as well as
unstructured, depending upon the local interest
ix. recording and including the views expressed by them during the
consultation process in the EIA study
3.2.7 Importance of scoping

A systematically carried out scoping:
a. highlights the issues that matter for EIA

b. increases the likelihood of preparing a comprehensive and good-

quality EIA report
c. helps in avoiding the problem of an unfocused study, and
voluminous reports resulting in delays and increased costs
d. helps in making sure that the resources are targeted on collecting
the information which is necessary for decision-making, and not
wasted in undertaking excessive studies and unnecessary analysis
The importance of scoping (Dougherty and Hall 1995) may thus be

recognized, considering that it
i. pinpoints the problems at an early stage, enabling suitable design

changes in the project to incorporate preventive and reduction at
source mitigative measures before expensive detailed work is
carried out
ii. helps to ensure that the detailed prediction work is carried out for
the important issues only, considering that the purpose of EIA is
not to carry out exhaustive studies on all the environmental impacts
and that the EIA report is to be prepared within given resources of
time and money
3.2.8 Who carries out scoping and when?

Depending upon the applicable EIA framework, the responsibility of
conducting scoping may lie with any of the following:
a. the project proponent

b. the competent authority
c. an independent panel of experts set up for the scoping purpose
The TOR for the development projects requiring environmental approvals,

except construction projects, are determined by the competent authority
(MOEF 2006, 2020) based on the following:
i. the information furnished by the project proponent in the

prescribed application forms
ii. the TOR proposed by the project proponent (voluntarily)
iii. a site visit carried out by a sub-group of the competent authority,
where considered necessary
Sector-specific standardization of the TOR (MOEF 2015) has been done in

India to reduce delays, remove arbitrariness, and make the EIA process
transparent. As a result, the EIA study could be commenced immediately
74 Chapter 3
after successful online registration of the proposed project with the competent
authority for seeking environmental approval. Further, automatic standard
TOR are proposed to be issued (MOEF 2019, 2020) within a week of
registration of all the projects or activities proposed in industrial estates or
parks, and for all the expansion proposals of existing projects having an
earlier environmental clearance.
Typically, scoping begins after the completion of the screening process.

However, these two stages may sometimes overlap to some degree.
Essentially, scoping takes forward the initial environmental evaluation for
determining which environmental issues and environmental impacts appear
significant and require further study.
3.2.9 Application of scoping methods

The selected scoping method is expected to make sure that it captures all
the potential environmental issues. However, it may be appreciated that the
use of any scoping method depends upon
a. the availability and accuracy of the information

b. the skills of the professionals analyzing and interpreting the
information
c. transparency in the scoping process
3.3 Consideration of alternatives

Consideration of alternatives is the third key sub-stage of the action
definition of the EIA process. Identification and analysis of alternatives and
justification of preferred alternatives providing a clear basis are essential
elements of any EIA (Geneletti 2014) and are fundamental to the utility of
EIA as an innovative and problem-solving tool (Abaza et al. 2004).
Worldwide, the EIA regulatory framework has limited provisions for

facilitating more environmentally sound decision-making due to the general
lack of consideration of alternatives encompassing alternative approaches
to accomplish the stated objectives, and alternative designs for the selected
alternatives (Steinemann 2001, CEAA 2007). In the EIA practice prevalent
in India (MOEF 2006) and even in the proposed one (MOEF 2020), it is
observed that the consideration of alternatives in the EIA process is
addressed superficially, especially for private sector projects, where the
requirement to analyze alternatives is considered to be less than that for
comparable public sector projects.
It may be realized that the alternatives are often influenced by economic,

technical, and regulatory considerations. However, EIAs consider
environmental criteria and ensure that the regulatory requirements are
fulfilled. If a project, proposed at a given location, is likely to cause adverse
impacts on some components of the environment, alternatives to the project
and/or to the location need to be considered first and different approaches
followed for the evaluation of these alternatives for ensuring environmental
protection along with economic and social development.
3.3.1 What is the consideration of alternatives?

Alternatives are different options including approaches, locations,
alignments, and technologies considered for achieving the desired objective
of the proposed project while clearly defining its necessity and worthiness
(EWT 2014). The Canadian system (Wood 1995) refers to alternate means
that are technically and economically feasible. The alternate means of
carrying out a project are methods of a similar technical character or
methods that are functionally the same. For example, several smaller
developments at different locations and/or expansion of existing facilities
instead of one large development. Alternatives to are functionally
different ways of achieving the same end, using an entirely different route
to achieve the same objective. For example, alternatives to building a
nuclear power station may be the transmission of power from other power
plants, building a hydroelectric project, the use of renewable resources, the
conservation of energy, etc.
3.3.2 Importance of the consideration of alternatives

The consideration of alternatives for a development project is an important
component of an EIA study in selecting the most appropriate option that is
least damaging to the environmental resources. It is extremely important for
sound decision-making, and it is central to improved governance and
sustainability by increasing public participation and improving transparency
(IAIA 2015). Alternatives are the heart of the environmental impact
statement (CEQ 2012).
3.3.3 Scope of analysis of alternatives

The scope of analysis of alternatives includes upstream stages of the project
lifecycle and a systematic comparison (World Bank 1999, IFC 1998) of the
proposed project of
76 Chapter 3
a. the proposed project design, site, technology, and operational

alternatives in terms of their potential environmental impacts
b. capital and recurrent costs
c. suitability under local conditions
d. institutional, training and monitoring requirements
The depth of the analysis of alternatives will, however, depend upon the
TOR.
3.3.4 When to consider alternatives?

It is essential to integrate the identification of alternatives (World Bank
1996) into the project identification process (before developing the project)
to ensure a comprehensive analysis of alternatives as depicted in Fig. 3.2.
This is usually done at the pre-feasibility stage of a project, and may also
involve reconnaissance visits and preliminary investigations.
The consideration of alternatives is likely to be most useful when the EIA

is undertaken early in the project cycle (Desmond 2007). In India, for most
projects, EIAs are commissioned after major decisions on the projects,
including the technology and location, have already been taken. As a result,
EIA reports are invariably expected to justify the decisions already taken by
the project proponent on the project configuration as well as the location. It
is believed that over a period when the EIA process matures further and
sustainability issues and cumulative effects gain greater importance, the
scoping exercise will emphasize the objective consideration of alternatives.
78 Chapter 3
3.3.5 Types of alternatives

Some typical alternatives considered for a development project are:
a. the type and scale of the project

b. processes or technology to be employed
c. project location
d. implementation methodology
e. scheduling, etc.
Typical categories of alternatives for projects given by Canter (1996)

include:
1. project alternatives
2. project size alternatives
3. site-location alternatives
4. design alternatives for the selected project
5. construction and operation alternatives for a given design
6. timing alternatives for project construction and operation
7. no project or no action alternative
These are described below by Rathi (2016).
1. Project alternatives: it may be possible for some projects to have

alternative different projects for meeting the basic objectives of the
proposed development. For example,
a. long-distance transportation could be carried out by
projects like rail or road, and for urban transportation, city
bus or metro rail projects could be considered
b. energy generation could be achieved from projects like
nuclear ones or those based on conventional or non-
conventional resources
2. Project size alternatives: it may be possible to reduce the project

size to such a level that its impacts could be mitigated, say by
having smaller projects at different locations or carrying out phase-
wise additions to an existing project over a period. This may be
possible for some projects like those belonging to the manufacturing
sector, power generation, storage, real estate development, etc. For
example,
a. building a 6-lane highway or 4-lane highway in phase 1
and expanding it to 6-lane in phase 2
b. installing a 1320 MW thermal power project or 440 MW

in phase 1 and 440x2 MW in phase 2
c. setting up a 3 million mtpa cement plant at a location or
three cement plants of 1 million mtpa at three different
locations
However, it may not be possible for some infrastructural projects

where it has to be either the entire project or none like
a. a rail or road bridge on a river/creek

b. a flyover on rail or road crossings
c. a pipeline for transportation of crude oil from a port
terminal to a refinery site
d. power transmission from the place of generation to the
target consumer(s), etc.
3. Site-location alternatives: these are based on human habitation,

displacement of people, if any, proximity to habitats of rare and
endangered species, etc. This may be possible for projects like
a. manufacturing
b. energy generation
c. real estate development
But it may not be possible for
a. resource-based projects like mining and on-/offshore oil
and gas exploration and production, pithead thermal
power projects, etc.
b. some specific infrastructural projects proposed for a given
site, etc.
4. Design alternatives: these are needed for the proposed project at a

given site by using alternate technologies, feedstocks, sources of
energy, storage, etc. For example,
i. technologies: membrane or thermal processes for
desalination, conventional or supercritical technology for
coal-based thermal power projects, earth-filled or
structure-supported flyovers on rail/road crossings
ii. feedstocks: coal, natural gas, or furnace oil for thermal
power projects, ore or metal scrap for steel production,
wood pulp, bagasse, or wastepaper for paper
manufacture, and ethanol or methanol for acetic acid
manufacture
80 Chapter 3
iii. sources of energy: captive power generation using fossil

fuels or renewable resources or outsourcing power
iv. storage: overhead, surface, or sub-surface storage for
municipal water, or the latter two for petroleum products
v. routing of metro rail: surface, sub-surface, or elevated rail
network or a combination of these for different stretches
vi. material handling: conveyor belts, rail trolleys, or trucks
for transporting limestone from mines to the cement
plant, and coal from mines to pit head thermal power
projects
vii. materials of construction: steel or concrete structures for
bridges, stainless steel, or cladded-carbon steel for
equipment in petrochemical projects, and metal or
plastics in automobiles
viii. open or closed (indoor) facilities: installation of structures
and equipment open to the sky or within a building for a
chemical project
5. Construction and operation alternatives for a given design. For

example,
a. construction at the site (in situ) or using pre-stressed and
pre-constructed structural members
b. on-site fabrication or fabrication in shop floors and then
transportation to the site
c. horizontal or vertical storage tanks
d. automated process operations from centralized control or
locally-mounted instrumentation
e. automation in material handling systems or manually
operated
f. high or low level of inventory at the site, etc.
6. Timing alternatives: these are related to project construction and

operations like scheduling the construction-related activities. For
example,
a. taking up construction activities after harvesting the
standing crops on the land proposed for the project
b. avoiding site activities during the flowering and breeding
period of the unique local species and rare and
endangered species respectively in the surrounding areas
c. day or three-shift operations, etc.
7. No project or no action alternative: it may be appreciated that not

setting up a project at the proposed site is also an alternative that
merits consideration. The projected scenario is worked out
according to what may happen in case the proposed project is not
undertaken, and is compared to other project alternatives for
environmental, social, and economic impacts. For example, if the
no project alternative is considered for a proposed highway
between two identified cities, i.e. in case the proposed highway is
not constructed, then it may be possible that
a. economic activities in the proposed highway corridor
may not be realized
b. pressure on the existing rail network may increase, and
the number of passengers, as well as goods trains, may
have to be increased
c. water transport may be developed if there are waterways
nearby
d. air connectivity may be developed or the existing one
may have to be upgraded, etc.
3.3.6 Methodology of the consideration of alternatives

The generation of alternatives for a proposed project is an intricate process
involving a wide range of decisions to be taken by different stakeholders,
viz. minor decisions by the project technical team, and vital decisions by the
project proponent and/or the competent authority (IAIA 2015). Jones (1999)
proposed the following six steps for the consideration of alternatives:
a. defining the purpose and need of the proposed project

b. developing a range of reasonable alternatives to meet the stated
objective
c. screening alternatives related to the project objectives
d. shortlisting alternatives for the detailed analyses
e. documenting the analysis of alternatives in the EIA report, i.e.
identification, prediction, and evaluation of the environmental
impacts of each alternative
f. recommending the preferred alternative
Sadler (1996) observed that radical improvements were required in the EIA
framework in developing countries on policy, practice, and performance
fronts through suitable provisions in the existing EIA framework and its
implementation for an objective and rigorous analysis of alternatives. The
TOR need to emphasize the consideration of a wide range of reasonable
82 Chapter 3
alternatives especially for potentially controversial, and large projects, and

projects proposed in the vicinity of ecologically sensitive areas.
The methodology of consideration of alternatives needs to consider the

following basic aspects:
Identification of project alternatives
Alternatives are complicated and multiple sets of options are required to be

generated rather than discovered (Gregory et al. 2012). The sectoral and
regional environmental assessment (World Bank 1993, 1999) could be used
to screen project alternatives (World Bank 1996), even though these may be
based on limited data, to facilitate the development of a broad framework
within which individual project proposals could be examined. For example,
sectoral environmental assessments could help to screen project location
alternatives based on considerations like land use/land cover, ecological and
social aspects for the airport, dams, and industrial area projects; coastal
resources and social aspects for port and harbor projects; airsheds, feedstock
and water resources for thermal power projects; etc.
Preliminary investigations including reconnaissance surveys may be required

to unify the identification of alternatives and the pre-project identification
process for carrying out a comprehensive analysis of alternatives (World
Bank 1996). There are complex and interrelating factors (IEMA 2014) to be
considered while identifying alternatives for major infrastructure projects.
Despite the varying definitions and interpretations of alternatives under the
differing regimes (González et al. 2013), all require staged analysis and
decisions to take these forward or discard them from project initiation to
seeking environmental approval. The basis of the selection of optimal
alternatives from the environmental viewpoint needs to be clearly
mentioned, and selection of any other alternative, if preferred, is to be fully
justified.
Generation of reasonable alternatives
The alternatives which are contextual, and driven by issues and participation,
and where multi-aims are at the core with explicitly made trade-offs are
termed as reasonable alternatives (Desmond 2007). The assessment of such
identified reasonable alternatives in an EIA could be questioned by
decision-makers. The description of reasonable alternatives should thus be
accurate and precise. The alternative aspect means that the reasonable
alternative must differ from the plan proposed by the project proponent in
terms of environmental impacts. For this reason, Szopi ski (2017) does not
consider the zero (baseline) variant (i.e. not carrying out the project at all) a
reasonable alternative because it does not involve environmental impacts.
However, the no project scenario is considered an alternative (Canter 1996),
specifically in the EIA frameworks in the USA and the EU. Economic
criteria may serve as an element justifying the selection of the specific
option, but do not justify avoiding analysis of a reasonable alternative in the
EIA report. To be an alternative, the option generally must differ in spatial
or technological terms, or economic or social criteria. A reasonable
alternative for a given type of project (Szopi ski 2017) cannot be merely
abstract, theoretical, or illusory, i.e. it cannot be essentially the same project,
at the same location, with only slight technical differences.
Alternatives and stakeholder participation
Stakeholders participation during the identification and analysis of

alternatives can be beneficial in obtaining information besides building
consensus (World Bank 1996). Analysis of alternatives needs to be
transparent, balanced, and responsive to stakeholder views. The principal
component analysis method of alternatives analysis was found useful in
enhancing discussion on alternatives and improved public involvement
(Kamijo and Huang 2016, 2017).
Comparative assessment of alternatives
The objective of comparative analysis is to sharply define the merits and

demerits of realistic and reasonable alternatives, thereby providing
decision-makers and the public with a clear basis for choosing between the
options. Comparative assessment should bring out distinctions objectively,
and as simply as possible using a table or matrix summarizing qualitative or
quantitative information for each option with decision criteria (economic,
technical, environmental, and social) on one axis and options on the other
(World Bank 1996). Scaling, rating, or ranking checklists may be applied to
compare many alternatives. The description of each recommended
alternative needs to include general project progression, pre-operation and
operation activities, and post-operation requirements (US Department of
Energy 2004). Each analyzed alternative, including no action, needs to be
described objectively, focusing on clear explanations of the elements or
activities that define each alternative, using the same period, and avoiding
any appearance of bias, in such a manner that the differences between the
alternatives become clear. For comparative assessment, it is necessary to
conduct detailed investigations on different features of alternative locations,
and on the aspects (DEAT 2006) including:
84 Chapter 3
a. direct, indirect, and cumulative impacts over the project lifecycle

b. mitigation measures
c. capital and operating costs
d. physical, legal, or institutional constraints
e. compliance with policy and legal requirements
3.3.7 Who undertakes the consideration of alternatives?

The consideration of alternatives is generally undertaken by the project
proponent (Jones 1999). In such a case, the selection of the alternative might
have been predominantly based on technical and financial considerations.
The EIA team leader (Rathi 2016, 2017), some sectoral experts, and the
concerned functional professionals need to ensure that environmental
considerations are duly considered in compliance with the TOR. If the
environmental and social impacts are found to be broadly similar to the
selected alternative and that proposed by the project proponent, the proposal
of the project proponent could be taken up for further impact assessment.
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CHAPTER 4
ENVIRONMENTAL IMPACT ASSESSMENT:

METHODOLOGIES AND TECHNIQUES
An environmental impact assessment (EIA) essentially consists of three

steps, viz.:
1. Impact identification
2. Impact prediction, or estimation
3. Impact analysis, evaluation, or assessment for determining
whether the impacts are significant
For carrying out a complete study on the EIA for a proposed project at a
given location, it is necessary to adopt appropriate EIA methodologies.
4.1 EIA methods and techniques

Several EIA methodologies, including those given by Canter (1996), are
described in the literature, and illustrated below:
1. *Analogs
2. Case studies
3. *Checklists (simple, weighting, scaling)
4. *Expert opinionsprofessional judgment, Delphi, adaptive
environmental assessment, simulation modeling
5. Expert systems (for impact identification, prediction, assessment,
decision-making)
6. The literature search
7. *Mass balance
8. *Matrices and interaction diagrams (simple, stepped, weighting,
scoring)
9. *Networks (impact trees and chains)
10. *Overlay mapping (GIS)
11. Photographs and photomontages
12. *Qualitative modeling (conceptual)
88 Chapter 4
13. *Quantitative modeling (media, ecosystem, visual, archaeological,

systems analysis)
14. Risk assessment
15. Scenarios
16. Trend extrapolation
17. Environmental index using factor analysis
18. Ad hoc (expert opinion, opinion poll, Delphi)
* frequently used methods and techniques (Fischer and Jha-Thakur 2008)
Most of the above methods are best suited for impact identification. Some
frequently used methods are described below in brief:
1. Analogs
Analogs are used to draw on the experiences of similar projects in other

regions or countries. It is necessary to use environmental monitoring data to
ensure a sound analogy of the probable impacts of the proposed project.
2. Checklists
Checklists may range from a simple listing of environmental factors in a

structured format to a listing that incorporates mathematical modeling.
These are strong indicators of impact identification. The checklists being
employed include:
i. simple checklistshaving a listing of environmental factors

without specific data needs, measurement of parameters, or impact
assessment
ii. descriptive checklistshaving a listing of environmental factors
with information on the measurement of parameters and impact
assessment
iii. weighting type checklists in which weights are assigned for
importance to environmental parameters. An index is then
computed which helps to compare project alternatives
iv. scaling type checklists in which the listed impacts are ranked in the
order of severity or magnitude. The scaling technique is used for
comparing the impacts of different alternatives
The benefits of checklists include:

Environmental Impact Assessment: Methodologies and Techniques 89
a. simplicity in identifying relevant environmental factors for

evaluation
b. consideration of impacts during the early stages of the
assessment process
c. representation of the collective knowledge and judgment
d. impact identification based on magnitude and importance of
impacts from weighting and scaling type checklists
However, this method has some limitations including the following:
a. these are too general and identification of impacts is qualitative

b. direct cause and effect relationships are not established
c. interdependencies, relationships, or synergism between
interacting environmental components do not get reflected
d. variations in environmental conditions do not get described
e. specific data needs are not spelled out
f. weighting and scaling type checklists are subjective
3. Expert opinions
This method involves seeking opinions of the recognized experts in relevant

fields on the impacts of the proposed project, generally in a structured
manner using questionnaires. Opinions may be sought from individuals or
by holding meetings or workshops with experts for developing alternatives
based on relative impacts. The advantage of this method is that the study
could be completed in a shorter period. However, it involves subjective
judgment since the viewpoints of even recognized experts may differ.
4. Mass balances
Mass balance calculations refer to the analysis of existing situations and

conditions with those expected to result from the proposed project activities.
These are mostly used in estimating air emissions, and water, solid and
hazardous waste discharges. This method is particularly useful for
manufacturing sector projects which propose to employ well-established
and commercially proven manufacturing technology, for which complete
information on the manufacturing process is available.
5. Matrices and interaction diagrams
In this method, the activities associated with each lifecycle phase of the
proposed project are listed along one axis, and environmental components
90 Chapter 4
on the other axis. The inputs into matrix cells could be either qualitative or
quantitative. There are two types of matrices:
a. simple interaction matrices

b. importance-rated matrices
The simplest matrices indicate only the occurrence of an impact without any
references to its magnitude or significance. In more sophisticated matrices,
like importance-rated matrices, quantitative estimates of magnitude and
significance of the impact are combined with a weighting scheme to obtain
an overall impact score.
The advantages of the matrices method include:
a. a visual description of the relationship between project

activity and an environmental component
b. impact identification for the activities in each lifecycle phase
of the project
c. identification of overall site-specific impacts
The matrices, including the Leopold matrix, Petersen matrix, and

Component interaction matrix, are generally used in EIA studies. The
component interaction technique was developed to structure a preliminary
investigation of secondary impacts. The technique is based on the
component interaction matrix, first described as an aid to environmental
assessment (Ross 1974).
6. Networks
A network diagram, shown in the form of a tree, called an impact tree,

visually describes cause and effect relationships at different levels. The
relative dependence of one factor on the condition of another may be
indicated by various arrow widths and heights for primary and secondary
impacts. These are used to identify the structure, key elements, and
interactions in a system using, e.g. decision flowcharts and loop analysis
with negative and positive feedback loops.
The advantages of the networks method include:
i. interaction between activities and impacts is displayed

ii. direct and indirect impacts are considered
The limitations of this method are that it:

i. becomes very complex when used beyond its simplified form

ii. is subjective
7. Overlay mapping
The overlay mapping technique, formerly developed for town planning

studies, is based on a set of maps of environmental characteristics or themes
(like biophysical, social, aesthetic), prepared on the same scale, to provide
for a composite characterization of the environment of the project site.
Impacts can then be identified by noting the affected environmental
characteristics. For each parameter to be considered, a transparent overlay
sheet is prepared and by combining different sheets prepared in different
colors and represented on the base map, the resultant composite sheet,
displaying spatial aspects and several components, emerges from which
specific or overall impacts could be gathered.
In place of conventional transparent sheets, the information can be used on

the Geographical information system (GIS) platform and analyzed by using
computer software. A GIS can be used to integrate maps prepared even on
different scales and generate new maps by overlaying different types of
maps showing different attributes or themes. For example, by overlaying
maps of vegetation and soils, a new map on land suitability can be generated
and the impact of proposed projects can be studied.
The advantages of the overlay mapping method are that it is:
a. simple
b. user-friendly
c. applicable in the identification of suitable sites for the proposed
activities
The limitations of this method include the following:
a. maps tend to oversimplify

b. traditional map overlays do not bring out specific interrelationships
between environmental factors
c. only direct impacts are addressed without considering the
probability or duration of the impacts
d. ecosystem dynamics through time cannot be effectively described
92 Chapter 4
7. Qualitative modeling
The qualitative models refer to descriptive methods in which relevant

information is utilized to understand the effects of project activities that
have the potential of causing changes in the different environmental
components. This method is generally based on professional judgment.
8. Quantitative modeling
These are mathematical models used specifically for predicting the expected
changes in environmental media or resources over a period. These range
from simplified to very complex models like 3-dimensional computer-based
models. Extensive data input is often required for such models and several
assumptions are in-built in the models. Quantitative modeling is most
effective when the requisite data is available, and environmental factors are
easily quantifiable, enabling the assignment of a mathematical value to each
of these.
9. Combination of methods
A change anticipated in a particular environmental component may induce

a series of changes in several interrelated components at varying severity
over a large geographical area and over time. Computer-aided
methodologies use a combination of matrices, networks, overlays, and
analytical models. For example, a hybrid method (Wathern 1984),
combining a matrix and a network, is used for identifying secondary impacts
on the components of the ecosystem. This method considers activities and
causal factors that are likely to induce changes, and the consequence of a
particular causal factor is probed through a cause-condition-effect chain.
11. Ad hoc methods
Ad hoc methods generally involve the constitution of a multidisciplinary

team of experts who identify broad areas of possible impacts in their
respective areas of expertise. Composite environmental parameters, e.g. air
quality, drainage, flora, and fauna, displacement of people, etc., which are
likely to be affected by the proposed activities are listed based on
considerations like long-term or short-term effects, or the reversibility or
irreversibility of impacts. In these methods, the experts rely on an intuitive
approach based on their experience and make a broad-based qualitative
environmental assessment. When highly experienced persons are involved
in conducting EIA studies, the EIA methodologies generally tend to be ad
hoc (Jain et al. 2004) as heavy reliance on the experience overrides the
selection and adoption of methodologies.
Ad hoc methods include opinion polls, expert opinions, Delphi methods, etc.
These methods are very simple to use. However, the shortcomings of these
methods include the following:
i. impact assessment on specific parameters is not done

ii. the cause-effect relationship is not established
iii. there is no assurance that all the relevant impacts are studied
comprehensively
iv. the criteria used by different experts or expert groups may not be
consistent
v. it is inefficient as the best experts might not have been involved
4.2 Requirements of the methodology

While selecting a methodology or a combination of methodologies for an
EIA, it needs to be ensured that the selected methodology is appropriate and
that it takes into consideration all the required aspects for conducting the
EIA study effectively. The selected methodology should fulfill certain
requirements (Jain et al. 2004), as discussed below.
4.2.1 Impact identification

The impact identification may initially appear to be an easy assignment for
identifying direct impacts from project-related activities, i.e. those which
have first-order relationships with an impact-causing factor. For example,
loss of vegetation resulting from site clearance activities. But such direct
impacts provide a limited picture of several impacts (Bisset 1984) which
can result especially from large projects. Thus, a methodology for impact
identification needs to have a mechanism that considers complex
environmental linkages to ensure that
i. impacts, both direct and indirect are identified comprehensively,

viz.
a. the physical-chemical
b. ecological
c. social-cultural
d. visual and aesthetic
e. resource base
94 Chapter 4
f. induced developments that have the potential of changing

the patterns of
a) land use
b) resource consumption
c) energy use
d) population and demography
e) occupation
f) social equity, etc.
ii. specific impacts are identified, viz. on the different
environmental components and their attributes such as
a. air for different air quality-related parameters
a. water for water resource sustainability and different
water quality-related parameters
b. land for land use/land cover, landscape, and soil-
related parameters
c. ecology for terrestrial, aquatic, coastal and marine
flora and fauna including avifauna, and their
interrelationships
iii. project-related impacts are identified, i.e. the impacts which
could be distinctly attributed to the proposed project and the
related activities. These would also include project-specific
impacts like a water body getting colored because of discharge
of colored wastewater from dyes manufacturing units into it
iv. the duration and timing of impacts in each lifecycle phase of
the project are identified, i.e. frequency of occurrence and
duration of impacts arising from continuous, non-continuous,
and periodic activities are identified
v. impact identification is done based on the relevant data; the
need for such data is brought out
The impact identification from the proposed activities is primarily done

based on:
i. a scoping process using techniques like checklists, matrices,

networks, or overlay mapping
ii. the literature search for similar activities and case studies
iii. the experience or exposure of the professionals to similar
activities
iv. professional judgment (IMA 2006) based on the information
on the
a) anticipated nature and duration of activities in each
lifecycle phase of the project
b) resource usage
c) emissions and discharges generated under normal
and abnormal operations, and non-operational and
accidental conditions
4.2.2 Impact prediction

Impact prediction methodology requires a mechanism which ensures that:
i. impact magnitude or severity is predicted according to

different components of the environment
ii. specific environmental parameters, measurable indicators, or
indices are used for quantifying impacts on different
components
iii. an objective impact prediction is carried out rather than a
subjective one, and professional judgments are used only
where objective predictions are not possible
iv. it is adaptable to predict a broad range of impacts reliably
v. validated prediction models are used for ensuring reproducible
results
vi. the uncertainty involved, assumptions made and assumptions
that are in-built in the prediction methods or models employed
are clearly stated
4.2.3 Impact assessment

The impact assessment methodology requires:
i. explicit determination of the significance of the predicted

impacts
ii. assessment of uncertainty or degree of confidence in the
determination of the significance
iii. inclusion of the assumptions made or criteria used for
determining impact significance
iv. identification of any impacts that have a low probability of
risk but severe consequences or loss potential
v. a mechanism that aggregates impacts on different components
of the environment into an overall impact
vi. a mechanism for public involvement in the determination of
impact significance
96 Chapter 4
The following information forms the basis of establishing the significance

of the impacts, and impact analysis or assessment:
a. knowledge of the applicable regulatory framework

b. environmental baseline information
c. type and nature of the predicted impacts
d. level of confidence in predictions
e. details of project-related activities under implementation
and those approved for implementation in the proximity
of the proposed project
f. carrying capacity of the region
The Battelle checklist could also be used in the determination of

significance. The significance of impacts is described in Chapter 5.
4.3 Methodology selection

Impact assessment methods may vary among
a. project sectors, i.e. a method used for a manufacturing sector

project will be different from that used for an infrastructural
project
b. environmental components, i.e. a method used for the
physical-chemical environment will be different from that
used for the ecological environment or social environment
The methodology selection will depend upon several factors (UNEP 2002)
including the following:
a. type and size of the project

b. type of alternatives being considered
c. nature of the likely impacts
d. availability of the impact identification methods
e. availability of the impact prediction methods
f. skills and experience of the EIA team in the use of impact
identification and prediction methods
It may, however, be appreciated that the methodology selected by the EIA

team leader will ultimately be governed by the availability of resources
allocated for undertaking the EIA study, viz.:
i. human resources for the level of their involvement,

expertise, and skills
ii. financial resources for data procurement and generation,

and software usage
iii. the time available for completing the study
It may be cautioned that an EIA is a means to an end, not an end in itself,

and as with many analytic methods, there is a risk that preoccupation with
a technique (Caldwell 1998) may override focus on the purpose.
4.4 Impact prediction and evaluation/assessment

The impact prediction for positive as well as negative impacts, in terms of
their severity or magnitude, is generally done in the form of quantitative
terms and/or qualitative terms. The qualitative evaluation of environmental
impacts is generally employed for the impacts related to ecological, social,
and visual and aesthetic aspects. Nevertheless, the use of quantitative
evaluation based on mathematical modeling of these aspects is increasing.
4.4.1 Quantitative form

The concentrations of specific pollutants in air emissions and wastewater
discharges are expressed in numerical values for ease of comparison:
i. with the corresponding permissible emission and

discharge concentrations specified in the applicable
regulations
ii. with the corresponding environmental baseline
concentrations
iii. among the alternatives considered
In addition to predicting and expressing the parameters related to the

physical-chemical environment, viz. air, noise, water and wastewater, and
soil in quantitative terms, risk assessment is also expressed in quantitative
terms. Typical examples of the use of quantitative mathematical models
include:
a. air dispersion models to predict and express emissions and

concentrations of pollutants at ground level at different distances
from say, a point source like a boiler stack, in the form of isopleths
b. noise prediction models to predict and express ambient sound
levels at different distances from sources of noise like a pump, in
the form of isopleths
98 Chapter 4
c. hydrogeological models to predict and express the concentration

of pollutants in aquifers at different distances due to seepage of
water pollutants like heavy metals from a given surface source
Air dispersion modeling is most widely practiced and is described below in

detail.
Air dispersion modeling
The pollutants emitted into the air are transported over long distances by
large-scale air-flows and dispersed by small-scale air-flows or turbulence,
whereby pollutants get mixed with the ambient air and change its quality.
Dispersion by the wind is a very complex process due to the presence of
eddies of different sizes in the atmospheric flow. Air dispersion models are
tools that are employed to predict ground-level concentrations over a period
and space from a point, multiple points, line, or area sources of air
emissions. Atmospheric dispersion modeling is used for predicting transport
and dispersion of air pollutants under different atmospheric conditions. It is
primarily a:
i. mathematical simulation of the physics and chemistry governing

the transport, dispersion, and transformation of pollutants in the
atmosphere
ii. means of calculating the downwind concentration of an air
pollutant using the following information:
a) characteristics of the emitted pollutant
b) pollutant emission rate
c) characteristics of the emission source
d) local topography
e) meteorology of the study area
f) ambient or background concentration of the pollutant
It requires input data in source strength for each pollutant from a given
source along with meteorological parameters, topography, terrain features,
stack details, etc. Air dispersion modeling also uses mathematical
formulations to quantify the atmospheric processes that disperse a pollutant
emitted from a source. Based on emissions and meteorological inputs,
dispersion models can be used to predict concentrations at the selected
downwind receptor locations. Such models are widely used to determine the
impact of pollutant emissions on the environment.
Before discussing air dispersion models, it is necessary to understand

atmospheric phenomena governing the dispersion of air pollutants. The
temperature and pressure of the earths atmosphere change with altitude. In

the troposphere, which is the lowest layer of the atmosphere, 8-18
kilometers (km) from the earths surface, the temperature decreases with
elevation, and there is a rapid vertical mixing of air. When the atmosphere
is unstable, winds tend to be turbulent and gusty, and this type of weather
causes air pollutants to disperse erratically. Some terminologies related to
atmospheric science are described below.
1. Air parcel
An air parcel is a fictitious body of air to which the basic dynamic and
thermodynamic properties of atmospheric air may be applied. The air parcel
is small enough to have uniform properties. It is part of the air emissions
from a source. The motion of an air parcel and its dispersion into the
atmosphere after being emitted from a source depends upon several factors,
viz. temperature of the air parcel, atmospheric temperature, density, wind,
humidity, the stability of the atmosphere, vertical density stratification, and
buoyancy, mixing height, etc.
2. Vertical density stratification and buoyancy
The change in temperature over altitude is the main reason behind

atmospheric stability, which is an important factor in air dispersion. The
mixing of emissions emanating from a source into the atmosphere depends
upon the
a. atmospheric turbulence or stability which determines how

rapidly a parcel of polluted air gets dispersed as it moves away
from its source
b. plume width
c. mixing height
In terms of stability, the atmosphere can be stable, unstable, or neutral.

Atmospheric stability is classified into 6-7 categories: A to F/G; A being
very unstable, F/G very stable, and D, a neutral condition. Category A is
often associated with a more rapid dispersion of emissions and category F/G
with temperature inversions and the possible accumulation of emissions
(Petts 1999). The stability classes, generally referred to as Pasquill and
Gifford stability classes (Pasquill and Smith 1982), are described as A to F,
or 1 to 6 as follows, and illustrated in Table 4.1:
1. extremely unstable (A)

2. moderately unstable (B)
100 Chapter 4
3. slightly unstable (C)

4. neutral (D)
5. slightly stable (E)
6. moderately stable (F)
Table 4.1 Pasquill Stability Categories

Surface Daytime insolation Nighttime conditions*
wind
speed, m/s
Strong Moderate Slight Thin <= 3/8
overcast or cloud
>4/8 low
cloud
<2 A A-B B
2-3 A-B B C E F
3-4 B B-C C D E
4-6 C C-D D D D
>6 C C D D D
(Reproduced from Good Practice Guide for Air Dispersion Modeling 2004)
Pasquill-Gifford Stability Classes: A- very unstable, B- moderately unstable, C-

slightly unstable, D- neutral**, E- slightly stable, F- moderately stable
* The degree of cloudiness is defined as that fraction of the sky above the local
apparent horizon that is covered by clouds
** Applicable to heavy overcast day or night
The stability classes are estimated based on:
i. the incident of solar radiation combined with the surface wind

speed (measured at 10 m above ground level) for the daytime
ii. the function of cloud cover and the wind speed for the nighttime
Different stability conditions prevail at different times of day, e.g.:
a. maximum instability is favored by light winds and high or

moderate solar radiation
b. neutral class is favored by strong winds and lower radiation, and
overcast conditions in the nighttime
c. stable class occurs at nighttime, with moderate winds and clear or
slightly cloudy skies
During the daytime, the temperature of the atmospheric air generally

decreases with an increase in height above ground level as observed from
the graphs in Fig. 4.1. These graphs were prepared based on the
temperatures recorded at different altitudes by the author while traveling in
aircraft from 2013-2015 in the sectors Ahmedabad-Delhi-Ahmedabad,
Ahmedabad-Hyderabad-Ahmedabad, and Mumbai-Singapore. In a plot of
altitude versus temperature, a straight line (the slope of the vertical
temperature profile) is the rate of decrease in temperature with an increase
in height, termed as the adiabatic lapse rate, which is observed in the range
0. 54-0.750C per 100 m.
3. Mixing height
The mixing height is the thickness of the atmospheric layer in which the
vertical mixing of air pollutants is expected to be vigorous. The mixing
height sets the upper boundary limit for the dispersion of air pollutants. Air
pollutants released from stacks will get mixed up to the mixing height but
not above it. There is no upward air motion above the mixing height because
of the very stable atmospheric conditions above it. Mixing is primarily
regulated by ambient air temperature at ground level, wind speed, and
atmospheric stability. The mixing height at a given time of day can be
estimated from the surface ambient temperature and vertical temperature
profile. The mixing height varies diurnally and seasonally and is also
influenced by the topography of the project site. Generally, in the tropical
climate, the mixing height is found to be the least late at night and maximum
in the afternoons, and less in winter and more in summer. Turbulent mixing
in the lower atmosphere is closely related to changes in air density with
increasing height. As observed from Fig. 4.2, the air density changes due to
changes in radiative heating during the day and cooling of the ground during
the night, resulting in stable, neutral, or unstable atmospheric conditions.
Neutral atmospheric conditions occur when the total enthalpy in the

atmosphere is near-constant with height, i.e. heat transfer between the
ground and the atmosphere is very small. Neutral conditions develop when
the sky is overcast and the weather is windy. Under these conditions, both
the air density and the temperature decrease slightly with height. Unstable
conditions occur in the daytime when the earths surface is heated through
convection by the sun. The hot earth surface heats the atmosphere from
below, leading to unstable density stratification.
102 Chapter 4
104 Chapter 4
Fig. 4.1 Vertical temperature profile

With hot air rising and expanding adiabatically in long vertical columns,
transient thermals occur. This rise continues up to a mixing height where
the air density inside the thermal is equal to the surrounding air density. This
mixing height is also the height of the mean temperature inversion. Thermal
106 Chapter 4
convection in the unstable atmosphere leads to high mixing rates in the

vertical direction and hence rapid dilution of pollutants released from stacks
takes place. At night, there is radiative cooling between the earths surface
and the sky. The cold earth surface cools the atmosphere from below
through conduction and convection whereby the density of air decreases
with increasing height. This results in a stable vertical temperature and
density profile. The stable stratification leads to limited vertical mixing rates
in the atmosphere. Thus, dilution rates of pollutants in calm and stably
stratified conditions are far less than in unstable conditions. Stable density
stratification also occurs above the mean temperature inversion height in
unstable atmospheric conditions. The unstable mixing height is often
marked by inversion or change in the slope of the vertical density profile
(AIChE 1995). Atmosphere stability is affected significantly by temperature
inversion when the atmospheric temperature increases with elevation.
Temperature inversion leads to very stable atmospheric conditions and
falling of air parcel. Because of poor air dispersion, there is an accumulation
of pollutants at ground level.
In contrast to plume rise, a plume may drop due to the interaction between
the plume and the atmosphere near the stack. This is called plume
downwash. Plume downwash may increase ground-level air pollutant
concentrations.
Classification of air pollution dispersion models
Numerous air dispersion models are available and these can be categorized
into four generic classes (Tan 2014), viz.:
a. Gaussian models
b. Numerical models
c. Statistical models
d. Physical models
Many air dispersion models are available at the US EPA websites for free
use. The European Topic Centre (1996) classified the air pollution
dispersion models broadly as follows:
1. Plume rise
2. Gaussian
3. Semi-empirical
4. Eulerian
5. Lagrangian
6. Chemical modules
7. Receptor
8. Stochastic
The dispersion models, whether Gaussian plume models or advanced

models are generally applied when
a. emission sources are well identified, which could be numerous

b. emission sources are point, line, or area sources
c. environmental impact locations, i.e. the receptors are specified
d. focus is on worst-case scenarios of undesired impacts
It needs to be recognized that the same results may not be obtained by using
different models. The possible reasons for deviations in the results may be:
i. limitations of each model due to the inherent assumptions involved

ii. the extent of the meteorological data requirement of each model
iii. data input that is not accurate or relevant
iv. uncertainties in observations
v. uncertainties in the representativeness of both the observed and the
modeled data, etc.
Atmospheric models are key to air quality assessment studies but their
limitations should be well understood and taken into account. The principal
issues (NIWAR 2004) considered for deciding the most appropriate model
are:
a. the complexity of dispersion, e.g. terrain and meteorology effects

b. the potential scale and significance of impacts including the
sensitivity of the receiving environment, e.g. human health versus
amenity impacts
An understanding of the features of different models (NIWAR 2004) helps

in taking a suitable decision on whether to use the Gaussian plume model
or an advanced model.
i. Gaussian plume models
Gaussian air dispersion models are the most widely used for
estimating the impact of nonreactive air pollutants. A Gaussian
plume model can be used to predict the downwind pollutant
concentration resulting from a point source under a specific
atmospheric condition. Gaussian plume models
108 Chapter 4
a) are usually applicable only to near-field (within 10 km

from the source) calculations
b) shoot out light beams to infinity and do not consider the
time for the plume to travel from source to receptor
c) treat SOx and NOx chemistry as a simple exponential
decay without attempting to address the detailed
mechanisms of atmospheric chemistry unlike advanced
models which can deal with SOx, NOx, organic chemistry
and aqueous-phase chemistry, and secondary aerosol
production
d) are unable to model inversion break-up fumigation events
with the exception of OCD and DISPMOD models. A
SCREEN3 model can be used for a preliminary
assessment of fumigation events
e) are unlikely to accurately model stable nighttime
stagnation events
f) assume spatial uniformity in the meteorology
g) do not allow for plume channeling caused by topography
except CTDM and ADMS3 models
ii. The Gaussian plume ISCST3 model currently has the same
algorithms as CALPUFF for modeling wet and dry deposition
of gases and particles
iii. Gaussian plume AUSPLUME and AERMOD models have a
crude reflection coefficient algorithm for estimating particle
deposition
In advanced models,
a. the effects of terrain and coastal areas on transport

and dispersion of a pollutant can be simulated in a
more realistic manner
b. non-uniform meteorological conditions due to sea
breezes, slope and valley flows, or other
meteorological phenomena can be addressed
Advanced dispersion
High models, e.g.
TAPM, CALPUFF
Airshed models, e.g.

UAM-V, CALGRID
Gaussian plume
Models, e.g.
Complexity ISC, AUSPLUME
of
dispersion
Permitted
Special
discharges
application
models, e.g.
Modelling rarely CALINE4, DEGADIS
required
Low
Complexity of effects
Simple Complex
Fig. 4.3 Applicability of typical dispersion models
(Source: NIWAR, 2004)
Characteristics of air pollution dispersion models
The recommended applications of different air dispersion models under

specific conditions are depicted in Fig. 4.3. The characteristics of these
models are discussed below.
1. Gaussian plume models
Gaussian plume models are widely used, mainly because these
i. are simple to use

ii. are well understood
iii. have simple meteorological data requirements
Conservative results are often reported from these models for short (<100
m) or low-level sources, and these models are more likely to over-predict
rather than under-predict ground-level concentrations. This offers some
degree of safety margins in the air quality assessment at short distances
from the emission sources or low-level sources. These could be understood
from the following basic features of the Gaussian plume model:
110 Chapter 4
a. it is a material balance model for emissions from a point source

b. it is a statistical model that shows the Gaussian distribution of
pollutant concentration over a period, 15 min or longer
c. the Gaussian plume formula is derived from the assumption of
steady-state conditions, i.e. the Gaussian plume dispersion
formulae do not consider time as a variable
d. meteorological conditions are assumed to remain constant during
the dispersion from source to the receptor, effectively considering
the instantaneous transport of pollutants
e. emissions and meteorological conditions can vary from hour to
hour but the model calculations in each hour are independent of
those in the earlier or later hours (the term steady-state should not
be understood to mean that conditions are the same throughout the
day). Due to this mathematical derivation, Gaussian plume models
are referred to as steady-state dispersion models
f. in Gaussian models, wind speed is considered constant or average
wind speed is used, and the emission source is considered
continuous and steady. When the wind is variable or the emissions
source is not steady, the Gaussian puff model is employed. Unlike
the plume models, puff models work for low wind speed
conditions, and can also handle the change of wind directions over
time by coupling with a wind rose.
It may, however, be appreciated that in practice,
i. plume characteristics change over time as these are dependent on

the emissions and meteorological conditions
ii. steady-state dispersion models calculate concentrations for each
hour from an efflux rate and meteorological conditions that are
uniform across the modeling domain, thereby hourly average
concentrations get simulated
iii. the plume formula breaks down in calm conditions because it has
the uniform wind speed in the denominator. Thus, it is usual to
specify a minimum allowable wind speed for the model
The software AUSPLUME and ISCST3 were primarily developed for

calculating impacts in the regions which have flat terrain. The steady-state
assumption is used in these models.
The more advanced AERMOD and CTDMPLUS software are employed

when complex terrain is involved. AERMOD is a near-field, steady-state
guideline model. It uses boundary layer similarity theory to define
turbulence and dispersion coefficients as a continuum, rather than as a

discrete set of stability classes. In this model, a variation of turbulence with
height allows for better treatment of dispersion from different release
heights. Also, dispersion coefficients for unstable conditions are non-
Gaussian to represent the high concentrations that can be observed close to
a stack under convective conditions.
CTDMPLUS, a US EPA regulatory model developed specifically for tall

point sources in complex terrains, is a steady-state plume model containing
algorithms that enable a more physically realistic description of vertical
dispersion and airflow around complex terrain features. CTSCREEN is a
screening version of CTDMPLUS.
One of the simplest and most widely used software in India, viz. ISCST3,
the steady-state Gaussian model, takes into consideration the following:
i. hourly data on emission rates from the source, efflux

velocity, and stack gas temperature
ii. gradual plume rise
iii. buoyancy-induced dispersion
iv. terrain complexity including plume reflection off elevated
terrain
v. stack-tip downwash
vi. building downwash
vii. partial penetration of elevated inversions
The following limitations of steady-state Gaussian models should be

weighed vis-a-vis the advantages of simplicity while selecting plume
dispersion models:
a. Causality effects: Gaussian plume models assume that pollutant

material is transported instantly in a straight line (like a beam of
light) to receptors even though these may be several hours or more
in transport time away from the source. It means that plume models
cannot account for causality effects, which may become important
to receptors at distances of more than a couple of kilometers from
the source
b. Low wind speeds: Gaussian plume models break down during
low wind speed or calm conditions due to the inverse wind speed
dependence of the steady-state plume equation, which limits their
application. These models usually set a minimum wind speed of
112 Chapter 4
0.5 or 1 meter (m) / second(s) (as default values) and sometimes

overwrite or ignore input data below this
c. Straight-line trajectories: Gaussian plume models do not account
for turning or rising wind caused by the terrain itself, and thereby
in developed areas, these models may typically overestimate
terrain impingement effects during stable conditions. CTDM and
SCREEN, however, address this issue
d. Spatially uniform meteorological conditions: Gaussian steady-
state models assume that the atmosphere is uniform across the
entire modeling domain and that transport and dispersion
conditions remain unchanged between source and receptor. In
reality, truly uniform conditions rarely occur in the atmosphere.
Water bodies, hills, and other terrain features, differences in land
use, surface characteristics, surface moisture, e.g. irrigated or un-
irrigated agricultural fields and precipitation, etc. produce
inhomogeneities in the structure of the boundary layer, influencing
transport and dispersion of pollutants. Further, convective
conditions, which cause non-uniform meteorological conditions,
are also not considered. Thus, under-predictions are reported in the
near field for emissions from tall stacks (>100 m) under convective
conditions. AERMOD, however, is an exception as it incorporates
a specially developed add-on probability density function
e. No memory of previous hours emissions: In calculating each
hours ground-level concentration, the Gaussian plume model has
no memory of the pollutants released during the previous hour.
This limitation achieves significance in the appropriate simulation
of morning inversion break-up, fumigation, and diurnal recycling
of pollutants over urban areas
2. Advanced dispersion models
When a Gaussian plume model is found to be inappropriate for an

application because of its limitations, and a full puff model meteorological
data set is not available, an advanced model with a single-point
meteorological data set is generally considered. The advanced models are
mostly recommended when:
i. meteorological conditions are observed to vary across the

modeling domain, and are thus not compatible with a steady-state
model
ii. sources or receptors are located in complex terrain, which affects
the meteorological as well as the plume dispersion characteristics
iii. pollutants accumulate in calm conditions or are re-circulated as the

wind changes direction
iv. frequent periods of low wind speed or calm are experienced
v. chemical transformations between pollutant species take place
vi. the required meteorological data is available
One of the most used advanced dispersion models is CALPUFF, a puff

dispersion model, endorsed by the US EPA as a guideline model to be used
for applications involving long-range (>50 km) transport of pollutants. It
can also be used on a case-to-case basis in situations involving complex
flow and non-steady-state conditions for fence-line impacts to 50 km
distance. CALPUFF is a multi-layer, multi-species, non-steady-state puff
dispersion model which can simulate the effects of time- and space-varying
meteorological conditions on pollutant transport (Scire et al. 2000). It takes
into account a variety of effects such as:
i. spatial variability of meteorological conditions

ii. causality effects
iii. dry deposition and dispersion over diverse spatially varying land
surfaces
iv. plume fumigation
v. low wind speed dispersion
vi. pollutant transformation
vii. wet removal
Limitations of advanced models
Advanced dispersion models are more sophisticated than Gaussian plume

models and are expected to produce more realistic results. Even then, the
results from advanced models should not be automatically assumed to be
better than those obtained from simple Gaussian plume models. For
example, unlike advanced models, plume models have an additional feature
like the building downwash algorithm. Some other examples where
advanced models may not give better results than Gaussian plume models
include:
a. grid-point models close to a localized source

b. near-field receptors under non-convective conditions
c. near-field receptors for wind speeds over 1 m/s
114 Chapter 4
3. Modeling for specific conditions
A. Air shed modeling
The standard dispersion models, whether Gaussian plume or puff, may not
be appropriate in practice for environmental impact assessment for an entire
region, particularly for emissions from all the sources in an urban area. For
such applications, air shed models are generally employed. Instead of
tracking plumes of pollutants from the point, line, or area sources, an air
shed model divides the entire study region into a series of cells and models
to track what happens as pollutants are moved by the wind from one cell to
the next. The models have variable grid sizes from a few meters to several
kilometers and time steps from a few minutes to several years, depending
upon the requirements. Air shed models can take account of what is
happening in the vertical structure of the atmosphere and thus have a
number of layers in the grid boxes, often with variable depths. The models
can also account for chemical transformations of pollutants that may occur
in the atmosphere.
The models are used to examine the air quality characteristics of an entire
region, incorporating all the relevant features of the region. The region or
air shed is defined by the application. A more common application of such
models is for urban air sheds, extending from a few kilometers to tens of
kilometers, to predict city emissions, i.e. where these are traveling and what
effect these have on the air quality of the city as well as on its surroundings.
B. Traffic emissions modeling
Estimating the emission rates from roadway projects is inherently complex

because of their dependence on several variables like
a. driving cycle, viz. starting, accelerating, steady speed, decelerating,

and idling
b. roadway conditions, viz. terrain, number of lanes, mud, asphalt, or
concrete surfaces, and speed breakers
c. vehicle fleet composition, e.g. two or three-wheelers, passenger
cars, buses, light, medium, or heavy commercial vehicles, and
large multi-axle vehicles using different fuels like gasoline, diesel,
natural gas, or LPG
d. traffic volume, e.g. number of vehiclesfree flow or congestion
A well-mixed zone of pollutants from a vehicle is produced by the

combination of
i. thermal turbulence from

a) warm road surfaces
b) buoyant vehicle exhaust plumes, and
ii. mechanical turbulence from
a) wind flow turbulence
b) induced turbulence from other vehicles
CALINE4 software, developed by the California Department of

Transportation and the US Federal Highways Agency for assessing roadway
traffic emissions, is based on the Gaussian diffusion equation and it employs
a mixing-zone concept to characterize dispersion over a roadway. It requires
data inputs like:
a. hourly meteorological conditions

b. line-source emission rates (vehicle speed, vehicle fleet
composition)
c. number of vehicles (traffic volume)
d. roadway configuration (free flow, congestion)
e. locations of receptors
Being a Gaussian plume model, CALINE4 has the same limitations as other
steady-state Gaussian plume models.
C. Coastal fumigation modeling
The consideration of the potential effect of coastal fumigation is relevant

when there is a large emission source located on a coastline. It may be
observed that for a tall stack, located on the coastal shoreline and emitting
a plume toward land, the plume gets embedded in the stable boundary layer
and is intercepted by a growing thermal internal boundary layer over land.
The height of this boundary layer increases with solar heating of the land
surface. Convective mixing over land can rapidly bring the elevated
pollutants to the ground, causing local high ground-level concentrations.
Sometimes coastal fumigation may persist for several hours and that too at
the same location.
DISPMOD, a steady-state Gaussian plume model developed by the Western

Australia Department of Environmental Protection, and OCD, the US EPA
model, contain algorithms to model thermal internal boundary layer effects
and can be employed for modeling coastal fumigation. Other steady-state
models cannot simulate the high ground-level concentrations in the thermal
internal boundary layer. The effects of coastal fumigation can be simulated
using a Gaussian plume model, viz. DISPMOD, OCD, ADMS3, or
116 Chapter 4
SCREEN 3; or an advanced model such as CALPUFF, which can handle

this specific effect.
D. Visibility modeling
Visibility, a measure of how far people can see and what is the color of the
sky, is considered an amenity value rather than a health hazard per se.
Prediction of how visibility gets affected is complex because it involves an
estimation of the dispersion of pollutants, the way they are transformed by
reactions in the atmosphere, and how people perceive visibility. CALPUFF
and PLUVIEW, the US EPA models, can be employed for modeling
regional visibility and calculating the visual impact of a single plume. The
FOG model for calculating the visual impact of a single plume is built into
the CALPUFF model.
E. Accidental releases modeling
Accidental releases can result in very high ground-level concentrations of

pollutants even for a short duration. A catastrophic rupture of a pipeline or
storage tank, or a spill from a storage tank or a road tanker can produce a
release lasting from a few seconds to a few minutes. Gases or liquids can
leak from around seals, pipe joints, valves, cracks, or holes in equipment or
piping. High-pressure releases of both gases and liquids from pressure relief
valves or rupture discs could occur, accompanied by flashing of the fluid to
a vapor-liquid mixture. A release lasting from 10-30 minutes could be
described as a small continuous release. The modeling of accidental releases
is useful for emergency response preparedness. The model outputs are used
to estimate impact zones and potentially affected people. The modeling of
accidental releases requires the use of both
i. the source emission model

ii. the transport and dispersion model
The accidental releases involving dense gases cannot be modeled by the

commonly used plume or puff models. DEGADIS+ (US EPA 1998), SLAB
(Ermak 1990), AUSTOX (Ross 1994, Ross and Koutsenko 1993) are
considered appropriate models for modeling an accidental release of dense
gases. When there is an instantaneous release or a burst of buoyant material,
a puff model like CALPUFF could also be used.
F. Salt and steam effects: cooling towers
Steam effects are visible steam plumes from cooling towers, often observed
at thermal power stations and petroleum refineries. Fogging may occur from
the plumes released by geothermal cooling towers. The modeling is
employed to predict visibility aspects due to plumes affecting motorists,
aircraft, etc. Salt effects due to steam plumes containing salts result in
detrimental impacts to vegetation and structures by enhancing corrosion in
the long run. The visual extent modeling of a plume involves the calculation
of the plume path, length, and radius under a particular set of emissions and
environmental conditions, the assessment of parameters such as liquid water
content, and the temperature difference between the plume and the
environment. ATCOOL, a standard fogging model, is used to calculate the
variation of cooling tower plume parameters with height and distance
downwind. The algorithms of FOG are incorporated into the CALPUFF
model, and it is designed to simulate transport and diffusion of water vapor
emissions from multiple point sources.
4.4.2 Qualitative form

Wherever the expression of environmental impacts in quantitative terms is
difficult, suitable techniques are employed to minimize bias and subjectivity
in the qualitative evaluation of impacts and thereby in decision-making. The
rating or ranking techniques could be used for a systematic qualitative
estimation and expression including:
a. Likert scale (Business dictionary, n.d.)

b. Leopold matrix (Leopold et al. 1971)
c. Battelle Environmental Evaluation System (BEES)
d. Importance scale matrix
e. Combination of the techniques mentioned in c and d above (Goyal
and Deshpande 2001)
The use of matrices is quite effective in the evaluation of impacts, both

beneficial and detrimental. The Interaction matrix method, based on a
matrix developed by Leopold et al., is widely used for the evaluation of
environmental impacts.
Likert Scale
It is named after its inventor, Rensis Likert, an organizational behavior

psychologist. The Likert scale method ascribes quantitative value to
118 Chapter 4
qualitative data to make it amenable to statistical analysis. A numerical

value is assigned to each potential choice and a mean figure for all the
responses is computed at the end of the evaluation or investigation. Likert
scales usually have five potential choices, viz. very high, high, moderate,
low, and very low but sometimes these may go up to ten or even more. The
final average score represents the overall level of evaluation.
Battelle Environmental Evaluation System
The Battelle Environmental Evaluation System (BEES), developed by an

interdisciplinary team in 1972 at Battelle Columbus Laboratories (Dee et al.
1973), is a methodology for conducting an EIA. It is based on a hierarchical
assessment of environmental quality indicators. The system is based on a
four-tier classification, consisting of four levels:
Level I: Categories
Level II: Components
Level III: Parameters
Level IV: Measurements
Each category (level I) is divided into several components, each component

(level II) into several parameters, and each parameter (level III) into one or
more measurements (level IV). For 78 parameters, BEES identifies a total
of 4 categories and 18 components as follows:
i. Ecology
a) species and populations
b) habitats and communities
c) ecosystems
ii. Pollution
a) water
b) air
c) land
d) noise
iii. Aesthetics
a) land
b) air
c) water
d) biota
e) man-made objects
f) composition
iv. Human interest

a) Education and scientific packages
b) historical packages
c) cultures,
d) mood or atmosphere
e) life patterns
An importance unit is assigned to each parameter and, collectively, the

importance units are called parameter importance units for a component.
BEES can be used to evaluate the impacts of a project, and also to compare
alternatives.
Leopold Matrix
The Leopold matrix offers a simple way to summarize and rank environmental
impacts and to focus on the impacts that are considered to be greatest. The
advantage of the matrix format is that it considers the entire range of
activities, factors, and related impacts. The Leopold matrix was designed in
1971 for the assessment of environmental impacts associated with most
types of construction projects. 100 different project activities were listed
along one axis and 88 environmental characteristics and conditions,
including aspects of the biophysical and socio-economic environments,
along the other. It also involves the use of qualitative as well as quantitative
information about cause-effect relationships. In the Leopold matrix, the
i. magnitude of the interaction, i.e. extensiveness or scale is

described by assigning a value ranging from 1 (for small
magnitudes) to 10 (for large magnitudes), or from 1 to 5, in
which a value near 3 represents impacts of intermediate
extensity. The assignment of numerical values for magnitude
is done based on an objective evaluation of the available facts
and data
ii. scale of importance ranges from 1 (very low interaction) to 10
(very important interaction). The assignment of numerical
values for importance is done based on a subjective
judgment of the EIA team and/or experts consulted by the EIA
team.
As far as possible, the assignment of a numerical value to magnitude is

based on factual information. But the assignment of a numerical value to
importance may leave some room for the subjective point of view of the
EIA team. The Leopold matrix approach is reasonably flexible (Lohani et
120 Chapter 4
al. 1997). Depending upon the nature and scope of the study, the total
number of specified activities and environmental items may increase or
decrease. This is one of the attractive features of the Leopold matrix.
Technically, the approach
a. is a gross screening technique to identify impacts

b. is a valuable tool for explaining the impacts by a visual display
of the impacted items and their causes
c. can provide deeper insight and aid further interpretation of the
impacts by summing up the rows and columns which are
designated as having interactions
d. can also be employed to identify impacts during each phase of
the project lifecycle, viz. construction, operation, and post-
operation
An illustration of the use of the Leopold Matrix is given at the end of Chapter 6.
References
AIChE, American Institute of Chemical Engineers. 1995. Understanding
Atmospheric Dispersion of Accidental Releases. New York: Centre for
Chemical Process Safety, American Institute of Chemical Engineers.
Bisset, R. 1984. Methods for Assessing Direct Impacts. In Perspectives on
Environmental Impact Assessment: Proceedings of the Annual WHO Training
Courses on EIA, University of Aberdeen, edited by B. D. Clark, A. Gilad, R.
Bisset, and P. Tomlinson, 95212. Dordrecht: D. Reidel Publishing Company.
Business Dictionary. n.d. LIKERT Scale. Accessed May 1, 2015.
www.businessdictionary.com.
Caldwell, L. K. 1998. Implementing Policy Through Procedure: Impact Assessment
and the National Environmental Policy Act (NEPA). In Environmental
Methods Review: Retooling Impact Assessment for the New Century, edited by
A. L. Porter, and J. J. Fittipaldi, 814. Fargo, ND, USA: The Press Club.
McGraw-Hill.
Dee, N., J. K. Baker, N. L. Drobny, K. M. Duke, I. Whitman, and D. C. Fahringer.
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Ermak, D. L. 1990. SLAB: A Denser-than-Air Atmospheric Dispersion Model.
UCRL-99882. Livermore: Lawrence Livermore National Laboratory.
European Topic Centre. 1996. Ambient Air Quality, Pollutant Dispersion and
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Fischer, Thomas. B., and U. Jha-Thakur. 2008. Environmental Assessment
Lecturers Handbook. Promotion of European Education for Third Country
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Goyal, S. K., and V. A. Deshpande. 2001. Comparison of Weight Assignment

Procedures in Evaluation of Environmental Impacts. Environmental Impact
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Establishment of an Industrial Estate at Chaltham, Trinidad. Submitted to the
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Jain, R. K., L. Urban, G. S. Stacey, and H. E. Balbach. 2004. Environmental
Assessment, 2nd edn. New York: McGraw-Hill Professional.
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for Evaluating Environmental Impacts. U.S. Geological Survey Circular no.
645. Washington, D.C.: Government Printing Office.
Lohani, B., J. Warren Evans, Robert R. Everitt, Harvey Ludwig, Richard A.
Carpenter, and Shih-Liang Tu. 1997. Environmental Impact Assessment for
Developing Countries in Asia: Overview, vol 1-. Manila: Office of the
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NIWAR, National Institute of Water and Atmospheric Research. 2004. Good
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Environment.
Pasquill, F., and F. B. Smith. 1982. Atmospheric Diffusion, 3rd edn. Chichester: Ellis
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Occasional Paper no. 3. Ottawa: Environment Canada Lands Directorate.
Ross, D. G. 1994. Evaluation of the AUSTOX Emergency Preparedness and
Response Model. Proceedings of the 12th International Clean Air Conference
held at Perth.
Ross, D. G., and G. Koutsenko. 1993. AUSTOX, version 1.1. Emergency Response
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CHAPTER 5
PREPARING FOR ENVIRONMENTAL

IMPACT ASSESSMENT
After developing a thorough understanding of environment, impact,

and assessment, and the environmental impact assessment (EIA)
processes, methods and techniques described in the earlier chapters, it is
essential that EIA professionals recognize the important aspects of EIA.
This is considered crucial in planning their actions systematically when
conducting an EIA study for a proposed development project. This chapter
describes the building blocks of EIAs, understanding of which would
empower EIA professionals in taking up an EIA study with more confidence
and preparing a complete and good-quality EIA report to accomplish the
immediate objectives (UNEP 2002) of EIA.
A discussion on the effectiveness of the EIA process being practiced in more

than 100 countries in some form or other, in terms of meeting the long-term
objectives of EIA, is beyond the scope of this text. The text essentially aims
to dwell on the aspects which are considered crucial in preparing an EIA
report for a development project and contributing toward accomplishing the
short-term objectives of EIA.
5.1 Aims and objectives of EIA

The basic principles of EIA are discussed in Chapter 2. However, while
taking up an EIA study when preparing an EIA report, the aims are broadly
categorized as immediate and ultimate (UNEP 2002), and may be recapped
as follows:
i. the immediate (short-term) aim of an EIA report is to inform the

process of decision-making by identifying the potentially
significant environmental effects and risks of the proposed
development project.
ii. the ultimate (long-term) aim of an EIA report is to promote
sustainable development by ensuring that the proposed development
Preparing for Environmental Impact Assessment 123
project does not undermine critical resource and ecological

functions or the well-being, lifestyle, and livelihood of the
communities and people who depend on them.
The immediate objectives of EIA are primarily intended to
a. improve the environmental design of the project

b. ensure that resources are used appropriately and effectively
c. identify appropriate measures for mitigating potential impacts of
the project
d. facilitate informed decision-making, including setting the
environmental terms and conditions for implementing the project
The ultimate objectives of EIA are primarily aimed at
a. protecting human health and safety

b. avoiding irreversible changes and serious damage to the
environment
c. safeguarding valued resources, natural areas, and ecosystem
components
d. enhancing the social aspects of the project
EIAs need to ensure (EU 2014) that
i. environmental protection is improved

ii. resource efficiency is increased
iii. sustainable growth is supported
It may be observed that even in the twenty-first century, the perception of

the word environment differs among the haves and the have-nots.
Environment is often considered synonymous with pollution by the
manufacturing and energy sectors, especially in developing economies
where the major thrust is on manufacturing and micro, small and medium
scale enterprises with the prime objectives of generating more employment
through faster economic growth. With the rapid growth of urbanization and
a major focus on infrastructural projects, it is slowly being realized that
pollution is only a subset of environment (Rathi 2009).
A broad understanding of environment generally adopted in many EIA

systems consists of:
a. human health and safety

b. flora, fauna, ecosystems, and biological diversity
124 Chapter 5
c. air, water, soil, climate, and landscape

d. use of land, natural resources, and raw materials
e. protected areas and designated sites of scientific, historical, and
cultural significance
f. heritage, recreation, and amenity assets
g. the livelihood, lifestyle, and well-being of those affected by the
project
For practical purposes, the primary objective of an EIA report is to provide

information on the environmental consequences of the proposed project and
the related activities to the
i. decision-makers to enable them to arrive at a well-considered

decision on whether to give (or not) a green signal for going ahead
with the project implementation, i.e. whether to accord approval
(or not) to the proposed project from environmental considerations
ii. public at large to keep them well informed about the proposed
project and its consequences
It is thus essential that the person who is assigned the responsibility of

preparing an EIA report, designated as the EIA team leader in this text,
ensures that a complete and good-quality report, based on facts and
professional judgment, is prepared within the limited allocated resources,
viz. time and budget. A good managerial approach supported by the
physical, chemical, biological and social sciences, and technology is,
therefore, followed for conducting an EIA study and preparing an EIA
report. A typical EIA report for a project is generally expected to include an
assessment of major components of the environment, viz.:
i. Air quality assessment

ii. Noise assessment
iii. Water assessment
iv. Soil, land use/land cover, aesthetic or visual, and landscape
assessment (along with solid and hazardous waste management)
v. Ecological and biodiversity assessment
vi. Social, economic, and cultural assessment
In addition to the above, many EIA frameworks consider risk assessment

integral to EIA reports
5.2 Project development and site selection

Once a project proponent decides to invest in setting up a developmental
project, a pre-feasibility report is often prepared containing preliminary
information on:
a. type and need of the project

b. product(s) and capacity or service(s) and size
c. technology and its source, whether commercially proven or new
d. the requirement of major inputsfeedstock, additives, utilities,
etc.
e. major by-products, side-products, and waste to be generated
f. off-site facilities
g. basic infrastructural requirement
h. funds requirement
i. risks involved, etc.
Thereafter, some preliminary studies are undertaken for shortlisting a few

potential sites where the project could be located. The shortlisted sites are
further evaluated according to different considerations to arrive at the most
suitable site. The considerations that go into project site selection generally
include economic, social, political, and environmental aspects. Some
industrial promotion and development agencies, especially in developing
countries, prepare guidelines or criteria for site selection for manufacturing
and energy sector projects and develop some industrial areas, estates or
parks to attract investments in some specific targeted regions. Some of the
major factors generally contemplated for project site selection include the
availability of land, water, energy, feedstock, trained manpower, physical
and social infrastructure, accessibility to markets, financial and fiscal
incentives from the government, etc. Considering that selecting a site for a
project is an investment decision of a project proponent which will have
implications in the future, technical and financial analysis (Mehta 2012) is
extremely important for selecting the best location based on the considerations
including:
a. political climate
b. site infrastructurepower, water, gas
c. locational infrastructureskilled manpower, common waste
management facilities, and emergency response center, connectivity
through roads, air, inland waterways, or sea
126 Chapter 5
d. neighborhoodindustries, proximity to raw materials; and land

type and availability taking into consideration expandability in the
future, etc.
e. spatial planning regulations; etc.
Specific guidelines (NTEPA 2013; CPCB 2000, 2003a, 2003b) are

available for locating specific types of projects like secured landfill facilities
for hazardous waste management projects, and municipal solid waste
management facilities. An initiative was taken by the Central Pollution
Control Board in India with the support of the German Technical
Cooperation (GTZ) in developing zoning atlases (CPCB, n.d.). It involved
the development of sensitivity maps overlaid on the base maps of different
locations to facilitate project proponents in identifying the most suitable
sites for locating their projects. However, this was not acceptable to the
project proponents as well as the decision-making authorities, mainly
because of the jurisdictional issues involved and the lack of establishing a
suitable mechanism of keeping the atlases updated given the changing
ground realities due to rapid developments taking place at many such
locations.
Further, it may be recognized that a project proponent would like to select

a site by giving more weight to the factors highlighted above, with a prime
consideration of minimizing the capital cost of the project and maximizing
returns on the investment. The project financing agencies make decisions
based on the techno-economic feasibility of the proposed project with the
potential of good returns only. In short, the cost-effectiveness of a project is
considered to be more important for the project proponents, the lenders, as
well as the investors. The environmental considerations in the project site
selection are generally necessitated by the applicable environmental
regulations and/or by the requirements of funding agencies, viz. the World
Bank, the Asian Development Bank, and other multilateral agencies.
EIA studies, when carried out diligently, help to select an appropriate site
from those shortlisted by examining the environmental consequences of the
proposed project-related activities at each site. The site where the least
environmental consequences are anticipated is considered to be the most
suitable from the point of view of environmental considerations for locating
the project, and it is expected to have better acceptance by the public too.
The outcome of an EIA study may necessitate some modifications in the
project design whereby some additional costs toward capital and/or
recurring costs may have to be incurred by the project proponent to make
the project more environmentally sound and improve its acceptability to the
public. The importance of EIA studies becomes evident from the realization
that a holistic view of the proposed site and the proposed developmental
project is taken, and the required additional environmental measures are
suggested for incorporation into the design of the project without affecting
the basic objectives of the project.
5.3 Terms of reference

An EIA report is required to comply with the terms of reference (TOR)
specified by the competent authority to ensure that the prescribed aspects
are duly addressed. The TOR for an EIA report are generally given by the
authority that reviews EIA reports. Alternatively, the TOR could be
prepared by an EIA consulting organization and proposed by the project
proponent to the competent authority (MOEF 2006) for seeking approval.
MOEF (2015) has published standard TOR to facilitate timely preparation
of EIA reports of different project sectors; for illustration, standard TOR for
thermal power projects are reproduced in Box 5.1. It may be observed that
standard TOR, prescribed based on project characteristics, do not take into
consideration site-specific features and other local factors. For proposing
TOR to the competent authority, it is thus necessary that project-specific as
well as site-specific factors are taken into consideration. To accomplish this,
EIA consulting organizations need to develop a fairly good understanding
of the project configuration and the environmental settings of the shortlisted
sites and their surroundings, especially on:
a. the applicable regulatory regime

b. land use/land cover and topography
c. water resources
d. climatic conditions
e. habitatshuman, flora, and fauna including avifaunaterrestrial,
aquatic, wetlands, and marine
128 Chapter 5
Box 5.1
Standard Terms of Reference for Conducting an Environment Impact

Assessment Study for Thermal Power Plants Projects and Information to
be Included in the EIA/EMP Report
1) The proposed project shall be given a unique name in consonance with

the name submitted to other Government Departments etc. for its better
identification and reference.
2) A vision document specifying prospective long-term plans of the project

shall be formulated and submitted.
3) The latest compliance report duly certified by the Regional Office of

MOEF & CC for the conditions stipulated in the environmental and CRZ
clearances of the previous phase(s) for the expansion projects shall be
submitted.
4) The project proponent needs to identify a minimum of three potential

sites based on environmental, ecological, and economic considerations, and
choose one appropriate site having minimum impacts on ecology and
environment. A detailed comparison of the sites in this regard shall be
submitted.
5) An executive summary of the project indicating relevant details along

with recent photographs of the proposed site(s) shall be provided.
Responses to the issues raised during the Public Hearing and the written
representations (if any), along with a time-bound Action Plan and budgetary
allocations to address the same, shall be provided in a tabular form, against
each action proposed.
6) Harnessing solar power within the premises of the plant, particularly at

available rooftops and other available areas, shall be formulated and, for
expansion projects, the status of implementation shall also be submitted.
7) The geographical coordinates (WGS 84) of the proposed site (plant

boundary), including the location of an ash pond along with toposheet
(1:50,000 scale) and IRS satellite map of the area, shall be submitted.
Elevation of the plant site and ash pond with respect to HFL of water
body/nallah (natural watercourse)/river and high tide level from the sea shall
be specified if the site is located in proximity to them.
8) A layout plan indicating the break-up of the plant area, ash pond, green
belt, infrastructure, roads, etc. shall be provided.
9) Land requirements for the project shall be optimized and, in any case, not
more than what has been specified by the CEA from time to time. An item-
wise break-up of land requirement shall be provided.
10) Present land use (including land class) as per the revenue records and
State Govt. records of the proposed site shall be furnished. Information on
land to be acquired including the coal transportation system, laying of
pipeline, ROW, transmission lines, etc. shall be specifically submitted. The
status of land acquisition and litigation, if any, should be provided.
11) If the project involves forest land, details of the application, including
date of application, area applied for, and application registration number,
for diversion under FCA and its status should be provided along with copies
of relevant documents.
12) The land acquisition and R&R scheme with a time-bound Action Plan
should be formulated and addressed in the EIA report.
13) Satellite imagery and authenticated toposheet indicating drainage,

cropping pattern, water bodies (wetland, river system, stream, nallahs,
ponds, etc.), location of nearest habitations (villages), creeks, mangroves,
rivers, reservoirs, etc. in the study area shall be provided.
14) The location of any National Park, Sanctuary, Elephant/Tiger Reserve

(existing as well as proposed), migratory routes/wildlife corridor, if any,
within 10 km of the project site shall be specified and marked on the map
duly authenticated by the Chief Wildlife Warden of the State or an officer
authorized by him.
15) The topography of the study area supported by a toposheet on a 1:50,000

scale of Survey of India, along with a large-scale map preferably of 1:25,000
scale, and specific information on whether the site requires any filling shall
be provided. In that case, details of filling, the quantity of required fill
material, and its source, transportation, etc. shall be submitted.
16) A detailed study on land use patterns in the study area shall be carried
out including identification of common property resources (such as grazing
and community land, water resources, etc.) available and an Action Plan for
its protection and management shall be formulated. If the acquisition of
130 Chapter 5
grazing land is involved, it shall be ensured that an equal area of grazing

land needs to be acquired and developed and a detailed plan submitted.
17) A mineralogical map of the proposed site (including soil type) and
information (if available) that the site is not located on a potentially
mineable mineral deposit shall be submitted.
18) Details of the fly ash utilization plan as per the latest fly ash Utilization
Notification of GOI along with firm agreements/MoU with contracting
parties including other usages etc. shall be submitted. The plan shall also
include the disposal method/mechanism of bottom ash.
19) The water requirement shall be optimized (by adopting measures such
as dry fly ash and dry bottom ash disposal system, air-cooled condenser, the
concept of zero discharge) and in any case not more than that stipulated by
CEA from time to time, to be submitted along with details of the source of
water and water balance diagram. Details of water balance calculated shall
take into account reuse and recirculation of effluents.
20) Waterbody/nallah (if any) passing across the site should not be disturbed
as far as possible. In case any nallah/drain is proposed to be diverted, it shall
be ensured that the diversion does not disturb the natural drainage pattern
of the area. Details of the proposed diversion shall be furnished and duly
approved by the concerned Department of the State.
21) It shall also be ensured that a minimum of 500m distance from the plant
boundary is kept from the HFL of river system/streams etc. and the
boundary of the site should also be located 500m away from the railway
track and National Highways.
22) A hydrogeological study of the area shall be carried out through an

institute/organization of repute to assess the impact on ground and surface
water regimes. Specific mitigation measures shall be spelled out and a time-
bound Action Plan for its implementation shall be submitted.
23) Detailed studies on the impacts of the ecology including fisheries of the
River/Estuary/Sea due to the proposed withdrawal of water/discharge of
treated wastewater into the River/Sea etc. shall be carried out and submitted
along with the EIA Report. In case of the requirement for a marine impact
assessment study, the location of intake and outfall shall be clearly specified
along with the depth of water drawl and discharge into the open sea.
24) The source of water and its sustainability, even in the lean season, shall
be provided along with details of ecological impacts arising out of
withdrawal of water and taking into account inter-state shares (if any).
Information on other competing sources downstream of the proposed
project and commitment regarding the availability of the requisite quantity
of water from the competent authority shall be provided along with a
letter/document stating the firm allocation of water.
25) A detailed plan for rainwater harvesting and its proposed utilization in
the plant shall be furnished.
26) The feasibility of the near-zero discharge concept shall be critically

examined and its details submitted.
27) The Optimization of Cycles of Concentration (COC) along with other

water conservation measures in the project shall be specified.
28) A plan for the recirculation of ash pond water and its implementation
shall be submitted.
29) A detailed plan for conducting monitoring of water quality regularly

with proper maintenance of records shall be formulated. Details of the
methodology and identification of monitoring points (between the plant and
drainage in the direction of flow of surface/groundwater) shall be submitted.
It shall be ensured that the parameter to be monitored also includes heavy
metals. A provision for long-term monitoring of the groundwater table using
Piezometer shall be incorporated in the EIA, particularly from the study
area.
30) A socio-economic study of the area of 10km around the plant site shall
be carried out through a reputed institute/agency which shall consist of a
detailed assessment of the impact on the livelihood of the local
communities.
31) An Action Plan for the identification of local employable youth for
training in skills, relevant to the project, for eventual employment in the
project itself shall be formulated and numbers specified during the
construction and operation phases of the Project.
32) If the area has a tribal population, it shall be ensured that the rights of
the tribals are well protected. The project proponent shall accordingly
identify tribal issues under various provisions of the law of the land.
132 Chapter 5
33) A detailed CSR plan along with an activities-wise breakdown of the

financial commitment shall be prepared. The CSR component shall be
identified considering a needs-based assessment study and Public Hearing
issues. Sustainable income-generating measures that can help in the
upliftment of the affected section of society, which is consistent with the
traditional skills of the people shall be identified. A separate budget for
community development activities and income-generating programs shall
be specified.
34) While formulating CSR schemes, it shall be ensured that an in-built

monitoring mechanism for the schemes identified are in place and a
mechanism for conducting an annual social audit from the nearest
government institute of repute in the region shall be prepared. The project
proponent shall also provide an Action Plan for the status of implementation
of the scheme from time to time and dovetail the same with any Govt.
scheme(s). CSR details done in the past should be clearly spelled out in case
of expansion projects.
35) An R&R plan, as applicable, shall be formulated wherein the

mechanism for protecting the rights and livelihoods of the people in the
region who are likely to be impacted, is taken into consideration. The R&R
plan shall be formulated after a detailed census of the population based on
socio-economic surveys to find out who were dependent on land falling in
the project, as well as who were dependent on land not owned by them.
36) An assessment of occupational health and endemic diseases of

environmental origin in the study area shall be carried out and an Action
Plan to mitigate the same shall be prepared.
37) Occupational health and safety measures for the workers including
identification of work-related health hazards shall be formulated. The
company shall engage full-time qualified doctors who are trained in
occupational health. Health monitoring of the workers shall be conducted at
periodic intervals and health records maintained. An awareness program for
workers due to likely adverse impacts on their health due to working in a
non-conducive environment shall be carried out and precautionary measures
like the use of personal equipment, etc. shall be provided. A review of the
impact of various health measures undertaken at intervals of two to three
years shall be conducted with an excellent follow-up plan of action
wherever required.
38) One complete season site-specific meteorological and AAQ data

(except in the monsoon season) as per the latest MOEF & CC Notification
shall be collected and the dates of monitoring shall be recorded. The
parameters to be covered for AAQ shall include PM10, PM2.5, SO2, NOx,
CO, and Hg. The location of the monitoring stations should be so decided
to take into consideration the upwind direction, predominant downwind
direction, other dominant directions, habitation, and sensitive receptors.
There should be at least one monitoring station each in the upwind and the
predominant downwind direction at a location where maximum ground-
level concentration is likely to occur.
39) In the case of the expansion project, air quality monitoring data of 104
observations a year for relevant parameters at air quality monitoring stations
as identified/stipulated shall be submitted to assess for compliance of AAQ
Standards (annual average as well as 24 hrs).
40) A list of industries existing and proposed in the study area shall be
furnished.
41) Cumulative impacts of all sources of emissions including handling and

transportation of existing and proposed projects on the environment of the
area shall be assessed in detail. Details of the model used and the input data
used for modeling shall also be provided. The air quality contours should be
plotted on a location map showing the location of the project site, habitation
nearby, and sensitive receptors, if any. The wind rose and isopleths should
also be shown on the location map. The cumulative study should also
include impacts on water, soil, and socio-economics.
42) Radioactivity and heavy metal contents of coal to be sourced shall be

examined and submitted along with laboratory reports.
43) Fuel analysis shall be provided. Details of auxiliary fuel, if any,

including its quantity, quality, storage, etc. should also be furnished.
44) The quantity of fuel required, its source and characteristics, and
documentary evidence to substantiate confirmed fuel linkage shall be
furnished. The Ministrys Notification dated 02.01.2014 regarding ash
content in coal shall be complied with. For the expansion projects, the
compliance of the existing units to the said Notification shall also be
submitted.
45) Details of transportation of fuel from the source (including port

handling) to the proposed plant and its impact on ambient AAQ shall be
134 Chapter 5
suitably assessed and submitted. If transportation entails a long distance it

shall be ensured that rail transportation to the site shall be first assessed.
Wagon loading at the source shall preferably be through a silo/conveyor
belt.
46) Proposals based on imported coal, inland transportation, port handling,

and rail movement shall be examined and details furnished. The approval
of the Port and Rail Authorities shall be submitted.
47) Details regarding infrastructure facilities such as sanitation, fuel,

restrooms, medical facilities, and safety during the construction phase, etc.
are to be provided to the labor force during construction as well as to the
casual workers including truck drivers during the operation phase. These
should be adequately catered for and details furnished.
48) The EMP mitigates the adverse impacts due to the project along with an
item-wise cost of its implementation in a time-bound manner.
49) A Disaster Management Plan (DMP) along with a risk assessment study,
including fire and explosion issues due to storage and use of fuel, should be
carried out. It should take into account the maximum inventory of storage
at the site at any point in time. The risk contours should be plotted on the
plant layout map, clearly showing which of the proposed activities would
be affected in case of an accident taking place. Based on the same, proposed
safeguard measures should be provided. Measures to guard against fire
hazards should also be provided. Mock drills shall be suitably carried out
from time to time to check the efficiency of the plans.
50) The DMP so formulated shall include measures against likely

Fires/Tsunami/Cyclones/Storm Surges/Earthquakes, etc., as applicable. It
shall be ensured that the DMP consists of both On-site and Off-site plans,
complete with details of containing likely disasters, and shall specifically
mention the personnel identified for the task. A smaller version of the plan
for different possible disasters shall be prepared both in English and local
languages and circulated widely.
51) A detailed scheme for raising the green belt of native species of
appropriate width (50 to 100 m) and consisting of at least 3 tiers around the
plant boundary with a tree density of 2000 to 2500 trees per ha with a good
survival rate of around 80% shall be submitted. Photographic evidence must
be created and submitted periodically including NRSA reports in case of
expansion projects. A shrub layer beneath the tree layer would serve as an
effective sieve for dust and sink for CO2 and other gaseous pollutants and
hence a stratified green belt should be developed.
52) Over and above the green belt, as a carbon sink, a plan for additional
plantation shall be drawn by identifying blocks of degraded forests, in close
consultation with the District Forests Department. In pursuance to this, the
project proponent shall formulate time-bound Action Plans along with a
financial allocation and shall submit the status of implementation to the
Ministry every six months.
53) Corporate Environment Policy
a. Does the company have a well laid down Environment Policy

approved by its Board of Directors? If so, it may be detailed in the
EIA report.
b. Does the Environment Policy prescribe for standard operating
processes/procedures to bring into focus any infringement/
deviation/violation of the environmental or forest norms/conditions?
If so, it may be detailed in the EIA.
c. What is the hierarchical system or administrative order of the
company to deal with the environmental issues and for ensuring
compliance with the environmental clearance conditions? Details
of this system may be given.
d. Does the company have a compliance management system in
place wherein compliance status along with compliance/violations
of environmental norms are reported to the CMD and the Board of
Directors of the company and/or shareholders or stakeholders at
large? This reporting mechanism should be detailed in the EIA
report.
All the above details should be adequately highlighted in the EIA report and
the presentation to the Committee.
54) Details of litigation pending or otherwise with respect to the project in

any Court, Tribunal, etc. shall invariably be furnished.
Additional TOR for Coastal Based Thermal Power Plants Projects (TPPs):
Over and above the TOR mentioned in Thermal Power Plants Projects, the
following shall be strictly followed (as applicable):
136 Chapter 5
a) Low-lying areas fulfilling the definition of wetland as per the Ramsar

Convention shall be identified and clearly demarcated with respect to the
proposed site.
b) If the site includes or is located close to marshy areas and backwaters,

these areas must be excluded from the site and the project boundary should
be away from the CRZ line. An authenticated CRZ map from any of the
authorized agencies shall be submitted.
c) The soil leveling should be minimum with no or minimal disturbance to

the natural drainage of the area. If any minor canals have to be diverted, the
diversion design should be such that the diverted canals not only drain the
plant area but also collect the volume of floodwater from the surrounding
areas and discharge into marshy areas/major canals that enter into a creek.
Major canals should not be altered but their embankments should be
strengthened and desilted.
d) Additional soil required for leveling of the sites should as far as possible
be generated within the site itself in such a manner that the natural drainage
system of the area is protected and improved.
e) Marshy areas which hold large quantities of floodwater need to be

identified and shall not be disturbed.
f) No waste should be discharged into Creek, Canal systems, Backwaters,

Marshy areas, and Seas without appropriate treatment. Wherever feasible,
the outfall should be first treated in a Guard Pond and then only discharged
into deep sea (10 to 15 m depth). Similarly, the Intake should be from the
deep sea to avoid aggregation of fish and in no case shall be from the
estuarine zone. The brine that comes out from Desalinization Plants (if any)
should not be discharged into the sea without adequate dilution.
g) A mangrove conservation and regeneration plan shall be formulated and

an Action Plan with details of time-bound implementation shall be specified
if mangroves are present in the Study Area.
h) A common Green Endowment Fund should be created by the project

proponents out of the EMP budgets. The interest earned out of it should be
used for the development and management of the green cover in the area.
i) The impact on fisheries at various socio-economic levels shall be

assessed.
j) An endowment Fishermen Welfare Fund should be created out of CSR

grants not only to enhance their quality of life by the creation of facilities
for fish landing platforms/fishing harbor/cold storage but also to provide
relief in case of emergency situations such as missing fishermen on duty
due to rough seas, tropical cyclones, and storms, etc.
k) A Tsunami Emergency Management Plan shall be prepared wherever

applicable and the plan submitted prior to the commencement of
construction work.
l) There should not be any contamination of soil, ground, and surface waters
(canals and village ponds) with seawater in and around the project sites. In
other words, necessary preventive measures for spillage from pipelines,
such as the lining of a Guard Pond used for the treatment of outfall before
discharging into the sea and surface RCC channels along the pipelines of
outfall and intake should be adopted. This is just because the areas around
the projects boundaries could be fertile agricultural land used for paddy
cultivation.
Reproduced from the Standard Terms of Reference (TOR) for EIA/EMP Reports
for Projects Activities Requiring Environmental Clearance Under EIA
Notification, 2006 2015, and incorporated grammatical corrections
The above information is obtained from authentic sources, and relevant and
updated records, e.g. land use/land cover-related information is to be
obtained from the maps developed from the latest satellite imageries or
Google Earth, latest survey maps, and updated development plans, followed
by a reconnaissance survey of the site.
A well-prepared TOR goes a long way to ensuring that important issues and
alternatives are captured and concerns of stakeholders are identified at the
initial stage of the project lifecycle itself. The TOR essentially set a road
map for gathering specific information and deciding on the depth of dealing
with the issues without losing focus, and facilitate evaluation and
prioritization of the significant issues while conducting an EIA study and
preparing a comprehensive EIA report.
A thorough understanding of the project-related activities and the

environmental settings would also be helpful to the EIA consulting
organization in:
138 Chapter 5
a) the preparation of detailed scoping at a later date

b) submitting a well-formulated proposal containing a detailed scope
of work and commercial offer for conducting an EIA in response
to the project proponents request for a proposal
A project proponent generally assigns the EIA study to an EIA consulting

organization or an agency and/or specific studies based on criteria including:
a. fulfillment of eligibility and accreditation criteria as prescribed by

the competent authority
b. expertise
c. track record
d. reputation
e. resourcefulness
f. experience in similar projects
g. commercial aspects like fees and other expenditures involved
h. the EIA report delivery period
5.4 An EIA team leader

When preparing the TOR for the competent authority or for taking forward
the prescribed TOR to prepare the EIA report, the EIA consulting
organization must appoint a team leader who would be entrusted with the
overall responsibility for all the EIA-related tasks. There are different
terminologies used for a person who is overall in-charge of conducting an
EIA study and preparing the EIA report, viz. EIA team leader, EIA
coordinator (QCI 2015), project manager/team leader (World Bank 1991),
etc. An EIA team leader is expected to have acquired the capability and
experience of understanding the finer aspects of the proposed development
project and a sense of the basic environmental components of the proposed
project site in addition to a good degree of maturity. Among others, an EIA
team leader needs to have:
a. a broad understanding of the environmental management tools

b. a clear concept of EIA
c. a thorough knowledge of the regulatory framework which
necessitates the preparation of the EIA report for seeking
environmental approval
d. familiarity with contemporary global environmental developments
e. a thorough understanding of the finer aspects of the proposed
project
f. an appreciation of the physical-chemical, biological and social

components of the environment and their importance, especially of
the proposed project site and its surroundings
Such insight enables the EIA team leader to identify the environmental
issues that need to be studied, analyzed, and addressed suitably in the EIA
report. While the EIA team leader acts as a manager and drives the EIA
process by coordinating with several agencies including the project
proponent and other stakeholders, he is expected to be a friend,
philosopher, and guide to his EIA team consisting of multidisciplinary
functional professionals. A multidisciplinary EIA team is required to be
constituted since EIA addresses the physical-chemical, biological, and
socio-economic aspects of the environment, each requiring distinct
expertise. Further, considering that the EIA team leader occupies the
drivers seat with limited resources, he is expected to develop a meticulous
work plan to start with and manage the same subsequently.
On receiving a work order from the project proponent for conducting the
EIA study, the EIA team leader quickly familiarizes himself with the
following:
a. TOR, whether issued or approved by the competent authority

b. background information
c. applicable regulatory framework
d. project configuration
e. project site and its surroundings, etc.
After doing adequate desk research on the above, the EIA team leader
carries out a reconnaissance survey of the project site along with some key
functional professionals, selected initially based on the knowledge gathered
from the desk research carried out and his experience of getting a firsthand
feel of the ground realities. Such a survey equips him in preparing the
suitable TOR in case these are required by the project proponent for
proposing to the competent authority and seeking its approval. The
reconnaissance survey is followed by the preparation of a detailed work plan
for the EIA study, consisting of detailed activities and allocation of a time
frame and budget for each of the major activities. The EIA team leader also
plans and budgets the resources for other tasks like availing the services of
experts for consideration of alternatives, getting additional studies done,
extending help to the project proponent in making a presentation on the draft
EIA report in the public hearing, presentation on the final EIA report to the
140 Chapter 5
competent authority that reviews the EIA report, offering any advisory
services to the project proponent, etc.
5.4.1 Tasks of an EIA team leader

The overall responsibility of an EIA team leader essentially encompasses
the following:
i. due diligence of the background information given by the project

proponent and that gathered from desk research
ii. developing a thorough understanding of the project and detailed
project-related activities based on the information available from the
pre-feasibility report or feasibility report or detailed project report,
whichever is available, and that obtained from the project proponent
and other sources
iii. compiling information on the applicable regulations and understanding
statutory requirements
iv. development of suitable base maps, using updated and authentic data
for different components of the environment, depicting receptors
v. delineation of the study area consisting of the core zone and buffer
zone on the base maps prepared
vi. identification of sensitive environmental issues in the study area
vii. assisting the project proponent in the selection of expert agencies or
institutions for undertaking special studies like hydrogeological,
coastal, and marine environmental assessments, environmental risk
assessment, rehabilitation, and resettlement (R&R) programs, etc., as
prescribed in the TOR, and getting these studies conducted
viii. compiling and collating the reports received from EIA team members
and expert agencies or institutions
ix. supervision of the work of EIA team members, especially for
a) the establishment of current environmental settings, i.e.
environmental baseline conditions using the properly interpreted
data that is generated, i.e. primary data as well as the data
collected or procured from different sources, i.e. secondary
data after its proper analysis and collation
b) identification of potential changes on the physical-chemical,
biological, and social environments, and impacts based on the
details of the project-related activities involved in each phase
of the project lifecycle
c) prediction or estimation of impacts in quantitative terms as far

as possible, and assessment or analysis of impacts in each
lifecycle phase of the project
d) assigning significance to the impacts assessed
e) proposing specific, practical, and implementable mitigation
measures corresponding to each of the significant impacts
established
f) establishing significant residual environmental impacts, i.e.
the impacts which still remain, though at low levels, after
adopting the best practicable mitigation measures
x. designing an environmental management program (EMPg), generally
referred to as an environmental management plan (EMP), consisting
of an administrative framework for implementing the EMPg, and
mechanisms of impact management, residual impact management,
environmental monitoring, environmental compliance management,
audit, and management review of EMPg, and environmental and
social enhancement actions
xi. drafting the EIA report
xii. preparing an executive summary of the draft EIA report
xiii. sending the draft EIA report to the project proponent for review, and
getting concurrence especially on introduction and project description
chapters, and commitment on the implementation of the suggested
impact mitigation measures and environmental management
program, and allocation of the required resources
xiv. providing assistance to the project proponent in facilitating a public
hearing conducted by the authorized agency specified in the EIA
framework
xv. preparation of the final EIA report, incorporating public hearing
proceedings, action points arising from the public hearing, and
comments from stakeholders
xvi. providing assistance to the project proponent in facilitating a review
of the final EIA report by the competent authority
The work plan, generally represented in the form of a bar chart, is monitored
by devising a periodic review mechanism, and updated from time to time.
If considered necessary and resources permitting, project monitoring tools,
viz. critical path method (CPM), and project management software like MS
Project, etc. could also be employed by the EIA team leader for the effective
monitoring of various activities and resource utilization.
The EIA team leader establishes close coordination with the project
proponent during the entire duration of the assignment to:
142 Chapter 5
a. avoid any misunderstandings and blame games in the future

b. ensure the timely and free flow of the required information
c. keep them posted on the applicable regulatory requirements
d. keep them informed of the environmental issues involved
e. keep them updated on the work progress
f. get their support and commitment on the proposed impacts
mitigation program, environmental management program, and the
allocation of the required budget
The EIA team leader, though the main architect of the EIA report of the
proposed project commissioned by the project proponent, needs to ensure
that the project proponent takes ownership of the EIA report
wholeheartedly.
5.5 EIA functional professionals

Members of the multidisciplinary EIA team, designated as EIA functional
professionals, are generally expected to possess adequate knowledge and
experience for carrying out the assigned EIA study-related tasks of different
durations as follows:
a. Air environment professionals: knowledge and hands-on work

experience in the air pollution monitoring (ambient air as well as
stack emissions), meteorological aspects, impact prediction using
relevant air dispersion software, air pollution prevention, air
pollution control techniques including source control, suggesting
suitable mitigation measures, and management program for the air
environment
b. Noise environment professionals: knowledge and hands-on work
experience in noise and vibration monitoring, impact prediction
using relevant software, noise control techniques including source
control, suggesting suitable mitigation measures, and management
program for the noise environment
c. Water environment professionals: knowledge and hands-on work
experience in monitoring water resourcessurface and groundwater,
and water and wastewater quality, hydrogeological studies, impact
prediction using relevant hydrodynamic and transport models,
water pollution prevention, wastewater treatment techniques for
industrial, and municipal wastewaters, water conservation
measures, rainwater harvesting, suggesting suitable mitigation
measures, and management programs for the water environment
d. Solid and hazardous waste management professionals: knowledge

and hands-on experience in the characterization and segregation of
waste from different activities like construction, manufacturing,
mining, and power generation; transportation, treatment, and
disposal of large-volume industrial wastes, industrial hazardous
waste, and waste from municipal sources including domestic,
commercial and e-waste; waste minimization techniques, waste
utilization, suggesting suitable measures, and management
programs for the land environment
e. Land use/land cover and soil environment professionals:
knowledge and hands-on experience in the analysis of remote
sensing maps, GIS, land use/land cover classification, landscape
and land use planning, prediction of impacts on land and land
use/land cover using suitable techniques; soil monitoring and
characterization, prediction of impacts on soil productivity,
remediation of contaminated and degraded soils, control of soil
erosion, suggesting suitable mitigation and conservation measures,
and management programs for the land environment
f. Biological/ecological environment professionals: knowledge and
experience in conducting field surveys/investigations for floral and
faunal biodiversity-related studies for terrestrial, aquatic, wetland
and marine, etc. ecosystems, collation of data collected from
different secondary sources, rare and endangered species and
habitats, biodiversity indices, ecological impact assessments,
suggesting suitable mitigation and conservation measures, and
management programs for the ecological environment
g. Social environment professionals: knowledge of policies on land
acquisition and rehabilitation and resettlement of project-affected
persons, knowledge and experience in conducting field surveys
and investigations, and focused group discussions for socio-
economic studies, socio-economic and cultural impact assessments,
social needs assessments, suggesting suitable measures, and
management programs for the social environment
h. Risk assessment professionals: knowledge and hands-on experience
in hazard identification, consequence analysis, risk assessment
using appropriate software, suggesting risk mitigation measures,
and preparation of on-site and off-site emergency response
programs
It may also be recognized that the EIA team leader may be simultaneously
working as a functional professional.
144 Chapter 5
5.6 Quality management system

Considering that the professionals working in an organization, especially in
developing countries, are mobile, i.e. they change their jobs frequently, a
systems-oriented work culture may turn out to be more beneficial for an EIA
consulting organization compared to a person-oriented one. This can be
achieved by adopting a robust quality management system (QMS) along
with elaborate procedures (QCI 2015). A well-prepared QMS of an EIA
consulting organization is expected to add value to EIA reports prepared by
its EIA teams by assuring the competent authority, project proponent, and
other stakeholders that a consistent and systematic approach is followed and
standard methodologies are adopted at every stage of the EIA report
preparation. Further, QMS facilitates continual improvement in the quality
of EIA reports prepared over a period.
Considering the specific requirements of the EIA process, it may be

pragmatic if the EIA-related requirements are explicitly spelled out in the
QMS as per the ISO 9001 standard followed by an EIA consulting
organization. The essential features of a systems-oriented work culture,
formally documented in the form of a QMS along with elaborate procedures
and detailed formats, generally would include the following:
I. For meeting the basic requirements as per the ISO 9001 standard:
1. Quality policy, consisting of a clear policy statement reflecting:
i. the services offered by the organization
ii. a focus on stakeholders satisfaction, with a full
understanding that the prime stakeholder for an EIA
report is the competent authority
iii. a commitment to continual improvement
iv. a mechanism of periodic review by the top management
The communication of the quality policy to the employees is
extremely important so that they develop a complete understanding
and appreciation of the policy.
2. Control of documents and records, consisting of systems and
procedures for:
i. identification, approval, updating, storage, and retrieval
of documents as well as records, and destruction of
obsolete documents as well as records
ii. roles and responsibilities of the persons involved along
with the work flowchart, etc.
3. Performance evaluation and review, consisting of systems and
procedures for:
i. fixing result-oriented targets and evaluating the

performance of the EIA team members, supporting
employees and external professionals for each EIA study
ii. identification, retention, performance evaluation, and
skills enhancement of the professionals
iii. planning and conducting periodic internal audits of
different functions of the organization
iv. analyzing the audit findings and ensuring effective
actions including establishing corrective and preventive
mechanisms
v. a review of the following matters in periodic meetings of
the management review committee presided by the top
management:
a) non-conformities and observations brought out
in internal as well as external audits and from
any other sources
b) effective actions taken or proposed on a) above
c) additional resource requirement
d) new developments in the regulatory regime,
guidelines, and accreditation or certification
processes
e) complaints as well as feedback received from
stakeholders
f) a gist of the learning from each EIA study
carried out
vi. the quality assurance of an EIA report, etc.
4. Work outsourced, consisting of systems and procedures for:
i. establishing the need to outsource specific work
ii. identification of potential agencies and their capability
assessment
iii. quality assurance and appropriateness of the output of the
work outsourced, etc.
5. Complaints and appeals, consisting of systems and procedures for:
i. upfront communication to the stakeholders
ii. a mechanism for handling complaints and redressing
grievances
iii. ensuring corrective and preventive measures, and
communication to the concerned complainants, etc.
II. For meeting the specific requirements of the EIA process, even
though these are in-built in the ISO 9001 standard, considering that
146 Chapter 5
all EIA team members may not have a deep understanding of the
nitty-gritty of the QMS standard:
1. Baseline data generation in the study area, consisting of systems

and procedures for:
A. Primary data generation including:

i. a reconnaissance survey by the concerned functional
professionals for getting firsthand knowledge and a feel
for the study area
ii. identification of data requirements including a
measurement of the parameters which are specific to the
proposed project
iii. a selection of sampling locations and setting up of
monitoring stations/network
iv. sampling, sample preservation, transportation, and
analysis of samples in the mobile as well as off-site
laboratories
v. calibration of monitoring and analytical equipment/
instruments used at the site
vi. selection of external laboratories, if required for the
physical-chemical analysis and framing the TOR for the
same
vii. ensuring adherence to the laboratory manual for:
a) calibration of equipment and instruments
b) standard analytical methods
c) glassware, reference standard materials, and
consumables
d) sample receipt, storage and disposal of unused
samples and expired consumables
e) document control of sampling and analytical
records
f) safety and emergency response plan to spills,
fires, and occupational hazards
g) housekeeping
h) skills enhancement of technicians, etc.
(the above needs to be ensured for the laboratory whether
belonging to the EIA consulting organization, i.e. internal
and/or the outsourced ones, i.e. external)
viii. quality assurance of the data being generated at the site

and that obtained from the off-site laboratories including
validation of data
ix. protocols for generating relevant biotic-related data for
terrestrial, aquatic, wetland and marine ecosystems,
avifauna, etc.
x. protocols for generating relevant socio-economic and
cultural data like:
a) household data
b) village-level socio-economic data including that
on physical and social infrastructure
c) cultural resources
d) project-affected persons
e) data for carrying out social need assessments
f) information based on focused group discussions,
etc.
xi. periodic review, analysis, and interpretation of the
primary data while it is being generated, etc.
B. Secondary data collection or procurement for the study area,

its collation, and interpretation for relevance, authenticity, and
credibility including:
i. identification of the physical-chemical data requirement
and procuring the same from the identified relevant and
credible sources
ii. methodology for collecting relevant biotic-related data
for terrestrial, aquatic, wetland and marine ecosystems,
avifauna, etc. from the relevant and credible sources
iii. methodology for collecting relevant socio-economic data
including demography, livelihood, physical and social
infrastructure in the study area, cultural resources, data
requirements for carrying out social need assessments,
etc., and conducting a public consultation
iv. sources, age, relevance, and validation of the data
v. periodic review, analysis, and interpretation of the
secondary data while it is being collected and compiled,
etc.
2. Environmental impact identification, prediction, and assessment,

consisting of systems and procedures for:
148 Chapter 5
i. due diligence on all the activities involved in each phase

of the project lifecycle including pre-construction,
construction, operation, and post-operation, viz.
decommissioning, demolition, closure, or rehabilitation
ii. due diligence on different scenarios, viz. normal and
abnormal operations and accidental ones
iii. identification of parameters of different environmental
components for which models, software, or techniques
are to be used for impact predictions
iv. ensuring the availability of the relevant validated models
or software along with their suitability and applicability
with a full understanding of inherent assumptions and
default values involved
v. conducting an EIA or analysis
vi. determining significant impacts and proposing
corresponding mitigation measures
vii. establishment of significant residual impacts and
suggesting a corresponding residual impact management
program
viii. presentation and reporting of the impacts assessed
including mapping of the impacted or vulnerable zones
under different scenarios as at ii above
3. Compliance with the regulatory framework and guidelines, and

getting updates, consisting of systems and procedures for:
i. changes in the regulatory regime including new regulations
and amendments in the existing regulations, interpretation
of the relevant judgments pronounced by the courts and
other authorities, international protocols, etc.
ii. the observations made and decisions taken by the
competent authority on EIA reports from time to time
iii. requirements of other organizations or agencies involved
as per the EIA regulatory framework
iv. guidelines of national and international agencies, viz. the
World Bank, Asian Development Bank, European Union,
US Environment Protection Agency, other multilateral
funding agencies, etc.
v. global developments taking place on the EIA process, etc.
For a consulting organization where EIA-related work is not the core

business function and EIA reports are prepared by a relatively small
designated EIA cell or where EIA is one of the several business functions,
the EIA cell may formulate its own QMS which gets integrated with the
apex QMS of the organization. Such a QMS will address the specific EIA-
related requirements that are not explicitly mentioned in the ISO 9001
standard and will have references to the relevant sections of the apex QMS
on the systems and procedures to meet the basic requirements as per ISO
9001 standard, as highlighted above.
5.7 Structure of the EIA report

Each authority or agency prescribes the structure of the EIA report required
by it, and a project proponent is required to submit the EIA report complying
with that structure. While there are some differences in the formats, several
similarities may also be noticed in the structures prescribed by some
agencies as follows:
A. The generic structure of the EIA process and EIA report prescribed by
the Indian regulations (MOEF 2006):
1. Introduction
i. Purpose of the report
ii. Identification of the project and project proponent
iii. Brief description of nature, size, location of the project,
and its importance to the country and region
iv. Scope of the studydetails of regulatory scoping carried
out (as per the TOR)
2. Project description
i. A condensed description of those aspects of the project
(based on a project feasibility study), which are likely to
cause environmental effects
ii. Type of project
iii. The need for the project
iv. Locations (maps showing the general location, specific
location, project boundary, and project site layout)
v. Size or magnitude of the operation (including associated
activities required by or for the project)
vi. Proposed schedule for approval and implementation
vii. Technology and process description
viii. Project description including drawings showing project
layout, components of the project, etc. and schematic
representations of the feasibility drawings which give
information that is important for the EIA
150 Chapter 5
ix. Description of mitigation measures incorporated into the

project to meet environmental standards, environmental
operating conditions, or other EIA requirements (as
required by the scope)
x. Assessment of new and untested technology as regards
the risk of technology failure
3. Description of the environment
i. Study area, period, components, and methodology
ii. Establishment of a baseline for valued environmental
components (as identified in the scope)
iii. Base maps for all environmental components
4. Anticipated environmental impacts and mitigation measures
i. Details of investigated environmental impacts due to
project location, possible accidents, project design, project
construction, regular operations, final decommissioning, or
rehabilitation of the completed project
ii. Measures for minimizing and/or offsetting adverse
impacts identified
iii. Irreversible and irretrievable commitments of environmental
components
iv. Assessment of the significance of impacts (criteria for
determining significance, assigning significance)
v. Mitigation measures
5. Analysis of alternatives (technology and site)
(in case the scoping exercise results in the need for alternatives)
i. Description of each alternative
ii. Summary of adverse impacts of each alternative
iii. Mitigation measures proposed for each alternative
iv. Selection of alternative
6. Environmental monitoring program
i. Technical aspects of monitoring the effectiveness of
mitigation measures including measurement methodologies,
frequency, location, data analysis, reporting schedules,
emergency procedures, detailed budget, and procurement
schedules
7. Additional studies
i. Public consultation
ii. Risk assessment
iii. Social impact assessment
iv. R&R action plans
8. Project benefits
i. Improvements in the physical infrastructure
ii. Improvements in the social infrastructure
iii. Employment potentialskilled, semi-skilled, and
unskilled
iv. Other tangible benefits
9. Environmental cost and benefit analysis (if recommended at the
scoping stage)
10. Environmental management plan
i. Description of the administrative aspects of ensuring that
mitigative measures are implemented and their effectiveness
monitored, after approval by the EIA
11. Summary and conclusion (this will constitute the summary of the
EIA report)
i. Overall justification for the implementation of the project
ii. Explanation of how adverse effects have been mitigated
12. Disclosure of consultants engaged
i. Names of the consultants engaged with their brief resume
and nature of consultancy rendered
The proposed notification (MOEF 2020) specifies detailed contents to be

described in each chapter.
The summary of the EIA report, condensed to ten A4 size pages, having the
following contents, is also required:
i. Project description
ii. Description of the environment
iii. Anticipated environmental impacts and mitigation measures
iv. Environmental monitoring program
v. Additional studies
vi. Project benefits
vii. Environmental management plan
B. The format for an EIA report suggested by The Asian Development Bank
(ADB 1993, 2003) is as follows:
1. Introduction
2. Description of the project
5. Alternatives
6. Cost-benefit analysis
152 Chapter 5
7. Institutional requirement and environmental monitoring program

8. Public involvement
9. Conclusions
C. Lohani et al. (1997) suggested that an EIA report should have the
following contents as a minimum:
Executive Summary
1. Introduction
5. Alternatives
6. Environmental monitoring
7. Additional studies
8. Environmental management plan and environmental management
office
9. Summary and conclusions
10. Annexes
D. The project-specific environmental assessment prescribed by the World

Bank (1999a) is as follows:
1. Executive Summary: Concise discussion of significant findings
and recommended actions
2. Policy, legal, and administrative framework: Discussion of the
policy, legal, and administrative framework within the EIA
3. Project description: Concise description of the projects
geographic, ecological, social, and temporal context, including any
off-site investments that may be required by the project (e.g.
dedicated pipelines, access roads, power plants, water supply,
housing, and raw material and product storage facilities)
4. Baseline data: Assessment of the dimensions of the study area and
description of relevant physical, biological, and socio-economic
conditions, including any changes anticipated before the project
commences. Current and proposed development activities within
the project area (but not directly connected to the project) should
also be taken into account
5. Environmental impacts: Identification and assessment of the
positive and negative impacts likely to result from the proposed
project. Mitigation measures, and any residual negative impacts
that cannot be mitigated, should be identified. Opportunities for
environmental enhancement should be explored. The extent and
quality of available data, key data gaps, and uncertainties

associated with predictions should be identified/estimated. Topics
that do not require further attention should be specified
6. Analysis of alternatives: Systematic comparison of the proposed
investment design, site, technology, and operational alternatives in
terms of their potential environmental impacts; capital and
recurrent costs; suitability under local conditions; and institutional,
training, and monitoring requirements. For each of the alternatives,
the environmental costs and benefits should be quantified to the
extent possible, and economic values should be attached where
feasible. The basis for the selection of the alternative proposed for
the project design must be stated
7. Mitigation Plan: Identification of feasible and cost-effective
measures that may reduce potentially significant adverse
environmental impacts to acceptable levels, and estimation of the
potential environmental impacts; capital and recurrent costs; and
institutional, training, and monitoring requirements of those
measures. The plan (sometimes known as an action plan, or an
environmental mitigation or management plan) should provide
details on proposed work programs and schedules. Such details
help to ensure that the proposed environmental actions are in phase
with engineering and other project activities throughout
implementation. The plan should consider compensatory measures
if mitigation measures are not feasible or cost-effective
8. Environmental management and training: Assessment of the
existence, role, and capability of environmental units on-site, or at
the agency and ministry level. Based on these findings,
recommendations should be made concerning the establishment
and/or expansion of such units, and the training of staff, to the point
that EIA recommendations can be implemented
9. Environmental monitoring plan: Specification of the type of
monitoring, who would do it, how much it would cost, and what
other inputs (e.g. training) are necessary
10. Appendices
E. The Task Force on Cement Sustainability Initiative (CSI 2005) of the

World Business Council for Sustainable Development (WBCSD)
produced the following concise guidelines for an environmental and
social impact assessment (ESIA) report:
154 Chapter 5
Executive summary
1. Methods and key issues
2. Legislative framework
3. Consultation process
4. Social and environmental baseline
5. Consideration of alternatives
6. Prediction and evaluation of significant social and environmental
impacts
7. Mitigation or offset measures
8. Environmental and social management and monitoring plans
F. The European Union (EU 2014) prescribed seven key areas that are
required in an EIA report, viz.:
i. Description of actual project and site description
ii. Break the project down into its key components, i.e.
construction, operations, decommissioning
iii. For each component, list all the sources of environmental
disturbance
iv. For each component, all the inputs and outputs must be
listed, e.g. air pollution, noise, hydrology
2. Alternatives that have been considered
i. Examine alternatives that have been considered
i. List of all aspects of the environment that may be affected
by the development
(This section is best carried out with the help of local
experts)
4. Description of the significant effects on the environment
i. The word significant is crucial here as the definition can
vary
ii. Significance must be defined
iii. The most frequent method used here is the use of the
Leopold matrix
iv. A matrix is a tool used in the systematic examination of
potential interactions
5. Mitigation
i. This is where EIA is most useful
ii. Once section 4 is complete, it is obvious where impacts
are greatest
iii. Using this information, ways to avoid negative impacts

should be developed
iv. Best working with the developer with this section as they
know the project best
6. Non-technical summary (EIS)
i. The EIA is in the public domain and is used in the
decision-making process
ii. The information must be available to the public
iii. The summary does not include jargon or complicated
diagrams
iv. It should be understood by the informed lay-person
7. Lack of know-how/technical difficulties
i. This section is to advise any areas of weakness in
knowledge
ii. It can be used to focus on areas of future research
iii. Some developers see the EIA as a starting block for poor
environmental management
Even though different agencies specify different structures of formats of the

EIA report for meeting their requirements, the contents appear similar and
the bottom line for any EIA report is necessarily ensuring compliance with
the applicable statutory requirements at the project location while fulfilling
the specific requirements of the concerned regulatory regime or project
financing agency, in the letter as well as in spirit.
5.8 Executive summary

5.8.1 What is an executive summary?
An executive summary of a report is defined (Business Dictionary 1997) as
a brief but comprehensive synopsis of a proposal, which highlights its key
points and is generally adapted for the external audience. It summarizes a
longer report in such a way that the readers can rapidly become acquainted
with a large body of material without having to read it all. Unlike an abstract
which is widely used in academic research, and is a brief statement read by
those who need to decide whether to read the main document, an executive
summary is an abridged form that may be read instead of the longer
document.
156 Chapter 5
5.8.2 Executive summary of EIA report

It is a concise discussion of significant findings and recommended actions
(World Bank 1999a), highlighting the key findings (MTR) of the EIA for
the proposed project to meet with the regulatory stipulations of the EIA
framework, major impacts, and the action points needed for implementation
(DEAT 2004) to address the impacts. The EIA regulation (MOEF 2006) in
India prescribes that the summary of the EIA report, condensed to ten A4
size pages with a project description, a description of the environment,
anticipated environmental impacts and mitigation measures, the environmental
monitoring program, additional studies, project benefits, and an
environmental management plan be prepared. It needs to be translated into
the regional language and made available in the public domain for
consultation.
Considering that EIA is used in the decision-making process, a non-

technical summary (Wood 1995), without including specialized language or
complicated figures, should be accessible and understandable to the
informed lay-person (EU 2014), and members of the interested and/or
affected community (WBCSD 2005). It should contain an overview of the
project, the consideration of alternatives, the construction schedule,
potential environmental impacts, proposed mitigation measures, environmental
monitoring, and the environmental management program (Rathi 2017), and
should be able to serve as a stand-alone document giving an overall outline
(Glasgow Caledonian University 1993) of the report. It should conclude by
pointing out the residual impacts of the project after the suggested
mitigation measures, followed by an overall conclusion on the
environmental viability (WBCSD 2016) of the project.
5.8.3 Preparation of an executive summary of an EIA report

The EIA team leader (Rathi 2017) prepares the draft EIA report by
compiling and collating the reports received from different functional
professionals while ensuring uniformity, consistency, completeness, a
smooth flow of language, and logical sequencing of the contents in each
chapter of the EIA report. Thereafter, the executive summary is prepared,
strictly based on the contents of the draft EIA report, and fine-tuned after
preparing the final EIA report, and is generally placed before the first
chapter of the EIA report. The EIA review mechanism (Rathi 2017,
Panigrahi and Amirapu 2012) in India consists of a review of EIA reports
by expert appraisal committees at central or state levels having part-time
nominated members with different backgrounds and expertise, which are
generally not directly related to the EIA. These committees get numerous
project proposals for seeking environmental approvals. The committee
members are under severe time pressure and may not be able to review each
EIA report thoroughly. As a result, most often, they are likely to be forming
opinions on the information contained in the main body of the EIA report
based on the executive summary only. Other stakeholders may also be
reading this part of the EIA report only. Thus, the executive summary
should be kept short, preferably less than seven pages (Sadler and McCabe
2002) except for very large projects where it could be a little longer. At the
same time, considering that a lot of resources go into the preparation of an
EIA report (Rathi 2016), an executive summary must describe complex
contents concisely, simply, and accurately (Sadler and McCabe 2002) in a
non-technical manner for a wider section of stakeholders, preferably with
the help of tables, graphs, maps, and diagrams, clearly highlighting the key
findings of the detailed EIA report, viz.:
i. essential project features, critical and unique environmental

features of the site and the study area
ii. alternatives considered (Rathi 2017)
iii. terms of reference
iv. key environmental issues and how each of these issues is
proposed to be resolved (Lohani et al. 1997), and how
compliance with the applicable regulations is proposed to be
achieved
v. controversial issues and outcome of the public consultation
(Rathi 2016)
vi. an environmental impact statement in a clear and condensed
form containing:
a) the existing scenario of various components of the
environment in the study area
b) significant environmental impacts assessed,
corresponding mitigation measures suggested, and
management of residual impacts
c) the gist of the findings of additional/special studies
d) an environmental management program including
the environmental management mechanism, an
environmental monitoring program for each lifecycle
phase of the project, compliance management,
environmental enhancement, audit, and management
review, etc.
vii. any other critical matters (Sadler and McCabe 2002) that have
a bearing on the decision to grant environmental approval
158 Chapter 5
viii. overall conclusion: impact on the environment, residual

impacts after mitigation measures, loss of natural resources,
long-term enhancement of natural resources, etc.
5.9 Description of the project

A typical description of the proposed project comprises the following
information, duly supported with the respective documents:
i. type of the project and its size or capacity in terms of, e.g.:
a) output (tonnage) for projects like metals, hydrocarbons,
cement, and chemicals
b) output (volumetric) for projects like distilleries and
wastewater treatment facilities
c) the land area proposed for extracting natural resources
like mining and hydrocarbon exploration projects
d) the tonnage of material to be handled along with the land
area proposed for projects like ports and harbors, logistics
and waste management facilities
e) power generation capacity (MW)
f) the land area proposed for infrastructural projects like
airports, industrial estates, and townships
g) the built-up area for construction projects
h) corridor (length and width) for linear projects like railways,
roads, irrigation canals, and cross-country pipelines along
with width for the right of use and right of way
ii. need and importance of the project for the country in general and
the region in particular
iii. map of the country highlighting the region, blown up map of the
region highlighting the sub-region, blown up map of the sub-region
highlighting the project site, and key plan of the project site
iv. project site and layout, defined by latitudes and longitudes
v. existing and proposed land use/land cover maps with duly
demarcated core zone and buffer zone
vi. alternatives considered for selecting the proposed technology with
a clear mention of whether the technology proposed is proven
commercially and is already in use somewhere or it is yet to be
proven
vii. major activities involved in each phase of the project lifecycle, viz.
pre-construction, construction, operation and maintenance, and
post-operation which may involve decommissioning, demolition,
closure, or rehabilitation. Activities that have the potential to cause

impacts on the different components of the environment need to be
described, supported with flow sheets or flow charts showing all
the input as well as output streams, whether these activities are
continuous, intermittent, or occasional, along with quantities,
sourcing of the inputs and evacuation of the product(s), by-
products and side-products, and treatment and disposal of different
types of waste
viii. description of potential sources of pollution: air, water, soil and
land, and in-built design provisions and systems in the equipment,
e.g. electrostatic precipitators in coal-based thermal power
projects, dust collection systems in cement projects, and absorption
columns or scrubbers in chemical, fertilizer and petrochemical
projects for minimizing the pollution emanating from the source,
and how environmental compliance is proposed to be ascertained
ix. description of pollution control measures proposed in line with the
philosophy of adopting the best control technology and best
environmental practices, and how compliance with the applicable
regulations are proposed to be specifically confirmed
x. annual or monthly pollutants load to be emitted and discharged in
each lifecycle phase of the project, consisting of each of the
pollutants in air emissions, wastewater discharge, and solid and
semi-solid waste disposal
xi. utility requirement along with the quantities and how these will be
sourced, whether generated at the site or outsourced, e.g. whether
power, steam, and/or inert gas will be generated at the site using
some fuel, outsourced or purchased from vendors
xii. allied activities and infrastructural requirements for the project,
e.g. captive power generation, storage terminals, and pipelines for
transportation of feedstock, utilities, products, etc., roads for
connecting to the nearby highway, or railway sidings for
connecting to the nearby railway network, etc.
xiii. the requirement of natural building materials like sand, clay, stone,
and gravel, and other building materials like bricks, cement, steel,
bitumen, ceramics, and glass, along with their quantities and
sourcing, mainly in the construction phase, and disposal of waste
like excavated material, construction debris, used asphalt from the
excavation of roads, and excess building materials, etc.
xiv. project implementation schedule in the form of a bar chart or
network diagram, showing the duration of the major activities and
zero date for the commencement of work at the project site
160 Chapter 5
xv. in-built provisions and systems in the project design for the
enhancement of the environment through, e.g. green chemistry,
cleaner production, waste utilization, conservation measures,
reduction of emissions of the greenhouse gases, etc.
xvi. activities involved in case the proposed project is an integrated one.
For example, for a petroleum refinery project proposed in the
hinterland, and based on imported crude oil, the project-related
activities may include facilities for offshore handling of crude oil,
transportation to onshore, an onshore terminal having storage,
handling, and other facilities, transportation of crude oil from the
terminal to the project site through a cross-country pipeline,
booster stations, refining, and allied facilities at the project site,
evacuation of the refined products through cross-country pipelines
and/or rail or road transportation, etc., even though the activities
may be undertaken at multiple locations in different regions.
Likewise, for an integrated steel project proposed in the hinterland
and based on imported iron ore and coke, or a thermal power
project proposed in the hinterland and based on imported coal etc.,
all the activities involved need to be included. For some such
integrated projects, the development of a captive port or jetty and
allied shore-based facilities may also be integral to the project.
Accordingly, these need to be described.
In short, all the aspects of the proposed project need to be considered and
the project described in its totality, encompassing all the activities that will
be undertaken in different phases of the project lifecycle, and all the
interrelated or allied activities that are considered to be integral to the
project at the respective locations. The applicable regulations, e.g. those
related to air emissions (MOEF 1982, 2009), noise (MOEF 2000a),
wastewater discharge (MOEF 1975, 1988), waste disposal (MOEF 2016a,
2016b, 2016c), etc. need to be highlighted.
In the case of brownfield projects, in addition to the above information for

the proposed project, mention is also made on whether the existing facilities
have adopted good practices, and management systems like a QMS as per
the ISO 9001:2015 standard, an Environmental Management System as per
the ISO 14001:2015 standard, an Occupational Health and Safety System
as per the ISO 45001:2018 standard, etc.
5.10 Description of the environment

(Establishing environmental baseline conditions)
5.10.1 The need for environmental baseline conditions
The description of the environment needs to give a complete and clear
picture of the current environmental scenario of the study area, i.e.
description of the status of the environment before the commencement of
any construction-related activities at the proposed project site. Such
information will be useful later in determining the extent to which the
changes observed in any of the parameters of the environmental components
after the commencement of the project-related activities could be attributed
to the project. There is an inherent assumption in relying on the established
environmental baseline status that the environmental conditions are
perfectly established and that the meteorological conditions at the time of
establishing the baseline status remain the same over the project lifecycle.
Even though these assumptions may not entirely hold good, it should be
possible to attribute some changes in certain environmental parameters to
the project.
The environmental baseline studies essentially provide a reference point

against which the characteristics and parameters of environmental changes
due to project-related activities are predicted, analyzed, and assessed, and
significant impacts established.
Clarity needs to be developed so that the objective of establishing the

environmental baseline conditions is to generate and/or compile authentic
and relevant information on the valued environmental components in the
study area, which are likely to undergo some change due to the project-
related activities in both the short- and the long-term, and not to create a
kind of data bank for multipurpose use in the future. It is thus necessary that
the focus is on capturing the information that is relevant, appropriate,
authentic, and credible.
5.10.2 Information for environmental baseline conditions

Establishing an elaborate monitoring network for generating data on the
environmental baseline conditions is generally preceded by
a. well-planned desk work

b. a reconnaissance survey of the study area by the concerned
functional professionals in consultation with the EIA team leader
162 Chapter 5
c. proper documentation of the observations and findings

d. collection and collation of past data
e. trend analysis and interpretation of the past data
For establishing the environmental baseline conditions, the following

information is required for the study area:
i. current environmental conditions of the physical-chemical,

biological, and socio-economic components of the environment
ii. historical data for understanding the past trends of different
parameters of the identified valued environmental components, i.e.
fundamental elements of the physical-chemical, biological, and
socio-economic environments that may change because of the
proposed activities, and for projecting the future trends
iii. anticipated environmental conditions, considering the projects
under implementation, those approved for implementation, and
other foreseeable projects in the study area, which may commence
their activities before or simultaneously with the proposed project
The baseline scenario, referred to as an environmental inventory (Canter

1996), is compiled from a checklist of descriptors for the physical-chemical,
biological, cultural, and socio-economic environments. The basic tasks
involved in establishing the baseline environmental scenario are as follows:
a. delineation of the study area, consisting of the project location and

its surroundings up to a distance prescribed in the TOR
b. reconnaissance survey of the study area
c. defining the current status of each of the valued components of the
environment
d. transferring the above information onto the updated base maps
The analysis and interpretation of the data need to be done periodically

while the field monitoring is being undertaken. The secondary data
collected from different sources is required to be collated, considering that
the time frame and objectives of the studies conducted earlier could be
different. The interpretation of the compiled data is very crucial for
developing a thorough and deep understanding of the variables and causal
factors associated with different environmental components in a time series.
The sources used for collection or procurement of the secondary data along
with how the relevance and authenticity of the data were ascertained are
also to be documented properly.
5.10.3 Study area

The study area, consisting of the core zone and buffer zone, is generally
determined based on the following considerations:
i. the TOR prescribed by the competent authority

ii. applicable regulations
iii. potential of the physical-chemical, biological and/or socio-
economic consequences of the project-related activities
iv. environmental sensitivity of the project site and its surroundings
v. type and size of the project
When the TOR are to be proposed to the competent authority for seeking
approval, the study area is considered based on the extent of changes likely
to be caused by project-related activities in the identified valued
environmental components in the surroundings of the project site, viz.:
i. The physical-chemical components: air quality, noise levels,

climate, water resources and quality of surface, ground and marine
waters, soil, geology, hydrogeology, topography, land use/land
cover, landscape, seismology, etc.
ii. Ecological components: terrestrial, aquatic, coastal, wetland and
marine ecosystems, avifauna, migratory fauna, and migratory
routes and corridors, designated conservation areas like national
parks, wildlife sanctuaries, forests, etc., rare and endangered
species and fragile habitats; etc.
iii. Socio-economic components: human settlements, population,
demography, and occupation; economic activitiesindustry,
agriculture, tourism, and services; physical infrastructural
facilitiesroads, railways, airports, ports and harbors, power and
water supply, drainage, sewage, and solid waste management;
traditional land uses; social infrastructural facilitiesschools,
hospitals, cultural and recreational; historical, archaeological,
heritage and cultural monuments; etc.
The basis of the decision on the delineation of the study area is documented
suitably. It may be recognized that the extent of the study area will have a
bearing on the requirement for resources to establish the environmental
baseline conditions.
164 Chapter 5
5.10.4 Terms of reference

The TOR given by the competent authority are expected to have prescribed
the relevant specific aspects and parameters of the valued environmental
components to be considered for the description of the environment. The
EIA team leader also makes sure that the respective functional professionals
make efforts to identify any additional aspects and parameters if considered
pertinent.
5.10.5 Environmental baseline monitoring

The baseline monitoring is essentially a repeated measurement of the
parameters of the physical-chemical components that are considered critical
and have the potential to cause changes in the quality of air, water, soil,
and/or land use/land cover due to the activities to be undertaken in each
phase of the project lifecycle. The repetitive observations on the measurements
of the environmental parameters at pre-identified locations are recorded for
a predetermined duration of time. Likewise, for ecological and socio-
economic components, the baseline monitoring essentially includes the
collection of representative and factual information on their current status.
Before planning the baseline data generation or collection, i.e. primary data
or secondary data respectively, detailed scoping is done, keeping in view
the TOR, project-related activities, and unique features of the site, primarily
to
a. set clear boundaries based on the considerations like the statutory,

spatial, temporal, ecosystem, social, and jurisdictional for the study
area and the study
b. identify key issues and the environmental components that may
have potential impacts
c. identify detailed information needs for the EIA and the formulation
of an environmental management program including environmental
monitoring
The scoping of baseline monitoring facilitates
i. planning for data generation and collection, and analysis and

interpretation of the same
ii. focusing on the important environmental issues
iii. selecting the relevant and manageable parameters
iv. optimal utilization of the available resources
Standard guidelines and widely accepted methodologies are generally

followed for monitoring the baseline environmental attributes (MOEF a,
n.d., MOEF b, n.d.) for establishing the relevant environmental baseline
conditions realistically and comprehensively. As described earlier, ideally,
the existing environment can be best understood by carrying out a detailed
review and trend analysis of the historical information on different
environmental components in a time series, available from secondary
sources before planning and commencing field monitoring or
investigations.
5.10.6 Representation of baseline data

The baseline status can be described with the help of environmental
indicators and/or environmental indices (Canter 1996). The following
preliminary set of environmental indicators (OECD 1991, 2004) can be used
for describing the baseline environment, where applicable:
A. Biophysical environmental indicators

i. CO2 emissions
ii. Greenhouse gas emissions
iii. SO2 emissions
iv. NOx emissions
v. Use of water resources
vi. River quality
vii. Wastewater treatment
viii. Land use changes
ix. Protected areas
x. Use of nitrogenous fertilizers
xi. Use of forest resources
xii. Trade in tropical wood
xiii. Threatened species
xiv. Fish catches
xv. Waste generation
xvi. Municipal waste
xvii. Industrial accidents
xviii. Public opinion
B. Social and economic environment indicators
xix. Growth of economic activity
xx. Energy intensity
xxi. Energy supply
xxii. Industrial production
xxiii. Transport trends
166 Chapter 5
xxiv. Private fuel consumption

xxv. Population
A graphical, pictorial, and/or tabular representation of the relevant data,

preferably in this order, along with proper interpretation, will facilitate the
competent authority in understanding the past trends and the environmental
conditions in the study area while easily reviewing the EIA report.
5.10.7 Concept of a moving baseline

It is likely that the environmental baseline conditions, which are established
once, may or may not be valid when the operation phase of the project
commences. The baseline conditions may undergo some change for all or
some of the environmental components depending upon the size of the
proposed project and its implementation duration, nature of the study area,
and other developments taking place there. For example, large dams, major
ports, large industrial complexes like integrated steel, petroleum refining,
and petrochemicals, and mega power projects have long gestation periods,
maybe of the order of three years or so in developing countries. By the time
the operation phase of such a project commences, some other projects are
likely to be implemented in the vicinity of the project location or the study
area, and induced growth and other developments also take place. Thus, the
baseline scenario at the time of commencement of the operation phase of
the proposed project may be quite different from that established before
commencing its construction activities. Therefore, for long gestation
projects, the state of the environment for a no project (without the
proposed project for which the EIA is being conducted) option, i.e. the
realistic baseline scenario needs to be predicted by considering the trends
on the monitored baseline data, as depicted in Fig. 5.1. This is the concept
of a moving/shifting/evolving environmental baseline.
Modified Baseline parameters predicted with other developments
Baseline parameters predicted with foreseeable development
Baseline parameters with no project
Environmental Parameters
Modified baseline conditions at

project commencement
Baseline conditions at
project commencement
Pre-project phase Post-operational phase
Establishment of pre-construction Commencement of project

baseline conditions
Preparing for Environmental Impact Assessment
operations
Project Phase
Fig. 5.1 Prediction of baseline conditions

167
168 Chapter 5
5.10.8 Establishing realistic baseline conditions

The baseline conditions of different environmental components in the study
area can ideally be established in different seasons to capture their status
when these components are under maximum stress, e.g.:
a. air environment in the winter when the dispersion of air pollutants

is the least
b. water, soil, and ecological environments in the summer when
water availability is scarce and water quality is relatively poor (this
will not be relevant for the regions receiving water from snow
melting or glaciers), and soil has a low moisture content, putting
stress on the growth and survival of vegetation, flora, and fauna
c. land use/land cover and flora in pre- and post-monsoon periods
when maximum contrast in the status of these components could
be observed
Under these seasonal conditions, the environmental baseline conditions are

expected to reflect a kind of worst-case scenario for each of the
environmental components, which may form a conservative basis for impact
assessment and determination of the significance of the impacts. Historical
(secondary) data, relevant for the proposed site, if obtained from authentic
sources, with trends analyzed and suitably interpreted, can be very useful in
identifying the realistic or most probable baseline scenario.
The limitations of establishing realistic baseline conditions by carrying out

the environmental baseline monitoring for all the components of the
environment in one season need to be clearly highlighted in the EIA report.
5.11 EIA and mitigation measures

It may be realized that developmental projects generally result in both direct
and indirect impacts on the environment, primarily arising from the
following:
a. construction activities
b. transportation-related activities
c. handling, storage, and consumption of goods
d. power generation
e. production processes
f. use of natural resources including water and building materials
g. land used for project-related and infrastructural development

activities
h. disposal of excavated, construction, mining, industrial and
municipal waste
i. extraction of minerals and hydrocarbons
j. use of services, etc.
It may not be uncommon to recognize that at times, the indirect effects of

development are much higher than the direct effects. This is generally
considered while conducting a typical EIA study. For example, projects
such as airports, shipyards, integrated metallurgical complexes, petroleum
refining, petrochemical complexes, and fossil fuel-based mega power
projects have been found to have far-reaching consequences, much beyond
the study area, both nationally and internationally (Shepherd and Ortolano
1996) for a very long period.
Environmental impact assessment and mitigation measures essentially

reflect a complete understanding and establishment of the impact causal
chain, depicted in Fig. 5.2, primarily consisting of the following:
Project- related activities
causing
Changes in environmental parameters
resulting in
Impacts on environmental components
necessitating
Impact mitigation measures
Fig. 5.2 Impact causal chain

170 Chapter 5
i. project-related activities like construction, transportation,

manufacturing, and power generation undertaken in the different
phases of the project lifecycle
ii. changes in the levels of the physical-chemical environmental
parameters due to such activities, e.g. increase in the levels of
sulfur oxides (SOx), nitrogen oxides (NOx), and particulate matter
(PM) in ambient air due to emissions from coal-based thermal
power plant boilers, and PM due to construction-related activities
iii. impacts on the environmental components due to an increase in the
levels of certain environmental parameters, e.g. deterioration of air
quality causing respiratory diseases in people, thus affecting
human health
iv. environmental impact mitigation measures to contain these
impacts within the permissible levels, e.g. incorporating air
pollution control measures like bag filters and scrubbers to arrest
PM and absorb gaseous pollutants respectively before the air gets
emitted from industrial stacks into the environment
5.11.1 Environmental impact assessment stages

The four basic and logical stages involved in EIAs are as follows:
Stage 1: Identify and describe major project-related activities involved in

each phase of the project lifecycle, viz. pre-construction, construction,
operation, and post-operation for each of the alternatives considered
Stage 2: Predict changes in different environmental parameters and

highlight significant changes; predict the likelihood of occurrence and
magnitude or severity in the cases of uncertainties of such changes caused
by different project-related activities
Stage 3: Assess the impacts on human health and welfare, ecosystems, and
structures and properties from such significant changes
Stage 4: Propose suitable mitigation measures for preventing and/or

minimizing the environmental impacts to an acceptable level since adverse
or unacceptable impacts shall not be tolerated; propose regular monitoring
for ensuring compliance with the applicable regulations, and performance
evaluation of the implemented mitigation measures to determine their
efficacy and efficiency; and propose additional or supplementary measures,
if any
It may be recapitulated that the prime objective of an EIA report for a

proposed project at a given location is to identify all the significant impacts
arising from the project-related activities which would be undertaken in
each phase of the project lifecycle, and suggest suitable, specific, and
implementable mitigation measures, following the hierarchy of avoidance
or prevention, minimization or reduction, and control to contain the impacts
within the acceptable levels, and compensation. The impacts are predicted
on the physical-chemical, ecological, and socio-economic components of
the environment with the help of appropriate techniques and tools. The
predicted levels of different parameters of each of the environmental
components determine the environmental status in the corresponding
lifecycle phase of the project, and the consequences thereof.
It is, therefore, crucial that adequate time and efforts are directed in the
preparation of the chapter on environmental impact assessment and
mitigation measures to project a total and comprehensive picture of the
environmental impacts and corresponding mitigation measures to reduce
the magnitude or severity of the predicted and assessed adverse impacts to
an acceptable level. For this purpose, it is imperative that before
commencing an EIA study, each member of the EIA team develops a
thorough understanding of the basic terms involved in EIAs, viz.
environment, environmental impacts, environmental impact assessment,
significant impacts, environmental impact mitigation, and environmental
management programs, in addition to the objectives of EIA, described in the
earlier chapters.
5.11.2 A conceptual approach to EIA

The conceptual approach to the preparation of an EIA report, modified from
Petts (1999) and Canter (1996), consisting of a seven-step methodology for
the physical-chemical environment, i.e. air, noise, water, soil, and land
environments, and ecological as well as socio-economic environments is
proposed as follows:
Step 1: Identification of the environmental issues associated with

each of the project-related activities in each phase of the lifecycle
of the proposed project
Step 2: Identification of the applicable laws and regulations for the

proposed project-related activities at the proposed site, and
relevant standards and guidelines available for the project-related
activities identified in Step 1
172 Chapter 5
Step 3: Description of the existing environmental conditions for

each of the valued environmental components, focusing on the
environmental issues identified in Step 1
Step 4: Prediction of the environmental impacts of the

environmental issues identified in Step 1 upon the environmental
components described in Step 3
Step 5: Identification of the appropriate mitigation measures for

containing the adverse impacts assessed in Step 4
Step 6: Assessment of the significance of the impacts predicted in

Step 4, and the effectiveness of mitigation measures suggested in
Step 5 while keeping in view the information in Step 2
Step 7: Design of an appropriate environmental management

program for the implementation and operationalization of the
suggested mitigation measures, residual impact management,
environmental monitoring, and performance evaluation of the
implemented mitigation measures in Steps 5 and 6, and measures
for environmental enhancement
Considering that the mere suggestion of mitigation measures without a

mechanism of their implementation and monitoring is not adequate, the
environmental management program is considered to be an integral part of
the conceptual approach to the preparation of an environmental impact
assessment report, as illustrated in Fig. 5.3.
It needs to be emphasized that specific rather than generic mitigation

measures are to be suggested for each of the significant impacts assessed,
along with the program for implementation, i.e.:
a. time frame involved

b. responsibility for implementation
c. funds requirement
Further, the mitigation measures need to be proposed in the hierarchy or

order of priority of prevention, reduction at source, reduction at receptors,
and compensation of impacts. It is to be kept in mind all the time that the
bottom line for carrying out any project-related activity is to ensure
compliance with each of the applicable regulations all the time. It is thus
imperative that an effective environmental management program is
designed.
174 Chapter 5
5.11.3 Technology and process design

A well-prepared project report of a well-conceived project generally
incorporates salient design features like:
a. best available technology not entailing excessive cost (BATNEEC)

b. best conventional (pollution) control technology (BCT)
c. best engineering practices and best environmental practices
(BEEP)
as inherent to the basic design of the project, detailed engineering of the

process, equipment, and the allied facilities with adequate safety margins to
account for unknowns. For example,
i. for solid fossil fuel-based thermal power projects, electrostatic

precipitators (ESPs) are integral components of the plant as per
globally accepted best practices. The basic design of such projects
will thus incorporate ESPs whether there is a mandatory requirement
to seek environmental approval or not. Therefore, equipment like
ESPs do not have to be suggested as mitigation measures for air
quality impacts per se for large thermal power and cement projects
proposing the use of solid fossil fuel as feedstock/fuel
ii. for chemical manufacturing projects involving reactions like
nitration, sulfonation, or chlorination which generate gaseous
emissions in the form of NOx, SO2, or hydrochloric acid vapors
respectively, scrubbing or absorption systems using appropriate
solvents or alkaline solutions are integral to basic process design,
not as mitigation measures per se
iii. in refinery and petrochemical projects handling inflammable
substances, compressors and pumps are specified to have double
mechanical seals, and flame-proof motors as per good engineering
practice, not as mitigation measures per se
iv. advanced multi-variable controls and online optimization, process
control and automation, performance controls, interlocks, online
analyzers, video surveillance and equipment monitoring for
providing early detection and warning of abnormal conditions,
leak detection systems, etc. are integral to the basic design of large
continuous process industries, not as mitigation measures per se
Thus, suggesting ESPs, primary scrubbers, double mechanical seals, flame-

proof motors, advanced instrumentation, etc. for large manufacturing
projects as mitigation measures, and considering such process equipment
as pollution control equipment may appear primitive in the twenty-first

century. However, the operating efficiencies of such systems under different
operating scenarios over a long time need to be ascertained by the
respective functional professionals and the EIA team leader, e.g. predicting
air emissions into the environment, changes in the ambient air quality and
impacts thereof. Accordingly, additional, supplementary systems, or air
pollution control devices may have to be suggested for installation in series
with such in-built systems as mitigation measures so that impacts due to
emissions, even under abnormal operating conditions, are reduced to
insignificant or acceptable levels.
The EIA team leader thus needs to draw a line regarding the extent to which
the EIA would incorporate the process-related aspects, which are integral to
the basic process engineering and the plant operating manual in line with
the best engineering practices, especially for large projects. It may be
appreciated that the prime objective of good technology and process
engineering is improving the process efficiencies and cutting down
manufacturing costs using techniques like resource conservation and waste
minimization, optimization of the operating parameters, and suitable
controls, which also help to reduce emissions and discharges. Moreover, a
typical EIA team may not have expertise in technology-related aspects.
Thus, the EIA team leader needs to consult experienced professionals to
understand the processes, without getting into finer details, and gather
complete information relevant for EIA, viz. the following:
a. types and quantities of emissions and discharges from different

sources under normal, abnormal, and accidental scenarios
b. efficiencies of the equipment which are integral to the process
to reduce such emissions and discharges at source
c. contemporary best sectoral technological and engineering
practices
5.11.4 Impact assessment

Impact assessment primarily consists of the identification, prediction or
estimation, analysis or evaluation, and assessment of the impacts on
different components of the environment stemming from the proposed
project-related activities, to be undertaken in each lifecycle phase of the
project. The impacts primarily depend upon the type of project, project-
related activities, and the practices to be employed, and baseline environmental
conditions of each of the environmental components in the study area. The
176 Chapter 5
environmental components include air, noise, water, soil, land use/land

cover, ecological, and socio-economic/cultural environments.
As discussed earlier, formal methods like checklists, matrices, networks,

overlays, and/or expert systems are generally used by functional professionals
for impact identification, recognizing that each of these methods has some
advantages as well as some limitations. The use of multiple methods and
professional judgment by the experienced professionals for such an exercise
is vital in ensuring proper identification of the impacts.
Based upon the details of project-related activities and the baseline values
of the environmental parameters, each functional professional identifies
potential changes in different environmental parameters which may lead to
environmental impacts on the respective environmental components and
predicts the resultant environmental impacts. The potential impacts are
predicted for each of the project-related activities including those performed
continuously, periodically, or occasionally in each lifecycle phase of the
project. For example, the project-related activities in a manufacturing sector
project include manufacturing processes, material handling, transportation,
storage, maintenance, etc. in the operation phase of the project lifecycle
under different scenarios, viz. the normal and abnormal operations and
accidental ones. For the prediction of the impacts, appropriate standard
methodologies and appropriate techniques including duly validated
mathematical models or software (MOEF c, n.d.) are employed from the
available mathematical, statistical, or system-based techniques and tools.
Some typical and commonly used software for environmental impact
predictions are illustrated in Box 5.2 and Table 5.1.
As far as possible, impacts are predicted quantitatively using the best

available tools, which are relevant for the project and its location. For
qualitative assessment, professional judgment based on scientific
knowledge and experience is used and techniques like component
interaction matricesBattelle Environmental Evaluation System (BEES),
Leopold matrix, Petersen matrix, or LIKERT scale, described in Chapter
4are generally employed.
Given the climatic changes, projected to be very significant and leading to

several unpredicted natural phenomena occurring, significant variations in
the meteorology on a year to year basis would be inevitable. Thus, EIAs
pose a challenge to an EIA team.
Box 5.2
Guidance for Assessment Relevance and Reliability of Analytical Methods and Framework Used for Impact
Prediction
Model Application Remarks
1. Noise Environment
FHWA (Federal Highway Noise Impact due to vehicular movement on
Administration) highways
Dhwanipro For predictions of impact due to a group of noise
sources in the industrial complex (multiple sound
sources) and traffic
Federal Aviation Administration Hemispherical sound wave propagation
EPA model
The United States Air Force For predictive impact due to single noise
source
For predicting the impact of traffic on the airport
and railroad
Water Environment
QUAL-II E Wind effect is insignificant, vertical disperse Steady-state or dynamic model
effects insignificantly applicable to streams
Data required- deoxygenation coefficients,
re-aeration coefficients for carbonaceous,
nitrogenous, and benthic substances,
dissolved oxygen deficit
178 Chapter 5
Excellent to generate water quality
parameters
Photosynthetic and respiration rate of
suspended and attached algae
Parameters measured up to 15 components can be
simulated in any combination, e.g. ammonia,
nitrite, nitrate, phosphorous, carbonaceous BOD,
benthic oxygen demand, DO, coliforms,
conservative substances and temperature
DOSAG-3, USEPA Water quality simulation model for streams Steady-state
& canal
A general water quality model
Explore-I, USEPA A river basin water quality model Dynamic, simple hydrodynamics
HSPF, USEPA Hydrologic simulation model Dynamic, simple hydrodynamics
RECEIVE-II, USEPA A general dynamic planning model for water
quality management
Stanford watershed model Simulates stream flows once historic
precipitation data are supplied
The major components of the hydrologic cycle are
modeled including interception, surface detention,
overland flow, inflow, groundwater,
evapotranspiration and routing of channel flows,
temperature, TDS, DO, carbonaceous BOD
coliforms, algae, zooplankton, nitrite, nitrate,
ammonia, phosphate, and conservative substances
can be simulated
Hydrocomp model Long-term meteorological and wastewater Time dependant (Dynamic)
characterization data is used to simulate
stream flows and stream water quality
Stormwater management model Runoff is modeled from overland flow, Time dependant
(SWMM) through surface channels, and through sewer
network; both combined and separate sewers
can be modeled.
This model also enables to simulate water quality
effects of stormwater or combined sewer
discharges. This model simulates run-off resulting
from individual rainfall events
Battelle reservoir model The waterbody is divided into segments 2-dimensional multi-segment model
along the direction of the flow and each
segment is divided into a number of
horizontal layers. The model is found to
generate an excellent simulation of
temperature and good prediction of water
quality parameters.
TIDEP (Turbulent diffusion Horizontal temperature homogeneity Steady-state model.

temperature model reservoirs) Coefficient of vertical turbulent diffusion The model simulates temperature, DO,
constant for change of area with depth total and benthic BOD, phytoplankton,
negligible coefficient of the thermal exchange zooplankton, organic and inorganic
constant nitrogen, phosphorous, coliform
Data required: Wind speed, air temperature, air bacteria, toxic substances, and
humidity, net incoming radiation, surface water hydrodynamic conditions
180 Chapter 5
temperature, heat exchange coefficients, and
vertical turbulent diffusion coefficients
BIOLAKE Model estimates potential fish harvest from a
lake
Estuary models/ estuarial Simulates tides, currents, and discharges in Dynamic model
Dynamic model shallow, vertically mixed estuaries excited by
ocean tides, hydrologic influx, and wind
action
Simulates tides, currents in the estuary
Dynamic Water Quality model Simulates the mass transport of either Dynamic model
conservative or non-conservative quality
constituents utilizing information derived
from the hydrodynamic model Bay-Delta
model is the program generally used.
Up to 10 independent quality parameters of
either conservative or non-conservative type
and BOD-DO coupled relationship can be
handled
HEC-2 Computes water surface profiles for steady,
gradually varying flow in both prismatic &
non-prismatic channels
SMS Simulates lake circulation, salt water Surface water modelling system -
intrusion, surface water profile Hydrodynamic model
RMA2 Computes flow velocities and water surface Hydrodynamic analysis model
elevations
RMA4 Solves advective-diffusion equations to Constituent transport model
model up to six non-interacting constituents
SED2D-WES Simulates transport of sediment Sediment transport model
HIVEL2D Supports sub-critical and supercritical flow 2-dimensional hydrodynamic model
analysis
MIKE-II, DHI Supports simulation of flows, water quality, Professional engineering software
and sediment transport in estuaries, rivers, package
irrigation systems, channels & other water
bodies
3. Land Environment
Digital Analysis Techniques Provides land use / land cover distribution
Ranking analysis for soil Provides suitability criteria for developmental Various parameters viz. depth, texture,
suitability criteria / conservation activities slope, erosion status, geomorphology,
Affected micro-flora /micro- flooding hazards, GW potential, land
fauna use, etc. are used
4. Biological Environment
Flora
Sample plot methods Density and relative density- Average The quadrant sampling technique is
number of individuals species per unit area applicable in all types of plant
Density and relative dominance- The relative communities and for the study of
degree to which a species predominates a submerged, sessile (attached at the base),
community by its sheer numbers, size, bulk or sedentary plants
or bio-mass
Frequency and relative frequency importance Commonly accepted plot sizes:
value- 0.1 m2 - mosses, lichens, and other mat-
Plant dispersion over an area or within a like plants
community 1.0 m2 - herbaceous vegetation including
Average of relative density, relative grasses
dominance, and relative frequency 10-20m2 - for shrubs and saplings up to
3m tall, and
100 m2 - for tree communities
182 Chapter 5
Transects & line intercept Cover- Ratio of the total amount of line These methods allow for rapid
methods intercepted by each species and the total assessment of vegetation transition
length of the line intercept given its cover zones and requires minimum time or
equipment to establish
Relative dominance- Ratio of total Two or more vegetation strata can be
individuals of a species and total individuals sampled simultaneously
of all species
Plotless sampling methods Mean point plant- Mean point-plant distance Vegetation measurements are
Mean area per plant- Mean area per plant determined from points rather than being
determined in an area with boundaries
Density and relative density This method is used in grassland and
open shrub and tree communities
Dominance and relative dominance It allows for more rapid and extensive
Importance value sampling than the plot method
Point - quarter method is commonly
used in woods and forests
Fauna
Species list methods Animal species list- List of animal communities Animal species lists present common
observed directly and scientific names of the species
involved so that the faunal resources of
the area are cataloged
Direct Contact methods Animal species list- List of animal communities This method involves the collection,
observed directly study, and release of animals
Count indices methods Drive counts Count indices provide estimates of
(Roadside and aerial count Temporal counts- animal populations and are obtained
methods) Observation of animals by driving them past from signs, calls or trailside counts, or
trained observers roadside counts
Call counts- Count of all animals passing a These estimates, though they do not
fixed point during some stated interval of provide absolute population numbers,
time provide an index of the various species
in an area Such indices allow
comparisons through the seasons or
between sites or habitats
Removal methods Population size- Number of species captured Removal methods are used to obtain
population estimates of small mammals,
such as rodents through baited snap traps
Markre capture methods Population size estimate (M)- Number of species It involves capturing a portion of the
originally marked (T), number of marked animals population and at some later date
recaptured (t), and the total number of animals sampling the ratio of marked to total
captured during census (n) N= nT/t animals caught in the population
5. Socioeconomic Environment
Extrapolative Methods A prediction is made that is consistent with past
and present socio-economic data, e.g. a prediction
based on the linear extrapolation of current trends
Intuitive Forecasting (Delphi Delphi technique is used to determine Conjecture
techniques) environmental priorities and to make intuitive Brainstorming
predictions through the process of achieving Heuristic programming
group consensus Delphi consensus
184 Chapter 5
Trend extrapolation and Predictions may be obtained by extrapolating Trends breakthrough precursor events
correlation present trends. Not an accurate method of making correlation and regression
socio-economic forecasts because a time series
cannot be interpreted or extrapolated very far into
the future without some knowledge of the
underlying physical, biological, and social factors
Metaphors and analogies The experience gained elsewhere is used to Growth historical simulation common-
predict the socio-economic impacts sense forecasts
Scenarios Scenarios are common-sense forecasts of data. Common sense
Each scenario is logically constructed on the
model of a potential future for which the degrees
of confidence as to progression and outcome
remain undefined
Dynamic modeling (Input- Predicts net economic gain to the society after
output model) considering all inputs required for the conversion
of raw materials along with the cost of the
finished product
Normative Methods Desired socio-economic goals are specified and Morphological analysis
an attempt is made to project the social technology scanning contextual
environment backward in time to the present to mapping
examine whether existing or planned resources Functional array
and environmental programs are adequate to meet Graphic models
the goals Mission networks and functional
arrays decision trees & relevance
trees matrix methods scenarios
6. Air Environment
ISCST 3 Appropriate for point, area, and line sources Can take up to 99 sources
(Industrial Source Complex Applicable for flat or rolling terrain Computes concentration on 600
Short Term) Transport distance up to 50 km valid receptors in a Cartesian or polar
Computes for 1 hr to annual averaging coordinate system
periods Can take receptor elevation
Requires source data,
meteorological and receptor data as
input
PTMAX Screening model applicable for a single point Requires source characteristics
source No met data required
Computes maximum concentration and Used mainly for ambient air
distance of maximum concentration monitoring network design
occurrence as a function of wind speed and
stability class
PTDIS Screening model applicable for a single point Requires source characteristics
source Average met data (wind speed,
Computes short-term pollutant concentration temperature, stability class, etc.)
and its occurrence for the prevailing required
meteorological conditions Used mainly to see the likely
impact of a single source
MPTER Appropriate for point, area, and line sources Can take up to 250 sources
(Multi-Point-source Gaussian Applicable for flat or rolling terrain Computes concentration at 180
model with optional Terrain Transport distance up to 50 km valid receptors up to 10 km
adjustments) Computes for 1 hr to annual averaging Requires source data,
periods meteorological data, and receptor
Terrain adjustment is possible coordinates
186 Chapter 5
CTDM PLUS (Complex Terrain Point source steady-state model can estimate Can take a maximum of 40 stacks
Dispersion Model) hourly average concentration in isolated and computes concentration at a
hills/array of hills maximum of 400 receptors
Does not simulate calm met
conditions
Hill slopes are assumed not to
exceed 15 degrees
Requires source, met, and terrain
characteristics and receptor details
UAM (Urban Air shed Model) 3-D grid type numerical simulation model
Computes O3 concentration under short term
episodic conditions lasting for 1 or 2 days
resulting from NOx and VOCs
Appropriate for a single urban area having
significant O3 problems
RAM (Rural Air shed Model) Steady-state Gaussian plume model for Suitable for flat terrain
computing concentration of relatively stable Transport distance less than 50 km
pollutants for 1 hr to 1 day averaging time
Applicable for point and area sources in a
rural and urban setting
CRESTER Applicable for single point source either in a Can take up to 19 stacks
rural or urban setting simultaneously at a common site
Computes highest and second-highest Unsuitable for cool and high-
concentration for 1hr, 3 hr, 24 hr and annual velocity emissions
averaging times Do not account for tall buildings or
Tabulates 50 highest concentrations for the topographic features
entire year for each averaging times
Computes concentration at 180
receptors, circular wing at five
downwind ring distance 36 radials
Requires source, and met. data
OCD (Offshore and coastal Determines the impact of offshore emissions Requires source emission data
Dispersion Model) from point sources on the air quality of Requires hourly met data at
coastal regions offshore and onshore locations like
Incorporates over water plume transport and water surface temperature over
dispersion as well as changes that occur as water-air temperature relative
the plume crosses the shoreline humidity, etc.
Most suitable for over water sources where
onshore receptors are below the lowest shore
height
FDM (Fugitive Dust Model) for Suitable for emissions from fugitive dust Requires dust source particle sizes,
Fugitive emissions estimation sources source co-ordinates for area
The source may be a point, area, or line (up sources, source height, and
to 121 sources) geographic details
Requires particle size classification max. up Can compute concentration at max.
to 20 sizes 1200 receptors
Computes concentrations for 1hr, 3hr, 8hr, Requires met data (wind direction,
24hr or annual average periods speed, temperature, mixing height,
and stability class)
Does not include buoyant point
sources, hence no plume rise
algorithm
RTDM (Rough Terrain Estimates GLC is complex/rough (or flat) Can take up to 35 co-located point
Diffusion Model) terrain in the vicinity of one or more co- sources
located point sources
188 Chapter 5
Transport distance max. up to 15 km Requires source data and hourly
Can be used as a screening model beyond 15 met data
km to up to 50 km Computes concentration at a
Computes for 1 to 24 hr. or annual average maximum of 400 receptors
concentrations Suitable only for non-reactive gases
Does not include gravitational
effects or depletion mechanism
such as rain/wash out, dry
deposition
CDM (Climatological It is a climatological steady-state GPM for Suitable for point and area sources
Dispersion Model) determining long term (seasonal or annual) in an urban region, flat terrain
arithmetic average pollutant concentration at Valid for transport distance less
any ground-level receptor in an urban area than 50 km
Long term averages: one month to
one year or longer
PLUVUE-II (Plume Visibility Applicable to assess visibility impairment Requires source characteristics, met
Model) due to pollutants emitted from well- defined data and receptor co-ordinates &
point sources elevation
Calculates visual range reduction and Requires atmospheric aerosols
atmospheric discoloration caused by plumes (background & emitted)
Predicts transport, atmospheric diffusion, characteristics, like density, particle
chemical conversion, optical effects, surface size
deposition of point source emissions Requires background pollutant
concentration of SO4-, NO3--, NOx,
NO2, O3, SO2 and deposition
velocities of SO2, NO2, and aerosols
MESO-PUFF II (Meso scale Gaussian, Variable trajectory, puff Can model five pollutants
Puff Model) superposition model designed to account for simultaneously (SO2, SO4, NOx,
spatial and temporal variations in transport, HNO3, and NO3)
diffusion, chemical transformation, and Requires source characteristics
removal mechanism encountered on a Can take 20 point sources or 5 area
regional scale sources
The plume is modeled as a series of discrete Location, effective height, initial
puffs and each puff is transported puff size, the emission is required
independently for area source
Appropriate for point and area sources in Computes pollutant concentration at
urban areas max. 180 discrete receptors and
Regional-scale model 1600 (40 x 40) grided receptors
Requires hourly surface data
including cloud cover and twice a
day upper-air data (pressure,
temperature, height, wind speed,
direction)
(Reproduced from MOEF website envfor.nic.in/divisions/iass/eia/Annex5)
190 Chapter 5
Table 5.1 Environmental Impact Prediction Software in Use

1. Air environment
i. ISC-ST3 Industrial Source Complex short-term (approved by
US EPA)
ii. ISC-LT3
iii. ISC-AERMOD View, Gaussian Plume Air Dispersion
iv. CALINE4, line sources
v. Pal-point as well as line sources for AQ
vi. FDM-fugitive dust sources
vii. RTDM, Rough Terrain Diffusion Model, giving GLC
viii. C-fume, coastal air dispersion model (developed by TCE)
ix. Land GEM version 3.02, landfall gas emission model
x. TRAZER
xi. FLUIDYN
xii. CALPUFF
xiii. Wind monitor environmental WM251- Visual wind rose plot
2. Water environment
i. MIKE 21 for hydrodynamic and water quality
ii. RiverCAD for hydrodynamic
iii. HEC-RAS for hydrodynamic simulation
iv. QUAL-II, steady-state or dynamic model for water quality
parameters
v. DOSAGE-3, USEPA: (1-D) RECEIVE-II USEPA generated
water quality model
vi. Visual Motflow, UD contamination
vii. Rockwell Co.s models
viii. MODFLOW
ix. HydroGeoAnalyst
3. Noise
i. UK DOE Traffic Noise model
ii. CORTN
iii. US FHWA Traffic Noise model
iv. RIS90
v. Dhwani
vi. Noise Manager
vii. SOUNDPLAN (Geonoise)
4. Marine environment
i. GENESIS, long-term shoreline changes
ii. Mike-21 ST, sediment transport
iii. NSW, wave propagation
iv. HD, hydrodynamic/flow model
v. PA, particle analysis for dispersion of disposed dredged material
5. Land use
i. Google Earth Pro- licensed version (better resolution than
Google Earth, gives drainage pattern and LU maps of 10 yrs)
ii. ERDA Imagine Professional Version 9.2- RS and GIS
iii. IGIS (RS and GIS)
6. Hazardous substances
i. COSHH, hazards and hazardous substances identification
7. Risk/consequence analysis
i. ALOHA
ii. PHAST, consequence analysis of possible containment
scenarios (DNV Technica)
iii. PHAST micro, risk, and consequence analysis
iv. SAFETI, risk and consequence analysis
v. HAMS-GPS, risk assessment
vi. Point source and solid flame radiation model version 1805.0
vii. US Nuclear Regulatory Commission: estimation of radiant heat
flux from fire
(Source: Compiled from different sources)
5.11.4.1 Involvement of the EIA team leader
The EIA team leader needs to be closely associated with the respective
functional professionals, especially during the important stage of impacts
prediction to ensure that the appropriate model or software are selected,
limitations of the selected prediction models are distinctly known, and
default values taken by the model or software and in-built assumptions, if
any, are clearly understood. The output of the model or software, after due
interpretation, needs to be shared among the concerned functional
professionals for appropriate usage by them. For example, the information
on the predicted water and soil parameters, and changes in drainage patterns
and land use/land cover would be needed by the ecological environment as
well as social environment functional professionals. The impacts on
ecological and social components are predicted or estimated using
appropriate standard techniques and professional judgment.
For each environmental component, the predicted values of each parameter,

the corresponding monitored baseline values, and the permissible values
prescribed by the respective applicable regulations are used for impact
evaluation at the specific locations where baseline monitoring was carried
out. The predicted values of critical parameters are mapped on the
respective base maps having information on the baseline values and the
receptors. The impact zones are accordingly suitably delineated and
192 Chapter 5
highlighted. The exercise of establishing the significance of each of the

impacts predicted is then undertaken meticulously.
5.11.4.2 Realistic impact assessment
The regulation (MOEF 2006) prescribes the collection of environmental

baseline data over one season. In the prevalent practice adopted by EIA
consulting organizations, environmental baseline data generation is
undertaken immediately on receiving the TOR for one season other than the
monsoon season. The data collected is used for the impact assessment. The
competent authority takes the decision on the environmental approval based
on the impact assessment done on the different components of the
environment using the environmental baseline data collected over one
season. It may be pertinent to note that variations in the meteorological
conditions are observed even over a given season, which is generally spread
over 3-4 months as could be observed by analyzing the historical data of
even a decade or so. The meteorological changes are observed to occur not
only from one season to another but also within a particular season in the
temporal scale, in regions having both tropical and temperate weather
conditions. Thus, strictly speaking, the impacts assessed based on
environmental baseline data over one season may not hold, even for that
particular season in the times to come, and cannot be a true reflection of the
environmental impacts to which the receptors would be subjected to in
different seasons, even in the foreseeable future. This is a major limitation
in the impact assessment studies being undertaken currently following the
Indian EIA regulations, especially since the emphasis on the trend analysis
of historical data is not given in establishing an environmental baseline
status. Ideally, the impact assessment should be based on the rigorous trend
analysis of authentic historical data, and the primary data generated in the
season that reflects the worst-case scenario for the respective environmental
components, as discussed earlier.
For major projects and the project activities known to have a high potential
of impacting any of the environmental components, environmental baseline
data generation, spread over at least one year to cover all the seasons, may
be desirable in addition to the rigorous analysis of the past trends of the
relevant meteorological data of a decade, obtained from authentic published
sources. The range of variations in the values of different parameters needs
to be ascertained and the worst-case scenario considered for predicting the
environmental impacts. This would give a better understanding of the
seasonal variations in the environmental baseline conditions of different
environmental components and thereby a close to realistic environmental

impact assessment could be arrived at.
In the cases where the EIA is permitted based on the primary data for all the
environmental components generated in any one season as specified in the
TOR, a thorough analysis of the past data, as discussed above, would be
pertinent. The environmental baseline primary data collected for one season
could then serve as a kind of sample field investigation.
An EIA based on the worst-case scenario may involve an additional capital

cost for the project proponents as superior mitigation measures may have to
be incorporated. However, incurring incremental costs, which may be a
marginal addition to the project cost, may be worth it in the interest of
human welfare and environmental protection, especially for major projects
and those in the proximity of environmentally sensitive areas. Such major
projects may include mega thermal power, hydroelectric power, dams,
petroleum refineries, and petrochemical complexes, primary metallurgical
complexes, mega cement, large industrial parks or estates proposed for
manufacturing sector projects, airports, and ports.
A realistic assessment of the environmental impacts, considering that the

operating lifecycle of a project is fairly long, and that the projects operate
through different seasons over several years, will enhance the quality of EIA
reports. It will also increase the confidence level of the competent authority
while deciding on the environmental approval, more so when
a. the project under consideration is known to have major

environmental impacts
b. the proposed project site and/or its surroundings are ecologically
fragile and environmentally sensitive
c. several unknowns are involved and there are several uncertainties
in predicting environmental impacts
d. public resistance to the proposed project is intense
5.11.4.3 Impact assessment: air environment
The need for an air impact assessment
Before taking up an impact assessment of the air environment, the

concerned functional professionals need to very clearly understand the
definition of air pollution given by Canter (1996): the presence in the
external atmosphere of one or more contaminants, or combinations thereof,
in such quantities and of such duration as may be, or may tend to be,
194 Chapter 5
injurious to human health, plant or animal life, or property (materials), or

which unreasonably interferes with the comfortable enjoyment of life, or
property, or the conduct of business.
Air quality is an indicator of the quality of life and it is directly linked with
chronic health problems. The importance of the impact assessment of air
emissions or air quality assessment can be understood from some studies
that have revealed that air pollutants are responsible for several deaths and
loss in GDP, especially in developing countries. The World Bank (2013)
report reveals that air pollution is responsible for the loss of 3% of Indian
GDP. Of this, the impacts of outdoor and indoor air pollution account for
1.7% and 1.3% respectively. The high cost of outdoor and indoor air
pollution is primarily attributed to a higher exposure of the young and
productive urban population to particulate matter (PM2.5 and PM10)
pollution that results in a substantial cardiopulmonary and chronic
obstructive pulmonary disease mortality load among adults. Similar
situations are prevalent in many developing and under-developed
economies. Thus, an air EIA of project-related activities becomes extremely
important to evaluate contributions of air pollutants from project-related
activities by predicting potential changes in the existing ambient air quality.
Effective preventive, as well as control measures, are to be proposed to
reduce the emissions to an acceptable level prescribed in the applicable
regulations. An air impact assessment essentially involves identification,
prediction, and evaluation of critical variables like source emissions, and
potential changes in ambient air quality as a result of emissions from
different sources under different meteorological conditions.
Sources of air pollution
It may be observed that for infrastructural projects, air impacts could arise
from several activities including excavation, material handling,
construction, use of energy, and transportation. On the other hand, for
manufacturing and energy sector projects, air impacts could arise from
construction-related activities, inputs (feedstock, additives, fuel, utilities,
etc.), manufacturing processes, material handling, transportation, storage,
wastes, etc. Some major pollutants emitted from some typical emission
sources are illustrated in Table 5.2.
Table 5.2 Typical Emission Sources and Associated Major Pollutants

Source Pollutants
Animal related sources CH4, NH3, N2O

Chlor-alkali industries Cl2
Coal mines CH4
Construction PM, PM10, PM2.5
Hydrocarbon / Solvent sources VOC
Landfills CH4, NH3
Mining, Quarrying, Cement, Ceramics PM, PM10, PM2.5
Motor vehicles, Aircrafts, Vessels NOx, SOx, CO, VOC, PM10,
PM2.5
Paints VOCs
Thermal Power plants NOx, SOx, CO2, PM, PM10,
PM2.5
Sewage treatment plants H2S
Metallurgical plants NOx, SOx, PM, PM10, PM2.5
Wastewater treatment plants VOCs
(Modified from Handbook of Environmental Impact Assessment 1996)
As a first step, all the sources of potential air emissions need to be identified.
Such sources, depending upon the type of project-related activities, may
include the following:
i. transportation sources, viz. motor vehicles, material handling

equipment, aircraft, railways, (sea) vessels, rail, road tankers, etc.
ii. fuel combustion in stationary sources, viz. fossil-fuel-fired power
plants, industrial boilers and furnaces, industrial and household
diesel generating sets, commercial, institutional, domestic sources,
etc.
iii. industrial emissions and process losses in case of petroleum
refining, chemical and petrochemical industry, liquid transportation,
bulk storage, food processing industry, metallurgical industry, textile
processing, mineral processing, foundry, mining, etc.
iv. solid waste treatment and disposal, viz. open burning, incineration
of wasteindustrial, hospital and municipal waste, landfills, other
facilities for municipal and hazardous waste, etc.
v. industrial wastewater treatment plants, sewage treatment plants,
etc.
vi. miscellaneous activities or events, viz. diesel-operated water
pumping, agricultural waste or residue burning, accidental
explosions and fires, construction activities, domestic chullahs
(country-made stoves using solid fuels like coal or wood) in an
196 Chapter 5
open area, open storage of feedstock, products, minerals, fuel,

wastes, forest firescontrolled and uncontrolled, etc.
Categories of sources of air pollution
Considering that distinct emission characteristics of different sources of air

pollution behave differently during transport and dispersion of the emitted
air pollutants, it is necessary to gather information on all the sources of
emissions, illustrated above, and categorize these into:
i. point sources, e.g. stacks, flues, flares, etc.

ii. area sources, e.g. several (small) sources in a delineated area, tank
farms, etc.
iii. mobile (linear) sources, e.g. motor vehicles, railways, road/rail
tankers, and the substances being transported, aircraft, vessels, etc.
iv. fugitive sources, e.g. uncontrolled leakages from equipment and
pipelines, material handling, open storage, wastewater treatment
facilities, unpaved land surfaces, etc.
Spatial and temporal variations in air quality
In addition to the seasonal variations in meteorological conditions, hourly

variations are also observed at a given location especially during the
daytime. In general, the transport and dispersion of air pollutants in the
summer, and the daytime in other seasons, is found to be much higher than
that in the winter and at nighttime. This explains that the dispersion of an
air pollutant from a given source, continuously emitting a set of pollutants
with the same efflux rate, shall keep varying over the day and the season.
Thus, the air quality at a given distance from the source of emissions will
not be the same all the time even when the air pollutants get emitted at the
same mass flow rate and under the same conditions from an identified
source. This explains the spatial as well as temporal variations in air quality
due to air pollutants being emitted from a given source.
The proposed project needs to be studied thoroughly by the functional

professional, who is entrusted with the task of conducting an impact
assessment on the air environment, for all the processes as well as activities
(whether continuous, cyclic, or periodic) causing air emissions in each
lifecycle phase of the project. The sources of emissions including those
having in-built standard control measures, considered integral to the design
of specific equipment, e.g. electrostatic precipitators for boilers in coal-
based thermal power plants are identified and emissions from these sources
are estimated. The factors governing dispersion of the emitted air pollutants
from different types of sources, and air dispersion modeling are described
in Chapter 4. Air quality is accordingly predicted, and conventional or
specific control measures are proposed to control air emissions and thereby
minimize air impacts to ensure compliance with the applicable regulations.
5.11.4.4 Noise environment
The U.S. EPA (1972) defines noise as any sound that is undesirable because
it interferes with speech and hearing, and is intense enough to damage
hearing, or is otherwise annoying. Generally, the A-weighted sound-level
scale is appropriate for noise because the human ear does not respond
uniformly to sounds of all frequencies, being less efficient in detecting
sounds at low and high frequencies than at medium frequencies. The human
ear is most sensitive in the frequency range of 500-4000 Hz. Sound-level
meters having an A-weighting network, expressing the noise level readings
in dBA, are generally used for monitoring sound levels. Continuous noise
(of longer duration and lower intensity noise), as well as impulse noise (of
shorter duration and higher intensity noise), need to be differentiated and
treated separately for predicting sound levels.
Noise is usually accompanied by vibration. Noise may cause vibration and

vibration may also cause noise. Vibration can be described in terms of its
frequency and its amplitude of displacement or velocity or acceleration.
5.11.4.5 Water environment
Water is critical for sustaining life on the earth. While water is a renewable
resource, it is finite and in constant motion. The President of the World Bank
(2019) stated that clean water is a key factor for economic growth.
Deteriorating water quality is stalling economic growth, worsening health
conditions, reducing food production, and exacerbating poverty in many
countries. Their governments must take urgent action to help to tackle water
pollution so that countries can grow faster in an equitable and
environmentally sustainable way. The World Bank (2013) estimated that
lack of access to clean water supply, sanitation and hygiene, and depletion
of natural water resources costs India 2.7% of its annual GDP. A significant
portion of diseases in children under five is due to these factors. Similar
situations are prevalent in many Asian and African countries. Thus, a water
EIA is extremely important. It involves the identification of project-related
activities which have the potential to cause depletion and/or degradation of
the existing water resources and/or water pollution, evaluation of the
resultant impacts thereof, and suggestions for the effective preventive as
198 Chapter 5
well as control measures to reduce the impacts on the water environment to

an acceptable level.
Water quality parameters and sources, and classes of contaminants and

related concerns (Metcalf and Eddy 2003), help to improve the understanding
and importance of the monitoring of water-related parameters. Field
sampling and monitoring of contaminants, and water quality indicators and
criteria for sampling and monitoring parameters, etc. are described by Lehr
(2005) and Metcalf and Eddy (2003). Generally, water-related parameters
like temperature, pH, dissolved oxygen, conductivity, and turbidity are
measured on-site. The parameters which are measured in the off-site
laboratory generally include:
a. physical: temperature, color, odor, turbidity, oil and gas, and total
solids (suspended solids and dissolvedvolatile and fixed solids)
b. chemical: organicorganic compounds expressed as BOD, COD,
and TOC, volatile organic compounds, carbohydrates, phenols,
pesticides, proteins, oils and greases, and refractory organics
c. chemical: inorganicpH, hardness, sodium, chlorides, sulfates,
alkalinity, acidity, heavy metals, and nutrients, viz. nitrogen
(organic, ammonia, nitrite and nitrate), phosphates, and potassium
d. gaseous: dissolved hydrogen sulfide, ammonia, and methane
e. biological: micro-organisms, coliforms, pathogens, viruses,
phytoplankton, and zooplankton
5.11.4.6 Land environment
Soil
Soil systems in a region develop over millions of years and are influenced
by natural environmental factors as well as anthropogenic ones. The
classification of Indian soils, based on soil taxonomy and chemical property,
is given by the Department of Agriculture and Cooperation (DAC 2011).
Based upon the particle size diameter, the soil is classified as:
i. clay (< .002 mm)

ii. silt (.002-.02 mm)
iii. fine sand (.02-.2 mm)
iv. coarse sand (.2-2 mm)
The abiotic and biotic aspects of soil need to be well understood for impact
assessment studies. Abiotic pertains to:
i. soil constituents like quartz and kaolinite

ii. processes like hydrolysis and redox reactions
iii. factors like temperature, relative humidity, and salinity which are
inorganic in nature and capable of forming or acting in the absence
of life
However, since even the most rudimentary of soils contain organisms and
organic constituents, and processes inevitably interact with each other and
cause changes, the inorganic ones are also affected. Biotic pertains to life
and living organisms. The soil constituents and soil processes are generally
directly assignable to the influence of the biomass and organic processes.
Organic soil is the one in which the organic component is dominant over
the mineral component. Biotic potential (Chesworth 2008) is an index of the
ability of a system to recover and regenerate after a disturbance.
It is extremely important that soil fertility, defined in terms of the capacity of a

soil to supply plant nutrients in adequate amounts to facilitate optimum growth,
and the yield potential of a crop, is not affected by the project-related activities.
Soil is rated based upon the following chemical characteristics:
i. pH:
a) < 4.5- extremely acidic soil
b) > 9- extremely alkaline
c) 6.1-6.5- slightly acidic
d) 6.6- neutral
e) 7-7.5- slightly alkaline
ii. conductivity, dS/m:
a) 0-1- good soil
b) 1-2- poor seed emergence
c) >2- harmful to some crops
iii. organic carbon, %:
a) <0.2- very low
b) > 1.0- very high
c) 0.4-0.6- moderate
iv. nitrogen (N) available, kilogram (kg)/hectare (ha):
a) < 140- very low
b) >701- very high
c) 281-420 medium
v. phosphorus (P2O5) available, kg/ha:
a) < 7- very low
b) >35- very high
c) 13-22 medium
200 Chapter 5
vi. potassium (K2O) available, kg/ha:

a) < 120- very low
b) >360- very high
c) 181-240- medium
Soil is considered fertile if its organic carbon and N, P2O5, and K2O contents
are higher than 0.75%, and 560, 57, and 337 kg/ha respectively. Soil is
considered to have poor fertility if its organic carbon, and N, P2O5, and K2O
content is less than 0.5%, and 280, 23, and 133 kg/ha respectively. Soil
having organic carbon and nutrients in between the ranges given above is
considered to be of moderate fertility. Soil salinity classification is given in
Table 5.3.
Table 5.3 Soil Salinity Classification

Soil Characteristics pH EC* ESP@ SAR#
Saline <8.5 >4 <15 <13
Saline alkali >8.5 >4 >15 >13
Alkali (Sodic) >8.5 <4 >15 >13
(Source: Laboratory Testing Procedure for Soil and Water Sample Analysis
2009)
*Electrical Conductivity, dS/m
@Exchangeable Sodium Percentage
#
Sodium Absorption Ratio
Land use/land cover, landscape
Depending upon the type and size of the project, changes can take place in
the soil, land use/land cover as well as landscape because of:
a. site development and construction for project-related facilities and

development of the associated infrastructural facilities within the
project boundaries
b. physical as well as social infrastructural facilities developed in the
study area beyond the project boundaries
c. induced growth taking place in the study area over a period
d. changes taking place in the existing drainage pattern in the project
site and also in the study area
e. waste management facilities
The effect of such changes and the impacts thereof need to be identified,
estimated, and evaluated, and suitable measures suggested for minimizing
the impacts to an acceptable level, and for environmental enhancement.
5.11.4.7 Ecological environment
Ecological systems are characterized by a variety of interrelationships

between components like dependency, competition, and mutualism. It is
hence crucial to thoroughly understand such inter-dependence and identify
and describe the important environmental variables and critical ecological
processes that control the structure and functioning of the ecological
systems present in the study area. The definition of biodiversity is the
variability among living organisms from all sources including, inter alia,
terrestrial, marine and other aquatic ecosystems and the ecological
complexes of which they are part; this includes diversity within species,
between species and of ecosystems (CBD 2005) and needs to be
understood very clearly.
It is also necessary to develop clarity on the critical habitats, defined by the

World Bank (2014) as areas with high biodiversity value, which include:
i. the presence of highly threatened habitats

ii. endangered or critically endangered species as listed by the
International Union for the Conservation of Nature (IUCN)
iii. geographically restricted species
iv. migratory or congregating species
v. features that are vital to maintaining the viability of biodiversity
features described above in i to iv
Further, critical habitats for the species other than those listed in the IUCN
Red List (IUCN 2004) are also required to be determined by the concerned
functional professional in consultation with the experts and the local
population based on the species listed nationally or regionally as critically
endangered or endangered in countries like India that have adhered to
IUCN guidance, or the species categorized as protected or restricted.
Information on the types of ecological resources and their status in the study
area is required from the published literature, records, and various
institutions working on the different aspects of ecology, viz. the Botanical
Survey of India, the Zoological Survey of India, the National Institute of
Oceanography, the Central Marine Fisheries Research Institute, the Forest
Survey of India, the IUCN (n.d.), and other concerned government agencies,
and universities. Most of the information is generally available for a
jurisdictional or a larger region. While the information at a global-level and
macro-level of the region in which the project site is proposed is useful in
understanding the broader perspective, such information may have limited
202 Chapter 5
relevance to the EIA study. Therefore, the focus needs to be on the micro-
level information for the study area, and efforts are required to be made to
extract such information from the available sources and look for specific
studies conducted in the study area or in the adjoining nearby areas.
The ecological impact assessment is carried out based on the project-related

activities, and the effect of the predicted changes in the physical-chemical
components of the environment, viz. air, water, soil, land use/land cover,
drainage pattern, and landscape on the different aspects of flora and fauna
in the study area.
5.11.4.8 Social environment
The improvement of the social well-being of the wider community,

particularly in the study area, is presently acknowledged as an objective of
social assessment (National Environment Commission 2011). The need for
assessment of the social environment has gained importance over time. The
World Bank, the Asian Development Bank, the International Monetary
Fund, the United Nations Development Program, the European Union, and
most of the multilateral funding agencies, as well as financial institutions,
banks, and private donors, mandate some kind of social appraisal of the
projects proposed to them for financing. Therefore, it is extremely important
to have correct and complete information related to the human environment
in the study area (ICGPSIA 1994, 2003).
The authentic and relevant information for the study area is required to be
obtained from the published literature, records, and various institutions
working on different aspects of social sciences and economics. Secondary
data sources may include census data, district gazetteers and other
publications of government agencies, the Bureau of Statistics, universities,
institutions like the Tata Institute of Social Sciences, and the Sardar Patel
Institute of Social and Economic Research, and the media, etc.
While information on the social and economic aspects of the larger

administrative or jurisdictional units, like the state or district encompassing
the study area, may give a generalized overview, it may not be specifically
relevant to the study area as such. It is, therefore, necessary to make an effort
to extract specific information about the study area. In case the available
information is dated, some standard techniques like an extrapolation of the
available data in a time series may be used for estimating the data to suit the
current scenario. Sample surveys are to be conducted to verify the estimated
information. Further, specific studies are carried out for the project-affected
persons including the land losers for their rehabilitation and resettlement.
5.11.4.9 Risk assessment
Risk assessment is an integral component of an EIA report under some EIA

frameworks including the one prevailing in India. For hydrocarbon
exploration, production and processing, and petrochemical projects,
separate detailed quantitative risk assessment reports are required to be
prepared. The coverage of risk assessment in a typical EIA report includes
hazard identification, analysis of credible accidental scenarios, impact
prediction, consequence analysis, risk evaluation or assessment, risk
mitigation, and emergency response preparedness.
It is necessary to distinguish the two basic terms associated with risk

assessment, viz. hazard, and risk. A hazard (Macdonald 2004) is an inherent
physical or chemical characteristic that has the potential to cause harm to
people, property, and/or the environment. In chemical processes, it is the
combination of hazardous materials, operating conditions, and certain
unplanned events that could result in an accident. Risk is the consequence
of hazards, usually defined as a combination of the probability and the
severity of an event, i.e. how often it can happen and how bad it is when it
does happen.
The prerequisite for risk assessment is a deep understanding of the

limitations of the proposed technology, and social and political
considerations in the study area. It primarily relates to addressing the
following basic and logical questions appropriately:
a. What can go wrong due to any of the activities related to the

project?
b. How often can it go wrong and when it does go wrong, how long
does it last?
c. What are the consequences of the above on the different
components of the environment?
The risk assessment encompasses the following major steps to obtain the
answers to the questions posed above:
i. hazard identification using techniques like checklists, preliminary

hazard analysis, what if, and HAZOP
ii. hazard analysis using techniques like fault tree analysis, event tree
analysis, and dispersion modeling
204 Chapter 5
iii. consequence analysis using relevant software like ALOHA and

PHAST
Based on the risks assessed, suitable measures are proposed for risk
mitigation, which includes risk prevention, risk reduction, risk containment
through emergency preparedness, both on-site and off-site, and adequate
risk cover insurance through suitable insurance policies (Rathi 2018, 2019).
5.12 Establishing the significance of impacts

An EIA is likely to highlight numerous impacts due to several project-
related activities proposed to be undertaken in different lifecycle phases of
the project. Each impact needs to be evaluated in-depth by the concerned
functional professionals in consultation with the EIA team leader and other
experts, if required, and the significance of impacts, the term introduced in
Chapter 2, established. The significant impacts, i.e. the impacts which are
assessed to be severe or critical on any of the environmental components in
the study area, are only required to be considered and prioritized. The
objectives are to ensure that the focus is not lost when dealing with them
and that effective mitigation measures are proposed for simultaneous
implementation with the project. The establishment of the significance of
the impacts becomes easier when the predicted impacts are quantified and
assessed. For cases where the deterministic models are not employed for
impact assessment, and qualitative impact assessment is done, suitable
techniques like matrices are employed for establishing the significance of
the impacts, discussed in Chapter 4. In either case, any impacts exceeding
the acceptable levels prescribed in the applicable regulations are considered
as significant impacts.
5.12.1 Significant impacts

The potential impacts arising from the project-related activities are
primarily identified at the scoping stage of the EIA process. It needs to be
kept in view that the impacts that are severe enough, called significant
impacts, are only to be considered. Thus, the focus should be on the
identification of significant impacts only. For obtaining further details of
the project-related activities from the detailed design of the project, the
impact identification and prediction are further fine-tuned in the course of
impact assessment studies. The final test of significance can be done with
more confidence only after the impact evaluation or assessment stage.
The impact significance may be expressed in terms of:

a. impact characteristics, i.e. type, magnitude, extent, duration, etc.

of the impact, and
b. impact importance, i.e. natural resource loss, deterioration or
depletion of environmental resources, etc.
The functional relationship may accordingly be represented as:
Impact significance = f (impact characteristics, impact importance)
It may be acknowledged that criteria and standards of significance are

generally not documented though regulatory standards are specified for
emissions, discharges, and disposals either in the form of concentration-
based or load-based standards for the parameters of air emission,
wastewater discharge, and waste disposal. The uncertainties involved in the
process of predicting and assessing the environmental impacts described
earlier are further exacerbated by:
a. the use of a lot of data obtained from varied sources

b. the involvement of professionals from different backgrounds
The significance of impacts determined earlier is likely to change, requiring

a re-look at the process of determining the significance if it is found later
that
i. the data used was not representative, relevant or authentic

ii. the assumptions made were not proper
iii. the prediction model or software used was not appropriate
To determine the significance of the ecological, social, economic, and

cultural impacts, generally subjective criteria are used, which results in the
impact assessment becoming subjective to some extent. The errors and
shortcomings generally observed in such qualitative assessments could be
minimized to a large extent by holding extensive consultations with
different stakeholders including residents, social groups, NGOs, CBOs, and
domain experts.
5.12.2 Basis of determining the significance

The significance of the impacts is analyzed as illustrated in Fig. 5.4. A
formal systematic process needs to be followed for determining the
significance of the impacts assessed. UNEP (2002) has suggested the
following principles as key reference points for evaluating the significance
of impacts:
206 Chapter 5
i. environmental standards, guidelines, and objectives

ii. level of public concern, particularly over issues like health and
safety
iii. scientific and professional evidence for
a) loss or disruption of valued resource stock and ecological
functions
b) negative impacts on social values, quality of life, and
livelihoods
c) forestalling of land and resource use opportunities
The following criteria for significance (UNEP 2002) may be adopted:
i. criteria to evaluate whether the assessed adverse impacts are

significant, viz.
a) environmental loss or deterioration
b) social impacts resulting directly or indirectly from
environmental change
c) non-conformity with environmental standards, guidelines,
objectives, or targets
d) likelihood and acceptability of risk

ii. criteria to evaluate adverse impacts on natural resources,
ecological functions, or designated areas, viz.
a) reductions in species diversity
b) depletion or fragmentation of plant or animal habitat
c) loss of threatened, rare, or endangered species
d) impairment of ecological integrity, resilience or health,
e.g.
disruption of the food chain(s)
the decline in species population
alteration in predator-prey relationships
iii. criteria to evaluate adverse social impacts that result from
biophysical changes, viz.
a) threats to human health and safety, e.g. from the release
of persistent or toxic emissions
b) the decline in commercially valuable or locally important
species or sources, e.g. fish, forest, farmland, or grasslands
c) loss of areas or environmental components that have
cultural, recreational, or aesthetic value
d) displacement of people
e) disruption of communities because of the influx of the
workforce
f) pressures on the existing services, transportation, and
infrastructure
Canter and Canty (1993) suggested that the determination of the

significance of the (adverse) impacts may be done based on the following
aspects:
a. loss of rare or endangered species

b. reduction in species diversity
c. loss of critical or productive habitat
d. loss of current use of lands and resources for traditional purposes
by the native inhabitants
e. transformation of natural landscapes
f. toxicity impacts on human health
g. reductions in the capacity of renewable resources to meet the
present and future needs
h. preclusion of future resource use or production
208 Chapter 5
5.12.3 Determination of significance

The determination of significance needs to distinctly reflect the local
scenario, priorities and needs, and their ever-changing nature in the dynamic
situation in which aspirations of the people keep rising. For this purpose,
the Asian Development Bank (ADB 1994) has advocated raising the
following questions for assessing the environmental significance of a
project:
i. Will the project create unwarranted losses in precious,

irreplaceable biodiversity, or other resources?
ii. Will the project induce an unwarranted acceleration in the use
of scarce resources and favor short-term over long-term gains?
iii. Will the project adversely affect national energy to an
unwarranted degree?
iv. Will the project result in unwarranted hazards to endangered
species?
v. Will the project tend to intensify undesired rural-to-urban
migration to an unwarranted degree?
vi. Will the project tend to increase the income gap between the
poor and affluent sectors of the population?
Additional questions that might also be posed are:
vii. Will the project contribute to global effects like increasing

carbon dioxide, ozone depletion, or climate change?
viii. Will the project have effects on national finances, e.g. domestic
hydropower projects reducing dependence on imported oil or
gas?
In practice, the following factors are considered when making a judgment

on the establishment of the significance of the assessed impacts:
i. applicable regulatory environmental standards for the

physical-chemical parameters
ii. applicable regulations on forest conservation and wildlife
protection
iii. applicable regulations on land acquisition, and rehabilitation
and resettlement regulations
iv. applicable regulations or guidelines on land use
v. nature and magnitude of the predicted impacts
vi. confidence in the values of the predicted impacts
vii. the character of the receiving environment
viii. the resilience of the impacted environment

ix. biodiversity in the study area
x. heritage resources in the study area
xi. the information available on loss or disruption of valued
resource stocks and ecological functions under similar
environmental settings
xii. level of public concern over displacement, livelihood, health,
social values, lifestyle, environment, common resources,
traditional land uses, etc.
xiii. environmental risks
xiv. potential for mitigations
xv. significance of residual impacts
After making a suitable judgment on the establishment of significant

environmental impacts arising from the proposed project-related activities
and allied activities, the subsequent focus will be on
a. proposing specifically suitable mitigation and remedial measures

to bring down the significant impacts
b. evaluating the significance of the residual impacts, i.e. the impacts
envisaged even after applying the suggested mitigation measures
5.13 Mitigation measures
5.13.1 Why incorporate mitigation measures?

While mitigation measures are necessary to meet the requirements of the
applicable regulations, the emphasis needs to be on ensuring the reduction
of risk to the health and well-being of human beings, flora and fauna, natural
resources, heritage, cultural resources, and structures to a minimum
practicable level. For this purpose, it is essential that the best available
technology (BAT), best environmental practices (BEP), and best engineering
and operating practices are adopted in project designs. The project
description chapter should also specifically highlight these aspects. The EIA
team leader needs to mobilize the requisite sectoral technical expertise to
make sure that these are incorporated into the project design, considering
that a typical EIA team may not have such a proficiency.
In addition to proposing mitigation measures for the impacts in construction

and operation phases of the project lifecycle, other phases of certain
projects, illustrated below, also need to be considered for mitigation:
210 Chapter 5
i. pre-construction phase for mining, and oil and gas projects,

consisting of prospecting and exploration, and specific
seismological studies
ii. closure phase, consisting of decommissioning or demolition
or abandonment, and proper restoration on completion of the
operation phase, viz.
a) decommissioning or demolition of manufacturing and
energy sector projects
b) demolition of the existing structures for renovation or
reconstruction for real estate and infrastructural projects
c) demolition of existing roads for road upgrading, and old
bridges for constructing new ones
d) closure and subsequent maintenance and monitoring for
waste landfill facilities
e) restoration for mining, and oil and gas projects before the
abandonment of the site, etc.
Considering that different kinds of potential impacts will be felt from the
project-related activities undertaken in different lifecycle phases, the
mitigation measures must be documented project phase-wise. It may be re-
emphasized that each specific mitigation measure suggested needs to
correspond to the specific significant impact assessed, and its efficiency
under different operational scenarios is determined and documented.
5.13.2 Objectives of mitigation measures

The primary objective of mitigation measures (World Bank 1999b) is to
eliminate, offset, or reduce adverse environmental impacts. The objectives
of mitigation, in approximate order of priority, are briefly described below:
i. Avoidance, i.e. avoiding projects or activities that could result in

adverse impacts and avoiding certain types of resources or sites
considered to be environmentally sensitive. This approach is most
effective when applied at the project technology selection stage.
ii. Prevention, i.e. measuring aimed at curbing the occurrence of
negative environmental impacts and/or preventing such an
occurrence having harmful environmental and social impacts. This
approach is most effective when adopted at the basic design stage
of the project.
iii. Preservation, i.e. preventing any future actions that might
adversely affect an environmental resource or attribute. This is
typically achieved by extending legal protection to the selected
resources beyond the immediate needs of the project. This

approach is most effective when adopted at the stage of preparing
the area development plan.
iv. Minimization, i.e. limiting the residual environmental impacts
within the acceptable limits or reducing the degree, extent,
magnitude, or duration of adverse impacts. This approach is
generally adopted at the detailed design stage of the project and
may include measures like scaling down, relocating, or redesigning
certain elements of the project.
v. Rehabilitation, i.e. repairing or enhancing the affected resources
such as natural habitats or water sources, particularly when the
public is skeptical of the mitigation measures proposed in the
earlier developments which resulted in significant degradation of
certain resources. This approach is preferably adopted while the
project is being implemented.
vi. Restoration, i.e. restoring the affected resources to an earlier, and
possibly more stable and productive state, typically background
or pristine condition. This approach is adopted immediately after
the operation phase of the project lifecycle, e.g. for mining
projects.
vii. Compensation, i.e. creating, enhancing, or protecting the affected
resources at another location to compensate for resources lost to
development. This approach is generally adopted before commencing
the construction phase of the project lifecycle, e.g. compensatory
afforestation at another location in lieu of using forest land for the
project.
5.13.3 Hierarchy of mitigation

While proposing mitigation measures, it would be desirable to accord top
priority to the avoidance and prevention of environmental impacts right at
the early stage of the project lifecycle, and least priority to the restoration
of the affected resources and compensation of the lost resources, generally
done in the operation or post-operation phase of the project lifecycle. The
elements of mitigation, modified from UNEP (2002), are organized into an
approximate hierarchy for action and are discussed below with examples:
i. avoid adverse impacts as far as possible by adopting measures such

as:
a) not undertaking the activities which have the potential for
major adverse impacts
b) avoiding environmentally sensitive sites
212 Chapter 5
c) avoiding the use and production of hazardous substances

d) employing cleaner technologies, cleaner production
techniques, and green chemistry for the manufacture of
chemical substances
e) using best available technologies and best engineering
and operating practices
f) using inherently safe designs
g) realigning linear developmental projects, etc.
ii. minimize or reduce adverse impacts to as low as reasonably
practicable (ALARP) levels by adopting measures such as:
a) reducing the size or scale of the project
b) alternate siting
c) using best control technology and best engineering and
operating practices
d) employing advanced process control and instrumentation
e) proper planning
iii. remedy adverse residual environmental impacts which are
unavoidable and cannot be reduced further by mitigation actions,
by adopting measures such as:
a) rehabilitation of the affected site by way of habitat
enhancement
b) restoration of the affected site after the construction phase
of manufacturing, and energy sector projects, and after
the operation phase of projects like mining, and
exploration and production of oil and gas
c) replacement of the same resource values to another
location, e.g. by translocation of plants, relocation of
animals, and compensatory afforestation
iv. compensation of the residual environmental impacts by way of
measures like:
a) monetary compensation, i.e. payment for loss of land or a
particular amenity
b) legal commitment, i.e. by depositing funds for rehabilitation
and resettlement plans, and site remediation in case of
potential contamination or degradation of the environmental
components in the future
c) in-kind compensation, i.e. by taking up voluntary measures for
the enhancement of the environment, providing jobs to
project-affected persons, skills development of local persons
to improve their employability, improvement of physical and
social infrastructure, etc.
Mitigation needs to be an integral component of the planning of activities

involved in the entire project lifecycle, right from conceptual planning
through each of the phases. Proper, specific, adequate, effective, practical,
and implementable mitigation measures are to be suggested for bringing
down the severity of each of the significant impacts to an acceptable level.
It may be re-emphasized that the hierarchy, as follows, needs to be adhered
to for mitigation of the impacts:
a. prevention of causal factors of impacts

b. control at source
c. control at receptors
d. remedial or compensation mechanism
These are further explained as follows:
i. avoiding adverse environmental impacts by adopting preventive

measures at the source by say, adopting the best available
technologies, e.g. BATNEEC, best engineering as well as
operating practices, alternate feedstock, etc. for manufacturing,
energy, and allied sector projects. For example, membrane cell
technology to produce chlor-alkali, natural gas as fuel in place of
coal for thermal power plants, renewable sources of energy, etc.
ii. minimizing adverse environmental impacts to as low as practicable
levels by adopting efficient and effective control measures at
source, e.g. adopting maximum achievable control technology
(MACT) (US EPA 1990), best environmental practices including
best practicable environmental options, standard operating
procedures (SOPs), suitable enclosures around the sources of
noise, etc. For example, bag filters for reducing the emission of
particulate matter from size reduction processes like pulverizing,
enclosures around turbines and diesel generating sets to reduce
noise emanating from the source
iii. controlling impacts at receptors by proposing barriers on either
side of highways and rails to obstruct noise propagation to the
receptors from projects of highways and railways, providing
earmuffs and earplugs to human receptors to minimize the intensity
of noise exposure, etc.
iv. remediating or compensating unavoidable adverse residual
environmental impacts by providing compensation to the project-
affected persons in the form of cash, cash doles, jobs, alternate
housing, and/or health care facilities, and compensatory
214 Chapter 5
afforestation at some other location in lieu of the use of forest land

for the project, etc.
It may be appreciated that the concept of Corporate Social Responsibility

(CSR) is entirely different from that of the mitigation of environmental
impacts. CSR has the objective of sharing the profits of the project
organization with the public at large on a perpetual basis to improve quality
of life and enhance the environment. CSR becomes applicable to the
projects only after they become operational and start earning profits. The
expenditure budgeted for the mitigation measures is a component of the
capital cost of the project since the mitigation measures need to be
implemented simultaneously with the project and should be operational
when the project commences operations. Thus, activities related to CSR
should not be confused with the environmental impact mitigation measures.
5.14 Residual environmental impacts

Residual environmental impacts are those that remain even after applying
feasible, cost-effective, and practicable mitigation measures, as illustrated
in the modified flow diagram (RSK & ERM 2002), Fig. 5.5. It is often
difficult to compare residual impacts consistently in different environmental
settings. Generally, the concerned functional professionals may find it
difficult to assess residual impacts with their limited exposure to the
operating projects. The EIA team leader thus needs to involve experts who
have a very deep understanding of the project-related activities and wide
experience, preferably hands-on work experience with similar activities or
projects, for assessing residual environmental impacts.
The level of significance of residual environmental impacts is determined

based on impact consequence criteria, as illustrated in Table 5.4. The
criteria take into consideration several aspects including applicable
regulations, direct and indirect impacts, spatial and temporal impacts, and
reversible and irreversible impacts. The environmental attributes considered
include air quality, noise, traffic, water resources and water quality, soil,
landscape, ecology, and social and cultural aspects. For each residual
environmental impact, a likelihood ranking between 1 and 5, and
consequence or severity ranking between 1 and 5 is assigned. The
significance is ranked as beneficial, low, medium, and high. The medium
and high level residual environmental impacts need further consideration in
the environmental management program.
216 Chapter 5
Table 5.4 Significance Level of Residual Environmental Impacts

5 L M M H H
4 L L M M H
3 L L M M M
Likelihood
2 L L L L M
1 L L L L M
1 2 3 4 5
Consequence/Severity
(Source: Environmental and Social Impact Assessment Report for BTC Oil
Pipeline, Azerbaijan 2002)
Ranking of Likelihood Ranking of Severity

Ranking Definition of the Ranking Definition of the
likelihood of severity of
occurrence consequence
1 Unlikely occurrence 1 Very low

under normal operating
conditions but may
occur in exceptional
circumstances
2 Unlikely occurrence 2 Low (L)
but may occur at some
time under normal
operating conditions
3 Likely occurrence at 3 Medium (M)
some time under
normal operating
conditions
4 Very likely occurrence 4 High (H)
under normal operating
conditions
5 Occurrence under 5 Very high
normal operating
conditions
5.15 Consideration of alternatives

The aspects considered and the examination of alternatives will depend
upon the type of project, location, and availability of time and budget. The
basis used for the selection of the preferred alternative and the process of
selecting alternatives to optimize the positive aspects and minimize the
negative aspects should be clearly documented for transparency (DEAT
2006).
The details of the consideration of alternatives are discussed in Chapter 3.

The EIA team leader along with the concerned functional professionals
shortlists some feasible alternatives, generally, 3-5 or as specified in the
TOR for further evaluation. Environmental impacts in each lifecycle phase
of the project are anticipated for each of the identified alternatives, and
feasible mitigation measures are considered. The alternatives are broadly
evaluated for natural resource requirements, environmental impacts,
residual impacts, project cost, and public acceptance. Such details are
described and summarized.
The output of consideration of alternatives exercise is generally represented

in the form of a matrix, illustrated in Table 5.5. The best alternative from
the environmental viewpoint is selected for the detailed EIA, described in
Chapter 6. Justification of the basis used for the selection of the best
alternative is described.
218 Chapter 5
Table 5.5 Summary of Consideration of Alternatives

Decision factors Alternatives considered
1 2 3
Natural resource requirement
Economic efficiency
Project benefits
Rate of return/payback period
Environmental impacts
Air quality
Water quantity, quality
surface
ground
Noise
Soil, land, and land use
soil type and quality
land use, drainage pattern
Ecosystems
species and habitats diversity and quality
threatened or endangered species and
habitats
migrant fauna including avifauna
Hazards and risk
human health risk
fire and explosion
Socio-economic aspects
Affected population
Displacement of people
Level and sources of income
Cultural resources
Physical and social infrastructure
Public acceptance
(Modified from Environmental Impact Assessment 1996)
The information on the alternative projects, design, technology, details of

construction and operation, etc. is generally obtained by the EIA team from
the project proponent. The EIA team leader also needs to involve some
sectoral as well as environmental experts for a thorough analysis of the
different aspects of alternatives and environmental evaluations to arrive at
the best alternative.
5.16 Environmental management program

An environmental management program (EMPg) as explained in Rathi
(2016, 2019) is generally referred to as an environmental management plan
(EMP) in environmental impact assessment (EIA) reports. It is considered
to be an integral and important component of the report as highlighted in the
conceptual framework of an EIA. An environmental management program
(EMPg), the terminology used in this book, is akin to the term design of EIA
follow-up used in the literature (Jha-Thakur et al. 2009). In some EIA
frameworks, the EIA report is referred to as the Environmental Impact
Assessment and Environmental Management Plan report.
5.16.1 What is an environmental management program?

An EMPg is essentially a road map that describes how the key elements,
viz. mitigation measures, implementation, and monitoring program, cost
estimates (Floroiu 2012), resource requirements, and institutional arrangements
are incorporated to ensure that the project proponent will implement
environmental management measures simultaneously with the project
(ADB 2012, DEAT 2004a, MOEF 2012) so that negative effects on the
different components of the environment, viz. physical-chemical, ecological,
and socio-economic, are eliminated or minimized in each phase of the
project lifecycle, and benefits to all parties are maximized in the most cost-
effective manner (CBD 2005). The management policy and mechanism of
policy implementation, performance requirement, and reporting (Abbot
Point 2005) are clearly spelled out. Legal requirements for the project are
defined and regulatory permits and licenses are identified (Aquasure 2011)
for EMP. It also forms a more systematic and explicit document that can be
used by the competent authority in formulating environmental approval
conditions (Brew and Lee 1996).
An EMPg is essentially a road map that describes, among others, how the
impact mitigation measures proposed in the chapter, Impact assessment
and mitigation measures are proposed to be implemented along with the
other measures considered necessary in each lifecycle phase of the project.
The EMPg for each phase of the project, viz. pre-construction, construction,
operation, and post-operation are required to be prepared separately. The
emphasis is on standard operating procedures and practices for operationalizing
mitigation measures, environmental monitoring, and activities for social
upliftment, environmental enhancement, etc. The effective implementation
and operationalization of a properly designed EMPg can only help to ensure
220 Chapter 5
that the environmental impacts arising from the project-related activities are
kept within acceptable limits.
Because of several uncertainties inherent in the prediction of impacts,

especially for large greenfield projects, as described earlier, and the lack of
proper EIAs, it is likely that
i. some impacts do not get identified

ii. the actual impacts of some of the project activities exceed the
predicted levels
iii. mitigation measures suggested are not adequate or effective
enough
iv. unforeseen and severe impacts are felt because of some factors like
a) deviations in the design, detailed engineering, and/or project
implementation
b) malfunctioning of some equipment and instruments
c) variations in the quality of feedstock and/or fuel
d) major variations in micrometeorology, etc.
Thus, among other aspects, an EMPg also incorporates:
a. a contingency program to meet with the limitations in impact

predictions, unforeseen situations, and natural disasters
b. remediation of soil and water bodies likely to be affected by major
accidental spills and/or discharges
c. restoration of floral species affected by emissions and discharges
d. provision of compensation for the affected crops as well as the
population
5.16.2 Why is an environmental management program required?

More than 95% of the projects proposed to the competent authority
generally get environmental approvals accorded, primarily based on the
EIA, and suggested mitigation measures documented in the EIA reports.
However, environmental approvals are invariably accompanied by a long
list of general as well as project- and site-specific conditions. On obtaining
environmental approval for a project, the program for compliance with the
environmental approval conditions, and mechanism of internal reporting as
well as reporting to the external agencies need to be incorporated in the
EMPg prepared earlier. While compliance with environmental approval
conditions is possible only when there is proper implementation,
operationalization, monitoring, audit, review, and updating of a meticulously
designed environmental management program incorporated in the EIA

report, it can also address some deficiencies of the EIA process. An EMPg
is thus considered to be the most important outcome of the EIA process,
especially for developing countries where the EIA process is not robust, and
economic development overrides other priorities including environmental
considerations.
While the approved project is under implementation and subsequently under

operation and/or post-operation, it is the operationalization, and periodic
audit and management review of the EMPg that helps to achieve the basic
objectives of the EIA (Sadler 1996), viz.:
a. protection of productivity and capacity of the natural systems and

the ecological processes which maintain their functions
b. promotion of the development that is sustainable
c. optimization of resource use and management opportunities
Considering that a properly executed EMPg can safeguard the long-term

environmental sustainability of the approved project, it needs to be
integrated with all the activities involved in the entire lifecycle of the
proposed project, through project conceptualization, planning, design,
construction, operation, and post-operation phases.
5.17 Other aspects

5.17.1 Neglected impacts
While major activities of a project are generally considered for their
potential impacts, there may be some activities that are ignored, possibly
because of a lack of knowledge. For example, project activities like blasting,
which are carried out for prospecting of minerals and hydrocarbons, are
considered as short-term operations. The environmental impacts of blasting,
e.g. on microflora and microfauna existing on the soil surface, are generally
not even recognized and hence such impacts are ignored.
Likewise, impacts of solar power projects do not recognize the impacts on

the microenvironment, and the impacts of disposal of glass used in solar
panels on the completion of the lifecycle of panels of 25-30 years. The used
glass is generally proposed to be disposed of in landfill like any other glass
considered to be inert, even though it contains heavy metals including
antimony, which have a tendency to leach out and pollute water resources.
222 Chapter 5
Further, impacts in the construction phase of a project are often considered

to be temporary and negligible, and no mitigation measures are proposed
even though this phase may last for several months or even longer. It needs
to be recognized that the activities in the construction phase of a project are
accompanied by
i. increased particulate matter and other gases in the air

ii. high noise emission levels
iii. transportation and traffic
iv. changes in the local drainage pattern
v. the presence of a large number of the migrant workforce at the
project site, etc.,
which have the potential to cause:
a. health hazards to the local inhabitants

b. nuisance, inconvenience, and disruption of the traditional activities
of local people
c. traffic congestion and diversion of traffic
d. waterlogging and flash floods during precipitation
e. stunted growth of vegetation and crops that get coated with dust
f. stress on the local resources and social unrest, etc.
Major manufacturing and power projects and infrastructural projects in

developing countries involve construction periods of perhaps 3-4 years. The
impacts from construction activities of such projects cannot be considered
as temporary, having negligible environmental impacts. The EIA team
leader needs to refer to the detailed project implementation schedule and
also make use of experience of similar projects in assessing the realistic
duration of construction-related activities to arrive at a logical and judicious
decision on whether to categorize the impacts in the construction phase as
temporary or short-term and insignificant, or significant but mitigable.
Appropriate specific mitigation measures should, therefore, be incorporated
after conducting a proper impact assessment of the activities to be
undertaken in the construction phase, especially for projects like mega
thermal power, nuclear power, integrated steel, refineries and petrochemicals,
dams, area development, etc., and flyovers, widening of roads, bypass
roads, bridges, townships, water supply, and drainage, etc., especially in
urban areas.
5.17.2 Addressing uncertainty in impact predictions

It needs to be conceded that any future predictions are invariably associated
with an element of in-built uncertainty, especially for greenfield projects
because of multifarious factors including the following:
i. quality, completeness, and representativeness of the baseline

data, and its relevance at the time of the project becoming
operational
ii. lack of availability of the details of the proposed project at an
early stage of its lifecycle, except for infrastructural projects
for which the EIA is generally commissioned after preparing
the detailed project report (DPR)
iii. limited knowledge of the intricacies of the technology
proposed if it is unproven, especially for the manufacturing
sector
iv. assumptions made for simplifying the mathematical models
for ease of using them
v. limited knowledge of cause and effect relationships
vi. incomplete knowledge of complex ecosystems because of
several unknown factors
vii. lack of information on the details of other developmental
activities taking place in the study area
viii. climate change causing unpredictable variations in the
meteorological conditions
For addressing uncertainty in impact predictions, the following approaches

suggested by UNEP (2002) may be adopted:
a. best- and worst-case predictions to illustrate the spread of

uncertainty
b. attaching confidence limits to impact predictions
c. sensitivity analysis to determine the effect of small changes in the
magnitude of the predicted impacts
5.18 Output of an EIA study

The output of a typical impact assessment study is expected to clearly
highlight the following:
224 Chapter 5
i. a summary of the impacts identified and predicted on each

component of the environment, separately for each lifecycle phase
of the proposed project, preferably in a tabular form
ii. a summary of the significant impacts established from i above and
tabulated separately for each lifecycle phase of the project along
with the specific mitigation measures proposed for each of the
significant impacts, with a mention of the level to which each
significant impact is expected to be reduced to
iii. a summary of the residual impacts based on ii above, in a tabular
form, and the establishment of the significance of each
iv. a delineation of the impact on vulnerable zones on the base maps,
depicting the baseline concentration levels of air pollutants,
assessed concentration levels of air pollutants, toxic gases and
temperatures, and the receptors
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Dedicated to my significantly better half, Asha,

Also, to you, the reader

List of Figures, Tables and Boxes.......................................................... xviii

Acknowledgments .................................................................................. xxiv

2.7 Risk assessment ............................................................................ 38

4.3 Methodology selection .................................................................. 96

Chapter 5 ................................................................................................ 122

5.11.4 Impact assessment ............................................................ 175

Chapter 6 ................................................................................................ 229

6.5.2.1 Air environment ......................................................... 241

6.6.2.8 Output of the noise environmental impact

6.6.7.1 Identification of hazard potential............................... 330

Chapter 7 ................................................................................................ 354

Water and wastewater treatment, and disposal program 372

Chapter 8 ................................................................................................ 405

8.4.1 The need for a good-quality EIA report ............................. 411

Chapter 9 ................................................................................................ 430

9.3.3 Brief project details ............................................................ 484

9.6.5 Impacts and mitigation measures ....................................... 535

Chapter 10 .............................................................................................. 548

Chapter 11 .............................................................................................. 565

Table 6.1 Noise levels from typical sources ........................................... 287

Table 9.11 Typical major environmental issues/impacts during the

A huge amount of literature is available on the concepts and theory of

The growing awareness of the environmental impact on the ecosystem

For rapid economic growth and enhancing employment opportunities, the

In consideration of the above, an attempt is made in the book to include

depth of coverage of environmental issues in an EIA report will vary from

The terminology environmental management program is proposed in this

For continual improvement of EIA reports, EIA consultants may be assigned

EIA will keep on transforming itself according to new knowledge acquired

I am very grateful to Mr. K. V. Bhanujan, former Chairman, Gujarat Pollution

My grandson Aayush and son Ashish helped me in making some figures

The help extended by several professionals with whom I have interacted is

Finally, I acknowledge with deep appreciation the support and patience of

Environmental management is a very broad and diverse subject that has

Environmental management offers the additional capacity to reduce waste,

1.1 Environmental management

Environmental management can be defined as a set of activities through

activities such as the following must be effective:

a. developing and maintaining awareness of the environmental

Different organizations, depending upon their type of business and

a. thermal power plants based on coalair emissions and fly ash

1.1.1 Environmental management and corporates

Further, even though sustainability is positively affected by technology

1.1.2 Audit and resource management

The scope of environmental audits is generally limited to environmental

as well as improving the bottom line of an organization. Such good

The experience of business in developed economies has revealed that going

1.1.3 The scope of environmental management

Environmental management of operational manufacturing and fossil-fuel-

g. chemical-gene interactions in the real environment

i. increased understanding of biogeochemical processes and cycles

Thus, a systems approach is needed for environmental management in

a. actions that affect any of the three principal environmental sinks,

1.1.4 Approaches to environmental management

a. proactive measures like anticipation and prevention of

The shift in the approach to environmental management was triggered by

Environmental management, especially in projects of conventional sources

It is being observed that an ever-increasing number of enterprises are

1.1.5 The cost of environmental degradation

1.2 Sustainability and sustainable development

Quental et al. (2011) identified the following basic sustainability principles:

a. thermal power plants based on coalair emissions and fly ash

Quental, N., J. M. Lourenco, and F. N. da Silva. 2011. Sustainability:

Wathern (1988) defined EIA as a process having the ultimate

i. Purposivethe process should inform decision-making and result

vi. Efficientthe process should impose the minimum cost burdens

As per the operating principles, EIA should be applied:

i. Screeningto determine whether or not a proposal should be