impact significance determination - basic considerations and a sequenced approach

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ENVIRON IMPACT ASSESS REV 1993;13:275-297 275

FE TURE

IM P A C T S IG N I F IC A N C E D E T E R M I N A T I O N

B A S IC C O N S ID E R A T I O N S A N D A S E Q U E N C E D

A P P R O A C H

L W C a n t e r a n d G A C a n t y

Environmen tal and G round W ater Institute, Un iversity of Oklahom a

Determinat ion o f the s ignif icance o f anti cipated imp act s o f pro po sed projec t s is a

k e y c o m p o n e n t i n th e o v e r a l l e n v i r o n m e n t a l i m p a c t a s s e s s m e n t E I A ) p r o c e s s .

Def init ions o f s ignif icance and~or s igni ficant im pa cts are no w inc lud ed in the EIA

gu idel in es or regulations o f m an y countr ies an d international organizat ions . W he re

po ss ib le in an EIA s tudy, i t i s de s ira ble to ident ify and~or es tabl ish the s ignif icance

determination cr it er ia pr ior to ac tu al s tudy conduction. Thi s pa pe r sum m ar i zes

s om e f i nd i ng s o f a s ur v ey o f s uch de f in iti ons r es ult ing f r o m Am er i can , European ,

an d o the r in ternat ional exp er ienc es ; both gen er ic de fin it ions an d substant ive area

def ini tions ar e highlighted. Tradi tional pe rsp ec t ive s on s ignif icance determinat ion

hav e invo lved inst itu tional or go vern m enta l or regulatory), t ech nical or

pro fes s ion al subs tanti ve area ) , an d pu bl i c in terest considerations . A sequ en ced

ap pro ac h fo r im pa ct s igni ficance determinat ion is descr ibed, w i th this ap pro ac h

or gan i z ed a r oun d t en gr oups o f i s s ues o r quest ions. Ex am pl es o f s uch i s s ues i nc l ude

pr oje ct type/size, pr oje ct locat ions in are as wi th pro tec ted o r cr it ical resources , an d

env i r onm en t a l s t r e s ses r es ul ti ng f r o m was t e r e s i dua l s f r o m t he p ro jec t. Ex am pl es o f

s ignif icance cr it er ia per t inen t to the i s sues are pre sen ted through the pap er . Fina l l y ,

the use s o f s ignif icance cr it er ia can be noted; inc lud ed in suc h uses are: 1)

determining i f an envi ron me ntal imp act sta tement EIS ) w i l l be requi red , o r i f an

env i ronm enta l assessment~f inding o f no s ignif icant imp act EA /FO N SI ) w i l l su ff ice;

2) identi fy ing the imp act s that sho uld be mi tigated; 3) p lan ning a base l ine and~or

pos t - E I S en v i r onm en t a l mon ito ri ng pr og r am ; an d 4 ) docum en t i ng t he in te rpre ti ve

rationale used in the conduction o f the env i ronm enta l im pac t s tudy .

Address correspondence o r reprints to: Dr. L.W Canter, School of Civil Engineering and Environmental Science.

University of Oklahoma, 200 Felgar Street, Room 127, Norman, Oklahoma 73109- 0470.

© 1993 Elsevier Science Publishing Co., Inc.

655 Avenue of the Americas, New York, NY 10Ol0 0195-9255/93/ 6.00



76 L.~h( CAN I~R AND G.A. CANTY

I n t r o d u c t i o n

T h e N a t io n a l E n v i r o n m e n t a l P o l i c y A c t (N E P A ) in t h e U n i t e d S t a te s r e q u i re s t h at

a n e n v i r o n m e n t a l i m p a c t s t a t e m e n t ( E I S ) b e p r ep a r e d o n f e d e ra l a c ti o n s t h a t h a v e

t h e p o t en t ia l f o r s i g n i f ic a n t l y a f f e c t in g th e q u a l it y o f th e h u m a n e n v i r o n m e n t . T h e

k e y i s s u e i s t o d e t e r m i n e w h a t is a s i g n i f i c a n t i m p a c t ? I f s i g n i f i c a n t i m p a c t s ,

e i t h e r d e t r i m e n t a l o r b e n e f i c i a l , a r e e x p e c t e d t o o c c u r , b o t h m o n e t a r y r e s o u r c e s

a n d t i m e w i ll b e n e c e s s a r y i n p r e p a r i n g a n E I S . I f t h e i m p a c t s a r e n o t s i g n if i c an t ,

a s d e t e r m i n e d v i a th e p r e p a r at i o n o f a n e n v i r o n m e n t a l a s s e s s m e n t ( E A ) , t h en a

f i n d i n g o f n o s i g n i f i c a n t i m p a c t ( F O N S I ) c a n b e p re p a r e d w i th c o n s i d e ra b l e

s a v i n g s i n m o n e y a n d t im e .

T h e i s s u e o f s i g n i f i c a n t e f f e c ts a n d t h e r e s u l ti n g n e e d t o p r e p a re a n E I S i s o f te n

t h e f o c a l p o i n t o f N EP A - r e l a t e d l e g a l a c t i o n s i n t h e U n i t e d S t a te s . F o r e x a m p l e ,

M o o r e ( 1 9 9 2 ) n o t e d t h a t t h e r e w e r e 8 0 a c t i o n s b r o u g h t i n t h e F e d e r a l C o u r t s i n

1 98 9; 3 4 w e r e b r o u g h t b e c a u s e n o E I S h a d b e e n p r e p a r e d w h e n i t w a s c o n te n d e d

t h at o n e s h o u l d h a v e b e e n p r e p a r e d . T h e i s s u e w a s w h e t h e r t h e r e w e r e s i g n i fi c a n t

i m p a c t s . S i n c e 1 97 4, i n e v e r y y e a r e x c e p t t w o , t h e i s s u e o f si g n i f ic a n t i m p a c t s h a s

b e e n t h e l e a d i n g c a u s e o f li ti g a ti o n . T h e r e w e r e 2 , 34 6 N E P A c a s e s f il e d b e t w e e n

1 9 7 0 a n d 1 99 0, w i t h o v e r h a l f o f t h e m r a i s i n g t h e i s s u e o f s i g n i f ic a n t im p a c t s .

T h i s p a p e r b e g i n s w i t h t h e s ig n i f i c a n c e d e fi n it i o n a n d d e t e r m i n a t i o n p r o c e s s a s

u s e d i n t h e U n i t e d S t a t e s . E x a m p l e s o f t h e u s e s o f s c r e e n i n g f o r s i g n i f i c a n c e

d e t e r m i n a t i o n a r e t h e n i n c lu d e d ; s c r e e n i n g c a n e n c o m p a s s p o l i c y d e l i n ea t io n s

a n d t h e c o n d u c t io n o f p r e l i m i n a r y s t u d ie s . T h i s i s f o l lo w e d b y a b r i e f r e v i e w o f

d e f i n i t i o n s a n d s e l e c t e d p r o c e s s e s f r o m s e v e r a l c o u n t r i e s a n d / o r g o v e r n m e n t a l

i n s ti tu t io n s . A s u g g e s t e d s e q u e n c e d a p p r o a c h f o r d e t e r m i n i n g t h e s i g n i f ic a n c e o f

o n e o r m o r e i m p a c t s i s t h e n i n c l u d e d . T h e f i n a l s e c t i o n r e l a t e s t o t h e u s e s o f

s i g n i f i c a n c e d e t e r m i n a t i o n s i n E A / F O N S I / E I S p r e p a r a ti o n a n d t h e p l a n n i n g o f

m i t i g a ti o n a n d m o n i to r i n g p r o g r a m s .

I ll u st r a ti o n o f S i g n if ic a n c e D e f i n i t i o n U S A

T h e C o u n c i l o n E n v i r o n m e n t a l Q u a l it y r e g u la t io n s i s s u e d in 1 97 9 i n c lu d e d a

d e f i n it i o n o f s i g n i f ic a n c e (C o u n c i l o n E n v i r o n m e n t a l Q u a l i ty ( C E Q ) 1 98 7). A

k e y f e a t u r e o f t h e C E Q r e g u l a t io n s i s th e c o n c e p t o f th r e e l e v e l s o f a n a ly s i s ; l e v el

1 r e l a t e s t o a c a t e g o r i c a l e x c l u s i o n d e t e r m i n a t i o n , l e v e l 2 to t h e p r e p a r a t io n o f a n

e n v i r o n m e n t a l a s s e s s m e n t a n d f i n d i n g o f n o s i g n i f i c a n t i m p a c t , a n d l e v e l 3 to t h e

p r e p a r a ti o n o f an e n v i r o n m e n t a l i m p a c t s t at e m e n t ( U , S . E n v i r o n m e n t a l P r o t e c -

t io n A g e n c y 1 9 89 ). F i g u r e 1 d e p i c t s t h e i n t e r r e la t i o n s h i p s a m o n g th e s e t h r e e

l e v e ls . K e y d e f i n i ti o n s f r o m t h e C E Q r e g u l a ti o n s r e l a te d t o F i g u r e 1 a r e a d d r e s s e d

i n t h e f o l l o w i n g p a r a g r a p h s ( C o u n c i l o n E n v i r o n m e n t a l Q u a l it y 1 98 7),

F e d e r a l a c t i o n s s u b j e c t to th e r e q u i r e m e n t s o f N E P A i n c l u d e a d o p ti o n o f

t r e a ti e s a n d i n te r n a ti o n a l c o n v e n t i o n s o r a g r e e m e n t s ; f o r m a l d o c u m e n t s

e s t a b l i s h i n g a n a g e n c y ' s p o l i c i e s t h a t w i l t r e s u l t i n o r s u b s t an t i a ll y a l t e r a g e n c y

p r o g r a m s ; f o r m a l p l a n s , s u c h a s o f f i c i a l d o c u m e n t s p r e p a r e d o r a p p r o v e d b y



IMPACTSIGNIFICANCEDETERMINATION 77

CATEGORICAL

EXCLUSION

(1508.4)

LEVEL i j

FEDERAL ACTION

(1508.18)

N O

C T E G O R I C L

EXCLUSION

ENVIRONMENTAL

ASSESSMENT

(1508.9)

FONSI SIGNIFICanT

(1508.13) IMPACT

(1508.27)

[ LEVEL 2 ]

EIS b

15os.11)

LEVEL 3 ]

FIGURE 1. Three levels of analysis in the EIA process. *Number denotes paragraph in

CEQ regulations that contains definition (Council on Environmental Quality 1987).

federal agencies that guide or prescribe alternative uses of federal resources, and

upon which future agency actions will be based; and adoption of programs, such

as a group of concerted actions to implement a specific policy or plan; or

systematic and connected agency decisions allocating agency resources to

implement a specific statutory program or executive directive. In addition, federal

actions include approval of specific projects, such as construction or management

act ivities located in a defined geographic area. Projects also include actions

approved by permit or other regulatory decision as well as federal and federally

assisted activities.

A categorical exclusion refers to a category of actions that do not individual ly

or cumulatively have a signif icant effect on the human environment, and that

have been found to have no such effect in procedures adopted by a federal agency

in implementation of the CEQ regulations and for which, therefore, neither an EA

nor an EIS is required.

An EA is a concise public document for which a federal agency is responsible that

serves to briefly provide sufficient evidence and analysis for determining whether to

prepare an EIS or a FONSI; aid an agency s compliance with the NEPA when no

EIS is necessary; or facilitate preparation of an EIS when one is necessary. A FONSI



7 8 L W C A N T E R A N D G A CANTY

i s a d o c u m e n t b y a f e d e r a l a g e n c y b r i e f l y p r e s e n t i n g t h e r e a s o n s w h y a n a c tio n, n o t

o t h e r w i s e e x c l u d e d , w i l l n o t h a v e a s i g n i f ic a n t e f f e c t o n t h e h u m a n e n v i r o n m e n t a n d

fo r which an EIS the re fo re wi l l no t be p repa red . I t sha l l i nc lude the EA or a

s u m m a r y o f i t a n d s h a l l n o t e a n y o t h e r e n v i r o n m e n t a l d o c u m e n t s r ela te d t o it. Th e

F O N S I wa s in it ia lly re ferred to as a ne ga t ive dec larat ion.

T h e d e f i n i t i o n o f s i g n i f i c a n t l y o r s i g n i f i c a n t i m p a c t i s t h e k e y i n t h e E I A

p r o c e s s b e c a u s e a p r o p o s e d a c t i o n t h a t s i g n i f i c a n t l y a f f e c t s t h e h u m a n

e n v i r o n m e n t r e q u ir e s a n E I S . S i g n i f i c a n t l y a s u s e d i n N E P A re q u ir e s

c o n s i d e r a t i o n s o f b o t h c o n t e x t a n d i n t e n s i ty ; a n d Ta b l e 1 d e l i n e a te s t h e s e

c o n s i d e r a t i o n s ( C o u n c i l o n En v i r o n m e n t a l Q u a l i t y 1 9 8 7 ) .

F i n a l l y , t h e E I S i s a d e t a il e d w r i tt e n s t a t e m e n t a s r e q u i r e d b y S e c t i o n 1 0 2 ( 2 ) (C )

o f N E P A . T h e p r i m a r y p u r p o s e o f a n E I S i s to s e r v e a s a n a c ti o n -f o rc i n g d e v i c e

t o e n s u r e t h a t th e p o l i c ie s a n d g o a l s d e f i n e d in N E P A a r e i n f u s e d i n to t h e o n g o i n g

p r o g r a m s a n d a c t io n s o f t h e f ed e r a l g o v e r n m e n t . I t s h al l p r o v i d e f u l l a n d f a i r

d i s c u s s i o n o f s i g n i f i c a n t e n v i r o n m e n t a l i m p a c t s a n d s h a l l i n f o r m d e c i s i o n -

m a k e r s a n d t h e p u b l ic o f th e r e a s o n a b le a l t e r n a ti v e s th a t w o u l d a v o i d o r m i n i m i z e

a d v e r s e i m p a c t s o r e n h a n c e t h e q u a l it y o f t h e h u m a n e n v i r o n m e n t . T h e E I S s h al l

b e u s e d b y f e d e r a l o f f i c i a l s i n c o n j u n c t i o n w i t h o t h e r r e l e v a n t m a t e r i a l t o p l a n

a c t io n s a n d m a k e d e c i s i o n s .

A s s h o w n i n F i g u r e 1 , a n d b a s e d o n t h e d e f i n i t i o n s a b o v e , a l l f e d e r a l a c t i o n s

c a n b e d i v i d e d i n t o e i t h e r c a t e g o r i c a l e x c l u s i o n s o r n o n c a t e g o r i c a l e x c l u s i o n s .

E a c h f e d e r al a g e n c y h a s p u b l i s h e d t h e i r l is t o f c a te g o r i c a l e x c lu s i o n s f o l l o w i n g

a p p r o p r i a t e c o n s u l t a t i o n w i t h C EQ . F o r f e d e r a l a c t i o n s t h a t a r e n o n c a t e g o r i c a l

e x c l u s io n s , i t m a y b e n e c e s s a r y to d o a n e n v i r o n m e n t a s s e s s m e n t ( E A ) i n o r d e r t o

d e t e r m i n e w h e t h e r o r n o t a n E I S w i l l b e r e q u ir e d . A g a i n , a g e n c i e s h a v e p u b l is h e d

l i st s o f t h e i r ty p i c a l a c t i o n s t h a t n o r m a l l y r e q u i r e a n EA b u t n o t n e c e s s a r i l y a n

E I S ; o n e e x a m p l e i s in U . S . A r m y C o r p s o f E n g i n ee r s ( 1 9 88 ).

T h e k e y i s s u e i n F i g u r e 1 i s r e l a te d t o w h e t h e r o r n o t t h e f e d e r a l a c t io n i s a

m a j o r a c ti o n s i g n i f i c a n t ly a f f e c t in g t h e q u a l it y o f t h e h u m a n e n v i r o n m e n t

( M A S A Q H E ) . T h i s p h ra s e i s in S ec ti on 102 o f N E P A . D e f in i n g a M A S A Q H E

i n v o l v e s b o t h q u a n t i ta t iv e a n d q u a l i ta t iv e c o n s i d e r a ti o n s . T h e s i m p l e s t w a y o f

d e f i n i n g a m a j o r a c t io n i s t o c o m p a r e a p r e d i c te d i m p a c t w i t h a n e n v i r o n m e n t a l

q u a l it y s t a n d a r d f o r a g i v e n p a r a m e t e r . I t i s p o s s i b l e t o d o t h i s f o r m a n y

s u b s t a n c e s f o u n d i n a i r a n d w a t e r , f o r e x a m p l e , c a r b o n m o n o x i d e i n t h e

a t m o s p h e r e a n d d i s s o l v e d o x y g e n i n w a t e r . H o w e v e r , t h e r e a r e m a n y

e n v i r o n m e n t a l p a r a m e t e r s f o r w h i c h o n l y d e s c r i p t iv e s t an d a r d s a r e a v ai la b l e ,

s u c h a s s c e n i c v i s ta s a n d a r c h a eo l o g ic a l s it es . A g e n c i e s m a y d e f i n e M A S A Q H E

b y p r o j e c t t y p e , i n d i c a t i n g t h a t c e rt a i n p r o j e c t s r e q u i r e i m p a c t s t a t e m e n t s b e c a u s e

t h e y a r e m a j o r a c t i o n s , a n d o t h e r s d o n o t b e c a u s e t h e y a r e m i n o r a c t i o n s . Th e

d e f i n i t i o n o f s i g n i f i c a n t l y i n Ta b l e 1 r e f e r s t o b o t h c o n t e x t a n d in t e n s it y .

C o n t e x t i s p r i m a r i l y r e la t ed to t h e w h e n a n d w h e r e o f t h e i m p a c t s . T h e te n

p o i n t s l i s t e d f o r i n t e n s i t y c a n b e d i v i d e d i n t o t w o g r o u p s a s f o l l o w s : ( 1 ) t h o s e

r e l a te d t o e n v i r o n m e n t a l l a w s , r e g u l a t io n s , p o l i c i e s , a n d e x e c u t i v e o r d e r s ( p o i n t s




T A B L E 1 . C o n t e x t a n d I n t e n s i t y C o n s i d e r a t i o n s i n D e f i n i n g ' S i g n i f i c a n t l y a s

U s e d i n t h e N E P A P r o c e s s i n t h e U S A ( C o u n c i l o n E n v i r o n m e n t a l Q u a l i t y 1 9 8 7 )

(a ) C o n tex t. Th i s m ean s t h a t t h e s ig n if ican ce o f an ac t i o n m u s t b e an a l y z ed in s ev e ra l co n t ex t s s u ch

as socie ty as a w hole (human, nat ional) , the af fec ted reg ion , the af fec ted interes ts , and the locali ty .

S ignif icance var ie s wi th the se t ting of the proposed action . F or ins tance, in the cas e of a s i te

specif ic action , s ign i f ican ce would usu al ly depen d upon th e ef fect s in the local are a ra ther than in

the world as a whole. B ot h short- and long-terra effects are relevant .

(b) Intensity. T his refers to the severity o f impact . Resp~m sible officials m ust bea r in m ind that m ore

than one ag en cy ma y m ak e deci sions about par ti a l aspects of a m ajor action . T he fo l lowing sh~uld

be cons idered in evalua t ing in tens ity .

I . Impacts that m ay be both benef ic ia l and adverse . A signif icant ef fec t m ay ex is t eve n d the

federal ag en cy bel iev es that tin balance the ef fec t wi ll be benef ic ia l .

2 . Th e degre e to whic h the proposed act ion affect s publ ic h eal th or safety .

3. U niq ue characteris tics of the geographic are a such as proximity to historic or cul tural

resources, park lands, prime farmlands, w etlands, w ild and sce nic rivers, or ec olo gic al ly

critical areas.

4 . The de gree to wh ich the ef fect s on the qual i ty of the hum an environment are l ikely to be h ighly

c o n t r o v e r s i a l

g . Th e d e g ree t o wh i ch t h e p o ss ib le e f f ec t s o n t h e h u m an en v iro nm en t a re h i g h l y u n cer ta in o r

inw)lve unique o r unknow n risks.

6 . Th e degre e to whic h the action m ay es tab l ish a precedent for fu ture act io ns wi th s ignif icant

effects or represents a decision in principle about a future consideration.

7 . W heth er the act io n i s re la ted to o the r act ion s wi th indiv idual ly insignif icant bu t cum ulat iv ely

s igni ficant imp acts . S ig ni f ic ~c e ex is t s i f i t i s reasonable to an tic ipate a cumulafively

s igni ficant im pac t on the envi rnnment . S ignif icance cannot be avoid ed by term ing an act ion

t em p era ry o r b y b reak in g i t d o wn i nt o s m a l l co m p en en t p an s .

8 . T he deg ree to wh ich the act ion may adversely af fec t d i st ri c ts , s it es, h igh w ay s , smlctures , o r

o b j ec t s l i s t ed in o r e l i g i b l e fo r l i s t in g i n t h e N a t i o n a l R eg i s t e r o f H i s t o r i c P l ace s o r In ay cau s e

loss or destruction o f significant scientific, cultural, o r histurical resources.

9 . Th e degree to w hich the action ma y adversely af fec t an endangered or threatened spe cies or i ts

hab i ta t that has been deternf ined to be cr it ica l under the En dan gere d Sp ecies A ct t )f 1973.

10. W he the r tbe act io n threatens a violation o f federal , s tatu, or local law or requirements imlx)sed

for the pro tect ion of the envirnnment.

2 , 3 , 8 , 9 a n d 1 0 in t h e l i s t) ; a n d ( 2 ) th o s e r e l a t e d t o o t h e r c o n s i d e r a t i o n s a n d h o w

t h e y i n t u rn m a y h a v e i m p l i c a t i o n s f o r e n v i r o n m e n t a l l a w s , r e g u l a t i o n s , p o l i c i e s ,

a n d e x e c u t i v e o r d e r s ( p o i n t s 1 , 4 , 5 , 6 , a n d 7 i n t h e l i s t ) .

A n e x c e l l e n t s e r i e s o f r e v i e w q u e s t i o n s f o r a s s e s s i n g s i g n i f i c a n c e h a s b e e n

d e v e l o p e d b y t h e U . S . A r m y C o r p s o f E n g i n e e r s ( 1 9 8 3 ) . A d d i t i o n a l f a c t o r s t o

c o n s i d e r i n c h a r a c t e r i z i n g i m p a c t s f r o m p r o p o s e d p r o g r a m s / p l a n s / p r o j e c t s

i n c l u d e w h e t h e r t h e i m p a c t s a r e : (1 ) b e n e f i c i a l o r d e t r i m e n t a l ; ( 2 ) n a t u r a l l y

r e v e r s i b l e o r i r r e v e r s i b l e ; ( 3 ) r e p a i r a b l e v i a m a n a g e m e n t p r a c t i c e s o r i r r e p a r a b l e ;

( 4 ) s h o r t - te r n t o r l o n g - t e r m ; ( 5 ) t e m p o r a r y o r c o n t i n u o u s ; ( 6 ) e x p e c t e d f o r t h e

c o n s t r u c t i o n o r o p e r a t i o n a l p h a s e ; ( 7 ) l o c a l , r e g i o n a l , n a t i o n a l , o r g l o b a l ; (8 )

a c c i d e n t a l o r p l a n n e d ( r e c o g n i z e d b e f o r e h a n d ) ; ( 9 ) d i r e c t o r p r i m a r y , o r in d i r e c t

o r s e c o n d a r y ; a n d ( 1 0 ) c u m u l a t i v e o r s i n g l e .



2 8

L?A~ CANTER AND G A CANTY

I n a d d i ti o n , o n e o f th e t h i n g s t h a t c a n b e d o n e i n c o n j u n c t i o n w i t h i d e n t i f i e d

s i g n i f i c a n t n e g a t i v e i m p a c t s i s t o c o n s i d e r a p p r o p r i a te m i t ig a t i o n m e a s u r e s t h a t

c o u l d b e a p p l i e d t o re d u c e n e g a t i v e i m p a c t s w i t h i n r e a s o n a b le e n v i r o n m e n t a l a n d

e c o n o m i c c o n s t r a i n t s . A g a i n r e l a t i v e t o t h e U n i t e d S t a t e s p r a c t i c e , t h e d e f i n i t i o n

o f m i t i g a t i o n i n c l u d e s ( C o u n c i l o n E n v i r o n m e n t a l Q u a l i ty 1 9 8 7 ): a v o i d i n g th e

i m p a c t a l t o g e t h e r b y n o t t a k i n g a c e r ta i n a c t io n o r p ar t s o f an a c t io n ; m i n i m i z i n g

i m p a c t s b y l i m i t i n g t h e d e g r e e o r m a g n i t u d e o f t h e a c ti o n a n d i t s im p l e m e n t a t io n ;

r e c t i f y i n g t h e i m p a c t b y r e p a i r i n g , r e h a b i l i t a t i o n , o r r e s t o r i n g t h e a f f e c t e d

e n v i r o n m e n t ; r e d u c i n g o r e l i m i n a t i n g t h e i m p a c t o v e r t i m e b y p r e s e r v a t i o n a n d

m a i n t e n a n c e o p e r a t i o n s d u r i n g t h e l i f e o f t h e a c ti o n; a n d / o r c o m p e n s a t i n g f o r th e

i m p a c t b y r e p l a c i n g o r p r o v i d i n g s u b s t i t u t e r e s o u r c e s o r e n v i r o n m e n t s . T h e

c o n c e p t i n t e r m s o f m i t i g a t i o n w o u l d b e t h at i f p o t en t ia l ly s i g n i f i c a n t n e g a t i v e

i m p a c t s a r e i d en t if ie d , a n d i f t h e y c a n b e r e d u c e d v i a m i t ig a t i o n t o s o m e t h i n g o f

l e s s e r c o n c e r n , t h e n i t w o u l d b e p o s s i b le t o d o a n E A w i t h o u t g o i n g t o a

c o m p r e h e n s i v e s t u d y le a d i n g t o a n E I S . T h i s w o u l d l e a d t o a m i t i g a t e d

F O N S I . H o w e v e r , i t s h o u l d b e n o te d t h at th i s i s p o s s i b l e o n ly i f t h e m i ti g a t io n

r e q u i r e m e n t s a r e c a r e f u l l y d e l i n e a t e d s o a s t o e n s u r e t h a t t h e p e r t i n e n t m e a s u r e s

w h i c h h a v e b e e n i d e n t if i e d ar e i m p l e m e n t e d . T h i s i s m o s t e a s il y a c c o m p l i s h e d f o r

a c t i o n s a p p r o v e d b y p e r m i t . T h e r e f o r e , b a s e d u p o n t h e a b o v e d e f i n i t i o n s a n d

p r o c e s s , i t m i g h t b e d e s i r a b l e t o c o n s i d e r t h r e e l e v e l s o f s i g n i f i c a n c e : ( 1 )

s i g n i f i c a n t a n d n o t m i t i g a b l e ; ( 2 ) s i g n i f i c a n t b u t m i t ig a b l e ; a n d ( 3 ) in s i g n i f i c a n t .

Screening for Significance etermina tion

S c r e e n i n g a n d s c o p i n g a r e t e r m s t h a t h a v e b e e n d e v e l o p e d f o r u s a g e i n t h e

e n v i r o n m e n t a l i m p a c t a s s e s s m e n t ( E I A ) p r o c e s s b e in g i m p l e m e n t e d i n n u m e r o u s

c o u n t r ie s . T h e r e a r e b o t h s u b t l e a n d s i g n i f i c a n t d i f f e re n c e s b e t w e e n t h e u s a g e o f

t h e s e t e r m s f r o m c o u n t r y t o c o u n t r y . I n e f f e c t , t h e s e t e r m s a r e r e a l ly r e la t e d t o t h e

c o n c e p t o f i m p a c t s i g n i f i c a n c e d e t e rm i n a t io n d e s c r i b e d e a r li er . F i g u r e 2

i ll u s tr a te s t h e c o n c e p t u a l r e l at i o n s h ip b e t w e e n s c r e e n i n g a n d s c o p i n g . F u n d a m e n -

t a ll y , i f a p r o p o n e n t i s d e v e l o p i n g a s p e c i f i c p r o g r a m , p la n , o r p r o j e c t, t h e n t h e

b a s i c i s s u e i n i t ia l l y i s t h e p o t e n t i a l a p p l i c a b i l i ty o f E I A r e q u i r e m e n t s . S c r e e n i n g

b a s i c a ll y a d d r e s s e s t h e i s s u e o f w h e t h e r o r n o t a n e n v i r o n m e n t a l i m p a c t s t u d y

w o u l d b e r e q u i r e d f o r t h e p o t e n ti a l p r o g r a m , p la n , o r p ro j e ct . I n m a n y c o u n t r i e s

t h e r e s u l t a n t r e p o r t o n t h e e n v i r o n m e n t a l i m p a c t s i s c a l l e d a n e n v i r o n m e n t a l

i m p a c t a s s e s s m e n t ( E I A ) o r an e n v i r o n m e n t a l a s s e s s m e n t (E A ) ; a s n o t ed e a rl ie r ,

i n t h e U n i t e d S t a t e s t h e r e s u l t a n t r e p o r t i s c a l l e d a n e n v i r o n m e n t a l i m p a c t

s t a t em e n t ( E I S ) . T h e r e f o r e , t h e f u n d a m e n t a l i s s u e a d d r e s se d v i a s c re e n i n g i s

w h e t h e r o r n o t a c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t s t u d y s h o u l d b e

c o n d u c t e d . S c o p i n g i s t y p i c a l ly i n t r o d u c e d a f t e r a d e c i s i o n i s m a d e o n t h e n e e d

f o r a c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t s tu d y , a l th o u g h i t c o u l d b e u s e d a s a

c o m p o n e n t o f s c r e e n i n g c o n s id e r a ti o n s . S c o p i n g i s p r i m a r i l y f o c u s e d o n

d e t e r m i n i n g t h e s p e c i f i c i s s u e s / i m p a c t s t h a t m a y n e e d t o b e a d d r e s s e d i n a

c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t s t u d y .




P R O G R A M

p L A N - ~ S C R E E N I N G

I S E I A / E I S

N E E D E D ? ) 1

P R O J E C T I P R E L I M I N A R y S T U D Y

h _ _

FIGURE 2. Conceptual framework for screening and scnping.

S C O P I N G

W H A T I S S U E S /

I M P A C T S N E E D

T O B E

A D D R E S S E D

I N E I A / E I S ? >

V

P L A N E I A

S T U D Y

C O N D U C T

E I A S T U D Y

I t w o u l d b e p o s s i b l e t o d i r ec t ly d e t e r m i n e t h e n e e d f o r a c o m p r e h e n s i v e

e n v i r o n m e n t a l i m p a c t s tu d y , a n d t h e n t o a d d r e s s t h e s c o p e o f t h e i ss u e s / i m p a c t s

t h a t a r e r e l e v a n t . C o n v e r s e l y , i t m a y b e n e c e s s a r y t o c o n d u c t a p r e l i m i n a r y s t u d y

a s a p a r t o f d e t e r m i n i n g w h e t h e r o r n o t a c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t

s t u d y w o u l d b e n e c es s a r y . A c o n f u s i n g p o i n t i s t h at t h is p r e l i m i n a r y s t u d y i s

r e f e r r e d t o b y d i f f e r e n t t e r m s i n d i f f e r e n t c o u n t r i e s . F o r e x a m p l e , i n t h e U n i t e d

S t a t e s t h e t e r m e n v i r o n m e n t a l a s s e s s m e n t ( E A ) i s u s e d , w h e r e a s i n C a n a d a a n d

o t h e r c o u n t r i e s t h e t e r m i n i t i a l e n v i r o n m e n t a l e v a l u a t i o n ( I EE) f i n d s a p p l i c a t i o n .

T w o f u n d a m e n t a l a p p r o a c h e s f o r d e t e r m i n i n g w h e t h e r o r n o t t o p r e p a r e a

c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t s t u d y f o r a p r o p o s e d p r o g r a m / p l a n / p r o j e c t

i n c l u d e t h e u s e o f p o l i c y d e l i n e a t io n s b a s e d o n p r o j e c t t y p e o r s i z e , o r t h e

c o n d u c t i o n o f a p r e l i m i n a r y s t u d y .

Screening Via Policy elineations

A n e x a m p l e o f a p o l ic y b a s i s f o r s c re e n i n g i s t h e E u r o p e an C o m m u n i t y D i r e ct i v e

o n E I A ; t h i s d i r e c t i v e h a s c a t e g o r i z e d p r o j e c t s d e p e n d i n g u p o n t h e i r n e e d s f o r

c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t s t u d ie s . T a b l e 2 c o n t a i n s a li st o f th e s e

p r o j e ct s i n a c c o r d a n c e w i t h p r o je c t t y p e a n d s i z e ( E u r o p e a n C o m m u n i t i e s 1 98 5).

T o s e r v e a s a n e x a m p l e o f t h e m e m b e r s t at es o f th e E u r o p e an C o m m u n i t y

d e v e l o p i n g f u r th e r g u i d a n c e f o r p r o je c t s l is t e d in A n n e x H o f T a b le 2 , t h e U n i t e d

K i n g d o m h a s i n d i c a te d t h at t h e n e e d f o r p r e p a r a ti o n o f a n E I A i s ' u n l i k e l y f o r

t h e f o l l o w i n g p r o j e c t s : t h e r m a l p o w e r s t a t i o n s b e l o w 5 0 M W T h ; h y d r o e l e c t r i c

p o w e r s ta ti o ns b e l o w 1 0 M W ; w i n d fa r rn s b e l o w 1 M W ; c o m b i n e d h e a t a n d

p o w e r i n s t a l l a t i o n s b e l o w 5 0 M W T h ; t r a n s m i s s i o n l i n e s b e l o w 1 3 2 K V ; a n d

o v e r h e a d l i n e s l e s s t h a n 1 k m i n l e n g t h . A n o t h e r e x a m p l e o f a p o l i c y - b a s e d

s c r e e n i n g a p p r o a c h i s t h a t u t i l i z e d b y t h e W o r l d B a n k i n t h e i r g u i d a n c e o n t h e



2 8 2

T A B L E 2 . C a t e g o r i z a t i o n o f P r o j e c t s a s U s e d b y t h e E u r o p e a n C o m m u n i t i e s

E u r o p e a n C o m m u n i t i e s 1 9 8 5 )

An n ex 1 : P r o j e c t s R e q u i r i n g E n v i r o n m e n t a l I m p a c t s s e s s m e n t s

1. Crude-oi l refineries ex clu din g undertakings manufacturing on ly lubricants from cru de oi l)

and ins ta l la t ions for the gasi fication and l iquefact ion o f 50 0 ton s or m ore o f coa l or b i tuminous

s h a l e p e r d a y .

2 . Th erm al pow er s ta t ions and o the r combus t ion insta lla tions w i th a hea t output o f 30 0

m eg a wa t t s o r m o re an d n u c l ea r p o w er st at io n s an d o t h e r n u c l ea r r eac to r s ex ce p t r e sea rch

instal lations for the production an d conversion o f fissionable and fert i le materials , w ho se

m a x i m u m p o we r d o es n o t ex c eed 1 k i l o wa t t co n ti nu o u s t he rm a l l oad ).

3 . Ins ta l la t ions so le ly des ign ed for the permanent s torag e or f inal d isposal of rad ioact ive was te .

4 . In t eg ra t ed wo rk s fo r t h e in i t i a l m e l t i n g o f cas t - i ro n an d s tee l.

5 . Insta lla tions for the ex t ra ct ion of asb es tos and for the process ing and t ransformat ion of

asbe s tos and products con tain in g asbestos: for asbestos-cement products , wi th an annual

production of mo re than 20 ,0 00 tons of f in i shed products , for fr ic t ion mater ia l , wi th an annual

production of more tha n 50 tons of f in i shed products , and for o the r uses of asbestos, u t il iza tion

o f m o r e t h a n 2 0 0 t o n s p e r y e a r .

6. Integrated ch em ica l instal lations.

7 . Cons t ruct ion of motorways , exp ress roads, an d lines for long-distance ra i lw ay t raf fic and of

a irp or ts w i t h a b as i c ru n wa y l en g t h o f 2 , 1 0 0 m o r m o re.

8 . Trading por t s and a l so in land wa terw ays and por t s for in land-waterway t raf f ic that perm i t the

p a s s a g e o f v e s s e l s o f o v e r 1 , 3 5 0 to n s.

9 , W as te-d isposal insta ll a tions for the incineration , ch em ical t reatme nt , o r land f i ll o f tox ic and

dangerous wastes.

A n n e x l l : P r o j e c t s t h a t M a y B e S u b j e c t t o a n E I a

1 . Ag r i cu l t u re

a) Pro je ct s for the rest ructuring of rural l an d hold ings .

h) Pro ject s for the use o f uncult ivated land or sem i- natural are as for in tens ive agr icu l tural

purposes.

c) W ater- m an age m ent pro jects for agr icu l ture .

d) In it ia l af foresta tion w he re th i s ma y lead to adverse eco logic al cha nge s and land

rec l am at i o n fo r t h e p u rp o ses o f co n ver si on t o an o t h e r t y p e o f l an d u se .

e) Poultry-rearing installations.

f) Pig-rearing installations.

g) Salmon breeding.

h ) R e c l a m a t i o n o f la n d f r o m t h e s ea .

2 . Ex t rac t ive indus t ry

a ) Ex t r ac t i o n o f p ea t.

b) D ee p dr i l l ings wi th the excep t ion of dr iUings for inves t igat ing the s tab i li ty of the so i l and

in particular:

- -g eo t h e rm al d r i l l i n g ,

~ f i l l i n g f o r t h e s to r a g e o f n u c l e a r w a s t e m a te ria l,

~ d a i l l i n g f o r w a t e r s u p plie s.

e) Ex t rac t ion of minerals o th er than metal li fer rous an d energy-producing mineral s , such as

marble, sand, gravel, shale, sal t , phosphates and potash.

d ) Ex t r a c t i o n o f eo aI an d l i g n i t e b y u n d erg rou n d m i n in g .

e ) Ex t r ac t i o n o f co a l an d l i g n i t e b y o p en -cast m i n in g .

f ) E x t r a c t i o n o f p e a o l e u m .



2 8 3

TAB LE 2. Categorization o f Projects as U sed b y the European Com mu nities

European Com mun ities 1985)

Con t i n u e d )

g ) E x t r a c t i o n o f n a tu r a l g a s.

h ) Ex t r ac t i o n o f o res .

i ) Ex t ract io n of b i tuminous shale .

j ) Ex t rac t ion of m inera l s o the r than metall iferrous and energy-producing mineral s by open-

cas t mining .

k) Surface industrial instal lations for th e ex tra ct io n of coal , petroleum, natural ga s an d ores, as

w el l as b i tuminous shale .

1) Cok e oven s dry coa l d i st il la t ion) .

m) Installat ions fo r the manufacture of cement .

3 . E n e r g y i n d u s t ry

a) Indus tr ia l insta ll a tions for the product ion of e lect r ic i ty , s team , and ho t w ater unless

included in Annex 1) .

b) Indust ria l ins ta ll a tions for car ry in g gas , s team , and hot wate r ; t ransmiss ion of e lec t r ical

ene rgy by overhead cables .

c ) S u rface s t o rag e o f n a t u ra l g as .

d) U nderground s tora ge of combus tih ie gase s .

e) Surface s tora ge o f foss i l fuels .

f ) Indust ria l bd qu et t in g o f co al and l ign i te .

g) Ins ta l la t ions for the production or enr ichm ent of nuc lear fuel s.

h) Installat ions for the reproeessing o f i rradiated nu cle ar fuels .

i ) Instal lat ions for th e col lection and processing o f radioactive w aste unless iucluded in

An n ex 1 ) .

j ) Instal lat ions fo r hydroelectric en er gy production.

4 . P rocess ing of m etal s

a) Iron an d steelworks, including foundries, forges, dra w ing pla nts and rol l ing m il ls unless

included in Annex I ) .

b) Instal lations fo r the production, including smelt ing, refining, dra w ing and roll ing, o f

nonferrous m etal s , inclu ding precious m etal s .

c) P ress ing , dra win g and s tam pin g o f l arge cast ings .

d ) S u rface t r ea t m en t an d co a t i n g o f m e t a l s .

e) Bo i lerm akin g , manufacture of reservoirs , t ank s and o ther sheet-metal containers .

f ) M an u fa c t u re an d as s em b l y o f m o t o r v eh i c l e s an d m anu fac tu re o f m o to r -v eh ic le en g in es.

g) Shipyards.

h) Installat ions fo r the construction an d repair of aircraft .

i ) Manufacture of ra i lw ay equipment .

j ) Sw agin g by explosives.

k) Ins ta l la t ions for the roas t ing and s in tering of m etal l i c ores.

5 . M a n u f a c t u r e o f g la s s

6 . C h e m i c a l i n d u s t ry

a) Treatment of intermediate products and production o f chemicals unless included in

An n ex I ) .

b) Product ion of pes tic ides and pha rm ace ut ica l products , p ain t and varn i shes , e las tomers and

peroxides.

e) Sto rag e faci li t ies fo r petroleum, petrochemical , an d ch em ica l products .

7 . Food indus t ry



2 8 4

TABLE 2. Categorization o f Projects as Us ed by the European Com munities

European Com munities 1985) :cont~ued

( a ) M an u fa c t u re o f v eg e t ab l e an d an i m a l o i l s an d fa ts .

CO) P ack i n g an d can n i n g o f an i m a l v eg e t ab l e p ro d u ct s.

( c ) M an u fa c t u re o f d a i ry p rod u c ts .

( d) B r e w i n g a n d m a l t in g .

(e) Co nfect ionery an d syrup manufacture.

( f ) Ins ta l la t ions for the s laug hter of an im als .

(g) Industrial s ta rch manufacturing instal lations.

(h) Fis h-m ea l an d fish-oi l factories.

(i ) Su ga r factories.

8 . Text il e , l ea th er , wood, and pa per indust ries

(a) W ool scour ing , deg reas ing , and b lea chin g factor ies .

Co) M anu fac ture of f ibe r board , par t i c le beard , a nd p lywood.

( c ) M an u fa c t u re o f p u l p , p ap er , an d b o a rd .

(d) F ibe r-dy eing factor ies .

(e) Cellulose-pro cessing an d produc tion installations.

(f) T annery and leather-dressing factories.

9 . Ru bb er indust ry-Manufacture and t reatm en t of e lastomer-based products .

10 . Infrastructure pxojects

(a) Industrial-estate de ve lop m en t projects .

(b ) Urb an < l ev e l o p m e n t p roj ec ts .

(c) Ski-li fts an d cable-cars .

(d) Cons t ruct ion of road s , harbors, includ ing f i sh ing harbors , and a i rf ie lds (pro ject s not l i s ted

i n An n ex 1 ).

(e) Ca nal iz at ion and f lood-rel ief works .

( f) D am s an d o t h e r i n s t a l la t i o n s d es i g n ed t o h o l d w a t e r o r s to re i t o n a l o n g - t e rm b asi s.

(g) Tramways , e leva ted , an d underground ra i lw ays , suspended l ines or s im i lar l ines of a

p a r t i cu l a r t y p e , u s ed ex c l u s i v e l y o r m a i n l y fo r p a s s en g er tr ans p or t.

(h) O i l and ga s p ipel in e insta lla tions.

(i ) Instal lat ion o f long-distance aqueducts .

(j ) Yacht marinas.

1 1 . O t h e r p ro j ec t s

( a ) Ho l i d ay v il lag es, h o t e l co m p l ex es .

(b ) P e rm an en t r ac i n g an d t e s t t r ack s fo r ea r s an d m o t orcyc les .

(c) Ins ta l la t ions for the d i sposa l of indus tr ia l and do m es t ic was te (unless included in A nn ex 1).

(d ) W as t e -w a t e r t r ea t m e n t p lan ts .

(e) Sledge-deposi tion si tes .

( f) S t o rag e o f s c rap iro n.

(g) Te s t ben ch es for engine s , tu rb ines, o r reactors .

(h ) M an u fa c t u re o f a r t i f i c i a l m i n era l f ib e rs .

( i) M anu fac ture , packing , loading , or p lacing in car tr idges of gunpowder and explos ives .

( j ) K n a c k e r s y a r d s .

1 2 . M o d i f i ca t i o n s t o d ev e l o p m en t p ro j ec t s i nc lu d ed i n An n ex I an d p ro j ec t s in An n ex I un d ert ak en

e x c l u s i v e l y o r m a i n l y f o r th e d e v e l o p m e n t a n d t e s t i n g o f n e w m e th o ds o r p ro d uc ts a n d n o t

u s ed fo r m o re t h an o n e y ea r .

a hea

m e m b e r s t a t e s c o n s i d e r t h a t t h e i r c h a r a c t e r is t i c s s o r e q u ir e



IMPACT SIGNIFICANCE DETERMINATION 85

c o n d u c t i o n o f e n v i r o n m e n t a l a s s e s s m e n t s W o r ld B a n k 1 98 9). S p e c i f i ca l l y , f o u r

c a t e g o r i e s o f p r o j e c t s a r e d e l i n e a te d : t h o s e w h i c h w o u l d n o r m a l l y r e q u i r e a n

e n v i r o n m e n t a l i m p a c t s t u d y C a t e g o r y A ) , t h o se w h i c h m a y n e ed s o m e li m i t e d

e n v i r o n m e n t a l r e v i e w C a t e g o r y B ) , t h o se w h i c h n o r m a l l y d o no t n e e d a n

e n v i r o n m e n t a l a n a l y s i s C a t e g o r y C ) , a n d e n v i r o n m e n t a l l y b e n e f ic i a l p r o j e c t s

a n d e m e r g e n c y r e c o v e r y p r o j e c t s C a t e g o r y D ) . A s n o te d e a rl ie r , i n t h e U n i t e d

S t a t e s t h e a p p r o a c h h a s b e e n t o d e l i n e a t e c a t e g o r i c a l e x c l u s i o n s f r o m t h e E I A

p r o c e s s .

S c r e e n in g V i a a r e l i m i n a r y S t u d y

Th e s e c o n d f u n d a m e n t a l a p p r o a c h f o r s c r e e n i n g is t o c o n d u c t a p r e l i m i n a r y s t u d y

a n d , p e n d i n g t h e f i n d i n g s o f t h e s t u d y , e i t h e r p r o c e e d t o a c o m p r e h e n s i v e

e n v i r o n m e n t a l i m p a c t s t u d y o r d o c u m e n t t h a t t h e f i n d i n g s o f t h e p r e l im i n a r y

s t u d y w e r e s u c h t h a t a c o m p r e h e n s i v e i m p a c t s t u d y w o u l d n o t b e r e q u i r e d . A s

n o t e d e a r li e r, t h e k e y i s t o d e t e r m i n e i f s i g n i f i c a n t im p a c t s a r e e x p e c t e d . T h r e e

e x a m p l e s f r o m t h e U n i t e d S t a t e s a n d C a n a d a w i l l b e u s e d t o i l l u s t r a t e t h i s

a p p r o a c h . Th e e x a m p l e s t y p i c a l l y i n v o l v e r e v i e w q u e s t i o n s a n d / o r c r it e r ia .

Th r e e c o n s i d e r a t i o n s h a v e b e e n d e l i n e a te d f o r w a t e r r e s o u r c e s p r o j e c t s i n t h e

U n i t e d S ta t e s. S p e c i f ic a l l y , P r i n c i p l e s a n d G u i d e l i n e s 1 9 8 3 ) d e f i n e d s i g n i f i c a n c e

fo r env i ronm enta l qua l i t y E Q ) re sou rces based on ins ti tu ti ona l, pub l i c , and /o r

t e c h n i ca l r e c o g n i t io n . Th e r e l e v a n t d e f i n i ti o n s ar e in c l u d e d i n Ta b l e 3 P r i n c i p l e s

a n d G u i d e l i n e s 1 98 3) . T h e c o n c e p t i s t h a t i f o n e o r m o r e o f t h e s e r e c o g n i t io n

b a s e s i n d i c at e t h a t a n E Q r e s o u r c e o r a ttrib ute i s s i g n i f i c a n t , t h e n t h e i m p a c t s o n

s u c h w o u l d a l s o b e c o n s i d e r e d a s s i g n i f i c a n t .

A n o t h e r e x a m p l e i n v o l v i n g t h e c o n d u c t i o n o f p r e l i m i n a r y s t u d i e s i s t h e

p r o c e d u r e d e v e l o p e d a n d u t i l i z ed i n C a n a d a . F i g u r e 3 i ll u s tr a te s t h e r o le o f

s c r e e n i n g a n d i n i t i a l e n v i r o n m e n t a l e v a l u a t i o n s i n c o n j u n c t i o n w i t h t i l e

e v a l u a t io n o f a p r o je c t F e d e r a l E n v i r o n m e n t a l A s s e s s m e n t R e v i e w O f f i c e 1 9 8 5 )

T h e c o n c e p t o f s c r e e n i n g c a n l e a d t o s o m e p r o p o s a l s b e i n g a u t o m a t i c a l l y

e x c l u d e d a n d s o m e b e i n g a u t o m a t i c a ll y r e f e r re d . S c r e e n i n g p e r m i t s t h e p r o p o n e n t

t o a r r i v e a t o n e o r m o r e o f t h e f o l l o w i n g c o n c l u s i o n s r e l a t i v e t o t h e p o t e n t i a l

i m p a c t s o f t h e p ro p o s a l : 1 ) th e r e a r e i n s i g n i f i c a n t a d v e r s e e ff e c t s ; 2 ) th e r e a r e

s i g n i f i c a n t a d v e r s e e f f e c t s t h a t a re m i t i g a b l e ; 3 ) t h er e a r e s ig n i f i c a n t a d v e r s e

e f f e c t s t h a t m a y o r m a y n o t b e m i t i g a b l e ; 4 ) u n c e r t a i n t y e x i s t s r e l a t i v e t o th e

e n v i r o n m e n t a l e f f e c t s ; 5 ) t h e e f f e c t s a r e u n k n o w n ; o r 6 ) s i g n i f i c a n t a d v e r s e

e f f e c t s a r e a n t i c i p a t e d , a n d / o r s i g n i f i c a n t p u b l i c c o n c e r n e x i s t s , t h u s a n

e n v i r o n m e n t a l i m p a c t s t u d y s h o u l d b e c o n d u c t e d .

B a s e d o n l y o n F i g u r e 3 , i t i s n o t i m m e d i a t e l y o b v i o u s a s t o t h e b a s i s f o r

r e v i e w i n g th e f i n d i n g s o f t h e i n i ti al e n v i r o n m e n t a l e v a l u a t io n a n d d e t e r m i n i n g i f

a c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t s tu d y s h o u l d b e c o n d u ct e d. I n a c co r d a n c e

w i t h t h e p r o c e d u r e s i n C a n a d a , t h e c en tr al c o n s i d e r a t i o n i s a l s o a s s o c i a te d w i t h

d e t e r m i n i n g t h e s i g n i f i c a n c e o f t h e a n t i c i p a t e d i m p a c t s . I n t h e a p p r o a c h u s e d ,



2 8 6 L V~ CANTER AND G A CANTY

T A B L E 3 . I m p a c t S i g n i f i c a n c e C o n s i d e r a t i o n s f o r W a t e r R e s o u r c e s P r o je c t s in

t he U n i t e d S t a t e s ( P r i n c ip l e s a n d G u i d e l i n e s 1 9 8 3 )

I. Significance based on insti tutional recognition means that the impo rtance of an EQ resource or

attribute is acknowledged in the laws, adopted plans, and other policy statements o f gnblic agencies

or private groups. Sources o f institutional recognition include:

(a) Public laws, executive orde rs, rules and regulations, treaties, and other policy statem ents of the

federal government.

(b) Plans and constitutions, law s, directives, resolutions, gube rnatorial directives, and other policy

statements of s tates with jurisdiction in the planning area. Examples are state water and a ir

quality regu lations; state historic preservation plans; state lists of rare, threatened, or

endangered species; and state comprehensive f ish and wildlife management plans.

(e) Law s, plans, codes, ordinances, an d other policy statem ents o f regional an d local public entities

w ith jurisdiction in the planning area. Regional entit ies include riv er basin com missions.

coun cils of gove rnm ent, an d regional planning boards. Local entities include coun ties, districts,

parishes, cities, town s, and villages. Exam ples of these entities sources o f institutional

recogn ition are regional open space plans, county lists of historic sites, and tow n zoning

ordinances.

(d) Charters , bylaws, and formal policy statements of private groups. Ex amples are the National

Audubon Society Blue List of Species, properties of the National Trust for Historic

Preservation, and properties o f the Nature Conservancy.

2. Significance based on public recognition means that some segment of the general public recognizes

the importance of an E Q resource o r attribute. Public recognition m ay take the form of controversy,

support, conflict , or opposition and may be expressed formally (as in official letters) or informally.

Environmentally related customs and traditions should also be considered. EQ resources or attr ibutes

recognized by the public wi ll often change over t ime as public awareness and perceptions chan ge.

3. Significance based on technical recognition means that the impo rtance o f an EQ resource or

attribute is based on scientific or technical know ledge or jud gm en t of crit icaI resource characteristics.

Exam ples are a graveyard recognized by an archeologist as bein g the focal point of a 19th century

community; a rock outcropping identif ied by a landscape architect as being an important scenic

element based on aesthetic-rating criteria; and a meadow identif ied b y a wildlife biologist as the majo r

breeding ground for a deer herd.

b a s i c q u e s t i o n s a r e a s k e d t o d e t e r m i n e t h e s ig n i f i c a n c e o f e c o s y s t e m c o m p o n e n t s

a n d t h e a s s o c i a t e d s i g n i f i c a n c e o f a n t i c i p a t e d i m p a c t s . T a b l e 4 d e l i n e a t e s a

s e q u e n c e o f q u e s t i o n s t h a t c a n b e u s e d t o d e t e r m i n e t h e s ig n i f i c a n c e o f th e

r e s o u r c e a n d a n t i c ip a t e d i m p a c t s , w i t h t h e b a s i c p r e s u m p t i o n f o r t h o s e p ro j e c t s

w i t h r e s o u r c e s o r im p a c t s t h a t a r e d e e m e d t o b e s i g n i f i c a n t , a n e n v i r o n m e n t a l

i m p a c t s t u d y w o u l d b e r e q u i r e d ( F e d e ra l E n v i r o n m e n t a l A s s e s s m e n t R e v i e w

O f f i c e 1 9 8 5 ) . V a l u e d e c o s y s te m c o m p o n e n t s m u s t b e d e t e r m i n e d b e f o r e

s i g n i f i c a n t i m p a c t s c a n b e d i s c u s s e d . T h i s r e q u i r e s e v a l u a t i o n o f t h e p o l i t ic a l ,

l e g a l , p u b l i c , a n d p r o f e s s i o n a l s i g n i f i c a n c e o f e n v i r o n m e n t a l c o m p o n e n t s .

D e t e r m i n a t i o n o f s i g n i f i c a n t i m p a c t a l s o re l a t e s to t h e d e g r e e o f c h a n g e i n v a l u e d

e c o s y s t e m c o m p o n e n t s m e a s u r e d a g a i n s t s o m e s t a n d a r d o r t h re s h o l d . T h i s

r e q u i r e s d e f i n i t i o n o f th e m a g n i t u d e , p r e v a l e n c e , d u r a t i o n , f r e q u e n c y , a n d

l i k e l i h o o d o f p o te n t i a l c h a n g e .



I M P A C T S I G N I F I C A N C E D E T E R M I N A T I O N 8 7

ii

D u r i n g t h e in i t ia l a s s e s s m e n t p h a s e , s c r e e n i n g s e p a r a t e s p r o p o s a ls i n to

s t r e a m s a c c o r d i n g to t h e d e g r e e o f p o t e n ti a l i m p a c t o r u n c e r t a i n t y a b o u t

t h e i m p a c t .

F IG U R E 3. Concept of screening as used in Canada Federal Environmental Assessment

Review Office, 1985).

T o s e r v e a s a fi n a l e x a m p l e , t h e C a l i f o r n i a E n v i r o n m e n t a l Q u a l i ty A c t

C E Q A ) i n t h e U n i t e d S t a t es d e f i n e s a s i g n if i c a n t e f f e c t o n t h e e n v i r o n m e n t a s

a s u b s t a n ti a l o r p o t e n ti a ll y s u b s t a n ti a l a d v e r s e c h a n g e i n t h e p h y s i c a l

e n v i r o n m e n t B a s s a n d H e r s o n 1 99 1). P o t e n ti a l im p a c t s a r e c o n s i d e r e d

s i g n i f i c a n t i f a p r o j e c t w o u l d s u b s t a n t ia l ly : 1 ) d e g r a d e e n v i r o n m e n t a l q u a l i ty ;

2 ) r e d u c e f i s h o r w i l d l i fe h a b i ta t ; 3 ) c a u s e a f i s h o r w i l d l i f e h a b it a t t o d r o p

b e l o w s e l f - s u s t a i n i n g le v e l s ; 4 ) th r e a t e n t o e l i m i n a t e a p l a n t o r a n im a l

c o m m u n i t y ; 5 ) r e d u c e th e n u m b e r s o r r a n g e o f a r a re o r e n d a n g e r e d s p e c ie s ; 6 )

e l im i n a t e i m p o r t a n t e x a m p l e s o f t h e m a j o r p e r io d s o f C a l if o r n i a h is t o ry o r

p r e h i s t o r y ; 7 ) a c h i e v e s h o r t - t e r m g o a l s t o t h e d i s a d v a n t a g e o f l o n g - t e r m g o a l s ;

8 ) h a v e p o s s i b l e e n v i r o n m e n t a l e f f e c t s t h a t a r e i n d i v i d u a l ly l i m i t e d b u t

c u m u l a t i v e l y c o n s i d e r a b l e w h e n v i e w e d in c o n n e c t i o n w i t h p a s t , c u r re n t , a n d

p r o b a b l e f u t u r e p r o j e c ts ; a n d / o r 9 ) h a v e e n v i r o n m e n t a l e f f e c t s t h a t w i l l d i r e c tl y

o r i n d ir e c t ly c a u s e s u b s t a n t ia l a d v e r s e e f f e c t s o n h u m a n b e i n g s . T a b l e 5 c o n t a in s



2 8 8

L ~ E C A N T E R A N D G A C A N T Y

T A B L E 4 . Q u e s t i o n s R e l a t e d t o S i g n i f i c a n c e D e t e r m i n a t i o n i n C a n a d a ( F e d e r a l

E n v i r o n m e n t a l A s s e s s m e n t R e v i e w O f f i c e 1 9 8 5 )

1 . I s t h e e n v i r o n m e n t a l c o m p o n e n t l e g a l l y re c o g n i z e d a s im p o r t a n t ?

e n v i r o n m e n t a l c o m p o n e n t i s i m p o r t a n t i f i t i s s p e c i f i c a l ly p r o t e c t e d b y a la w , p o l i c y , p l a n ,

c o n t r o l , o r r e g u l a t i o n ; o r i s p a r t o f a l e g a l l y d e f i n e d m a n a g e m e n t u n i t ( e .g . , a n a t i o n a l p a r k o r

a n e c o l o g i c a l r e s e r v e ) .

l e v e l o f l e g a l p r o t e c t io n ( i .e . , fe d e r a l , p r o v i n c i a l , r e g i o n a l , o r l o c a l ) a n d t h e t y p e o f p r o t e c t io n

( i .e . , la w , p l a n , p o l i c y , c o n t r o l , o r r e g u l a t i o n ) c a n a f f e c t t h e l e v e l o f im p o r t a n c e .

p r e s e n t l e g a l s t a tu s , t h e p a s t a n d f u t u r e p r e d i c t e d s t a tu s .

e n v i r o n m e n t a l c o m p o n e n t s l e g a l l y id e n t i fi e d a s s i g n if ic a n t a re c o m m o n l y , a l s o p u b l i c ly ,

p o l i t ic a l l y , a n d p r o f e s s i o n a l l y , i d e n t i f ie d a s i m p o r t a n t a n d , a s s u c h , u s u a l l y r a n k h i g h i n

r e l a t i v e i m p o r i a n c e .

2 . I s t h e e n v i ro n m e n t a l c o m p o n e n t p o l i ti c a ll y o r p u b l i c l y r e c o g n i z e d a s s i g n i f ic a n t ?

c o n d i t i o n s a f f e c ti n g r e c o g n i t i o n o f a n e n v i r o n m e n t a l c o m p o n e n t a s p o l i t i c a ll y a n d p u b l i c ly

i m p o r t a n t :

( a ) c o n f l i c t o v e r th e u s e ( s ) ;

( b ) r e s o u r c e a v a i l a b i l i t y a n d s u p p l y , a n d c h a n g e s t o t h a t b a s e ;

( c) d e m a n d a n d c h a n g e s i n d e m a n d ; a n d

( d ) k n o w l e d g e a b o u t t h e c o m p o n e n t a n d c h a n g e s in t h a t k n o w l e d g e .

i m p o r t a n c e c a n b e i d e n ti f ie d b y a n y s e g m e n t o f t h e p u b l ic , a n d t h e im p o r t a n c e m a y b e

p e r c e i v e d r a t h e r t h a n r e a l .

a s s e s s m e n t o f th e im p o r t a n c e o f a n e n v i ro n m e n t a l c o m p o n e n t b a s e d o n p u b l ic i n p u t s h o u l d

c o n s i d e r :

( a) w h o a n d h o w m a n y c o n s i d e r t he e n v i r o n m e n t a l c o m p o n e n t t o b e im p o r t an t ;

( b ) t h e p a s t h i s to r y o f t b e u s e ;

( c ) t h e p u b l i c s e x p e c t a t i o n s o f fu t u r e u s e ;

( d ) v a l u e o f t h e e n v i r o n m e n t a l c o m p o n e n t t o th e p u b l i c (m o n e t a r y a n d o t h e rw i s e ) ; a n d

( e ) r e a l o r p e r c e i v e d i m p o r t a n c e .

3 . I s t h e e n v i r o n m e n t a l c o m p o n e n t p r o f e s s i o n a l l y j u d g e d t o b e i m p o r t a n t ?

p r o f e s s i o n a l j u d g m e n t m a y o f t e n f o r m t h e o n l y b a s i s f o r r e c o g n i z i n g t h e s i g n i fi c a n c e o f a n

e n v i r o n m e n t a l c o m p o n e n t . C a r e f u l d o c u m e n t a t io n o f th a t d e t e r m i n a t io n i s e s s e n ti a l.

k e y a s p e c t s e v a l u a t e d b y t h e p r o f e s s io n a l i n a n a l y z i n g i m p o r t a n c e o f a n e n v i r o n m e n t a l

c o m p o n e n t i n c lu d e :

( a ) p a s t , p r e s e n t , a n d p r o j e c t e d f u t u r e c o n d i t i o n i n th e a s s e s s m e n t a r e a ;

( b ) t h e c o n d i t i o n i n th e e o n t e x t o f t h e lo c a l a r e a , t h e r e g i o n , t h e p r o v i n c e , t h e n a t i o n ;

( c ) t h e s i z e a n d e x t e n t o f th e e n v i r o n m e n t a l c o m p o n e n t ;

( d ) s c a r c i t y ;

( e ) m o n e t a r y v a lu e ; an d

( f) b i o l o g i c a l , p h y s i c a l , a n d s o c i o e c o n o m i c a t t ri b u te s o f t h e e n v i r o n m e n t a l c o m p o n e n t .

a d e t a i l e d l i s t i n g o f e f f e c t s n o r m a l l y c o n s i d e r e d a s s i g n i f i c a n t u n d e r C E Q A

( B a s s a n d H e r s o n 1 9 9 1 ) .

R e v i e w o f S ig n i f ic a n c e D e t e r m i n a t i o n s f r o m V a r i o u s C o u n t r i e s A g e n c i e s

T o o b t a i n f u r t h e r i n f o r m a t i o n o n t h e s i g n i f i c a n c e d e t e r m i n a t i o n p r o c e s s , t h e E I A

r e q u i r e m e n t s o f s e v e r a l c o u n t r i e s a n d a g e n c i e s ( i n c l u d i n g i n t e r n a t i o n a l o r g a n i z a -



IMP CTSIGNIFIC NCEDETERMIN TION 2 8 9

T A B L E 5 . E f f e c ts N o r m a l l y C o n s i d e r e d a s S i g n i f i c a n t B a s e d o n th e C a l i f o r n i a

E n v i r o n m e n t a l Q u a l i t y A c t ( B a s s a n d H e r s o n 1 9 9 1 )

A project w ill normally have a significant environmental effect if i t will:

conflict with adopted environmental plans and comm unity goals;

have a substantial, demonstrable negative aesthetic effect;

substantially interfere w ith the mov ement of resident or migratory f ish or wildlife;

breach published standards relating to solid waste or litter control;

substantially degrade water quality;

contaminate a public water supply;

substantially degrade or deplete ground water resources;

substantially interfere w ith ground water recharge;

disrupt or adversely affect a cultural resource;

induce substantial growth or concentration of populabon;

cause a traffic increase that is substantial in relation to existing street traffic load an d capacity:

displace a large num ber o f people;

encourage activities requiring large am ounts of fuel, water, or energy;

use fuel, water, or energy wastefully;

substantially increase ambient noise levels;

cause substantial flooding, erosion, or siltation;

expose people or s tructures to m ajor geologic hazards;

extend a sew er trunk line w ith capacity to service new developm ent;

substantially dim inis h habitat fo r fish, wildlife, o r plants;

create a potential pu blic health hazard o r expose people or animals and plants Io hazards;

conflict w ith established recreational, educ ational, religious, or scientific uses;

violate any am bient air quality standard, contribute substantially to an existing o r projected air

quality violation, or expose sensitive receptors to substantial pollutant concentrations;

convert prime agricultural land to nonagricultural use or imp air productivity of prime

agricultural land; and

interfere with emergency response plans o r emergency evacuation.

t io n s ) h a v e b e e n r e v i e w e d , a n d t h e d e ta i l s a re p r e se n t e d e l s e w h e r e ( C a n t e r a n d

C a n t y 1 9 9 2 ) . I n t h i s s u r v e y , a r e s o u r c e / i m p a c t w a s d e t e r m i n e d t o b e s i g n i f i c a n t

b a s e d o n t h e p r e p a r a t i o n o f a n E I S o r a s im i l a r f o r m a l d o c u m e n t . T h i s r e v i e w

r e s u l t e d i n t h e d e v e l o p m e n t o f a c a t e g o r i z a t i o n o f th e c o n s i d e r a t i o n s u s e d i n

s i g n i f i c a n c e d e t e r m i n a t i o n . I t w a s f o u n d t h a t s ig n i f i c a n c e d e t e r m i n a t i o n c o u l d b e

c a t e g o r i z e d i n to t w o a p p r o a c h e s b a s e d o n t h e c r i t e r i a u se d . F o r e x a m p l e , a l l

d e c i s i o n s s e e m e d t o b e f o u n d e d u p o n e i th e r p r e d e t e r m i n e d o r j u d g m e n t a l

c r it e ri a . T h e s e t w o m a i n h e a d i n g s c a n b e f u r t h e r s u b d i v i d e d t o i n c l u d e m o r e

s p e c i f i c d e t e r m i n a t i o n f a c t o r s . T a b l e 6 d e l i n e a t e s t h e h i e r a r c h y o f c r i te r i a b a s e d

o n t h i s r e v i e w .

P r e d e t e r m i n e d c r i t e r i a a s l i s te d i n T a b l e 6 r e f e r to p r e e s t a b l i s h e d o r a s s u m e d

t h r e s h o l d s o f s i g n i f i c a n c e t h a t h a v e b e e n c r e a t e d b a s e d o n s p e c i f i c a tt r ib u t e s o f a

p r o j e c t o r f r o m g u i d e l i n e s d e v e l o p e d b y r e g u l a t i n g a g e n c i e s . U s e o f p r e v i o u s l y

d e v e l o p e d c r i te r i a c r e a t e s a d e f i n e d t h r e s h o l d , t h e r e b y a l l o w i n g fo r a s y s t e m a t i c

d e t e r m i n a t i o n , T h i s , in tu r n , r e d u c e s t h e s p e c u l a t io n i n v o l v e d i n d e c i s i o n - m a k i n g .

H o w e v e r , t h e re m a y b e l i m i t a t io n s t o th i s f o r m o f d e t e r m i n a t i o n d u e t o r i g i d



2 9 0 L .V ~ C A N T E R A N D G . A .

C A N T Y

T A B L E 6 H i e r a r c h y o f S i g n i f i c a n c e D e t e r m i n a t io n C r i te r ia

I P R E D E T E R M I N E D C R I T E R IA

A . A T T R I B U T E S O F P R O J E C T

1 Type

2 . S i z e

3 . L o c a t i o n

C a ) u r b a n / r u r a l

b ) n a t i o n a l p a r k

c ) h i s t o r i c s it e

d ) a r c h a e o l o g i c a l

e ) s e n s i t i v e a r e a

i ) w e t l a n d s

i i ) t i d a l a r e a

i i i ) p r e s e r v e s

i v ) f l o o d p l a i n

v ) c o r a l r e e f

f ) s c i e n c e v a l u e

g ) e d u c a t i o n a l

h ) d e e p s c o p e

i ) f a r m l a n d s

j ) r e s i d e n t i a l

4 . C o s t

5 . R e s o u r c e s

a ) l o s s o f r e s o u r c e

b ) l a r g e s c a l e e n e r g y u s e

c ) i r r e v e r si b le c o m m i t m e n t

B . G U I D E L I N E S / R E G U L A T I O N S

1 . M a n d a t e d S i g n i f i c a n c e

2 . C a t e g o r i c a l E x c l u s i o n

3 . E s t a b l is h e d L a w s / P o l ic i e s

a ) e n d a n g e r e d s p e c i e s l a w

b ) w e t l a n d s p r o te c t io n l a w

I I .

J U D G M E N T A L C R F F E RI A

A . E N V I R O N M E N T A L C O N S I D E R A T I O N S

1 . N a t u r a l E n v i r o n m e n t e c o l o g y )

a ) w a t e r

b ) a i r

c ) s o i l

d ) f l o ra a n d f a u n a

C e ) p o l l u t i o n

0 m i c r o c l i m a t e

g ) e n d a n g e r e d s p e c i e s

B .

C .

2 . H u m a n E n v i ro n m e n t

C a ) h e a l t h a n d s a f e t y

i ) n u i s a n c e s

1 ) n o i s e

2 ) s m e l l s

3 ) v i b r a t i o n

i i ) h a z a r d o u s

i i i ) h e a l t h r is k s

i v ) n a t u r a l c a l a m i t y

b ) w a s t e d i s p o s a l

c ) s o c i a l

i ) a e s t h e t i c s

i i ) r e c r e a t i o n

i i i ) l i v e l i h o o d

i v ) l i fe s t y l e m o d i f i c a t i o n

v ) q u a l i t y o f li f e

d ) c u l t u r a l

i ) r e l i g i o u s

e ) p o p u l a t i o n

i ) g r o w t h

i i ) d i s t r i b u t i o n

i i i ) d i s p l a c e m e n t

D I S C R E T I O N O F D E C I S IO N - M A K E R

1 . S e n s i t i v i t y o f I s s u e / P r o j e c t

2 . I m p o r t a n c e o f I ss u e / P r o j e c t

3 . C o n t r o v e r s i a l

4 . C o n t e x t

5 . E x e c u t i v e A u t h o r i ty

6 . L a n d u s e C o n f l i c t

7 . P r e c e d e n c e S e t t i n g

8 . S h o r t - t e r m U s e v s . L o n g - t e rm U s e

I M P A C T B A S I S

1 . S i z e

2 . T y p e

a ) a d v e r s e

b ) b e n e f i c i a l

c ) d i r e c t v s . i n d i r e c t

3 . C o m p l e x i t y

4 . D u r a t i o n

5 . I n t e n s i t y

t h r e s h o l d s . I n s o m e c a s e s t h e r e m a y b e p r o j e c t s a c t i o n s ) w i t h s i g n i f i c a n t i m p a c t s

o r r e s o u r c e s , b u t t h e y a r e b e l o w t h e e s t a b l i s h e d l e v e l a n d , t h e r e f o r e , a r e e x c l u d e d

f r o m a s s e s s m e n t .



IMPACT SIGNIFICANCE DETERMINATION 29

T h e s e c o n d d i v i s i o n i n T a b l e 6 r e f e r s t o j u d g m e n t c r i t e r i a . D i f f e r e n t a c t i o n s

h a v e e x t e n u a t i n g c i r c u m s t a n c e s t h a t w i l l r e q u i r e d e c i s i o n s t o b e m a d e b a s e d o n

a n a l y s i s a n d p r o f e s s i o n a l d i s c r e t io n . I n t h i s i n s t a n c e , th e r e a r e f a c t o r s th a t c a n b e

p a r t i a ll y q u a n t i f i e d ( s u c h a s e f f e c t s o n h u m a n a n d n a tu r a l e n v i r o n m e n t s a n d t h e

d e s c r i p t i o n o f t h e i m p a c t ) , a n d f a c t o r s th a t c a n n o t b e q u a n t i f ie d , w h i c h r e q u i r e

p e r s o n a l o p i n i o n s o r j u d g m e n t s . E i t h e r c a s e ca n b e u s e d f o r d e f i n i n g s i g n i f ic a n c e .

J u d g m e n t c r i te r i a i n c lu d e e f f e c t s o n t h e e n v i r o n m e n t , a n d d e c i s io n s b a s e d o n

t h e d i s c re t io n o f t h e d e c i s i o n - m a k e r , a n d o n a n i m p a c t b a s i s . T h e

e n v i r o n m e n t i s c o m m o n l y u s e d i n s i g n i f i c a n c e d e t e rm i n a t i o n s ; t h is i n c lu d e s b o t h

t h e n a t u r a l a n d h u m a n s u r r o u n d i n g s .

Th e r e a r e s e v e r a l o p p o r t u n i t i e s f o r d e c i s i o n - m a k e r d is c r e t io n t o a r i s e w i t h i n a

p r o p o s e d a c ti o n . A c t i o n s in v o l v i n g e n v i r o n m e n t a l i s s u e s m a y c o m p r i s e

n u m e r o u s i d e a s , u s e s , a n d p l a n s t h a t c r e a t e c o n t r o v e r s y . D i f f e r e n t s e t t in g s , s u c h

a s l o c a l , r e g i o n a l , n a t i o n a l , a n d i n t e r n a t i o n a l , c a n c o n f o u n d t h e p r o b l e m .

T h e r e f o r e , s i g n i f i c a n c e is s o m e t i m e s b a s e d o n p r o f e s si o n a l j u d g m e n t , e x e c u t i v e

a u t h o r i ty , t h e i m p o r t a n c e o f t h e p r o j e c t /i s s u e , s e n s i t i v i t y o f t h e p r o je c t /i s s u e , a n d

c o n t e x t ; o r b y t h e c o n t r o v e r s y r a i s e d . D e c i s i o n s o f s i g n i f i c a n c e w i l l n o t

n e c e s s a r il y b e d e t e r m i n e d o n v e r i fi a b l e e v i d e n c e , b u t m a y i n c lu d e i n t u i t io n .

F i n a l l y , t h e c h a r a c t e r i s t i c s o f i m p a c t s r e s u l t i n g f r o m a p r o j e c t c a n b e u s e d f o r

s i g n i f i c a n c e a s s e s s m e n t . D e s c r i b i n g t h e i m p a c t s i n t e r m s o f t y p e , s c a l e ,

c o m p l e x i t y , i n t e n s i t y , a n d d u r a t i o n d e v e l o p s a b a s i s f o r c o m p a r i s o n a n d t h e

a p p l ic a ti o n o f j u d g m e n t .

T a b l e 7 i n c l u d e s a c o m p i l a t io n o f c o n s i d e r a t io n s i n t h e s i g n i f i c a n c e

d e f i n i t i o n s f r o m s e v e r a l c o u n t r i e s a n d a g e n c i e s / o r g a n i z a t i o n s . A s c a n b e s e e n ,

t h e r e is n o c o m m o n a l i t y o f d e f i n i t io n s ; t h u s , t h is le a d s t o e n v i r o n m e n t a l i m p a c t

s t u d i e s b e i n g i n c o n s i s t e n tl y c o n d u c t e d f r o m c o u n t r y - t o - c o u n t r y , a n d w i t h in a

c o u n t r y f r o m a g e n c y - t o - a g e n c y . H o w e v e r , i f t h e p r in c i pl e o f a c a s e - b y - c a se

a n a l y s i s i s c o n s i d e r e d a l o n g w i t h d i f f e r i n g p u b l i c v a l u e s i n d i f f e r e n t

g e o g r a p h i c a l l o c a ti o n s , a u n i f o r m d e f i n i ti o n t h a t w o u l d s u f f i c e f o r a ll p r o je c t s i n

a ll l o c a t io n s w o u l d b e i n a p p r o p r ia t e . T h e i n f o r m a t i o n i n T a b le 7 i s b a s e d o n

r e c e n t l i te r a t u r e a n d r e p o r t s a l o n g w i t h s o m e i n t e r p r e ta t i o n ; t h e l it e r a tu r e u s e d a s

a b a s i s fo r T a b l e 7 in c l u d e d A s i a n D e v e l o p m e n t B a n k ( 1 9 8 8 ) , B o s h a r d a n d

S t a v e l e y ( 1 9 8 1 ) , C u t r e r a ( 1 9 9 0 ) , D u f f y ( 1 9 8 6 ) , E I N D e p a r t m e n t ( 1 9 8 4 ) ,

E n v i r o n m e n t a l L a w I n s t it u te ( 1 9 89 ) , E u r o p e a n C o m m u n i t i e s ( 1 9 8 5) , G i l p i n a n d

L e w i s (1 9 9 0 ) , L o h a n i ( 1 9 8 6 ), M i n i s tr y o f H o u s i n g , P h y s i c a l P l a n n i n g a n d

E n v i r o n m e n t ( 1 9 8 4 ) , R a m a n ( 1 9 8 3 ) , S r o d o w i s k a ( 1 9 8 5 ) , W a t h e m ( 1 9 8 8 ) ,

W e l s h O f f i c e (1 9 8 9 ), a n d W h i t a k e r ( 1 9 8 3 ).

S i g n if ic a n c e D e t e r m i n a t i o n V i a a S e q u e n c e d p p r o a c h

B a s e d u p o n t h e a b o v e r e v i e w s a n d e x a m p l e s , a s e q u e n c e d a p p r o a c h f o r i m p a c t

s i g n i f i c a n c e d e t e r m i n a t io n i s s u g g e s t e d . A s e q u e n c e d a p p r o a c h s u g g e s t s s e v er a l

l e v e l s o f c o n s i d e r a t io n i n d e t e r m i n i n g t h e p o t en t ia l s i g n i f i c a n c e o f i m p a c t s f r o m

a p r o p o s e d f e d e r a l a ct io n . T h i s s e q u e n c e d a p p r o a c h c a n b e a c h i e v e d v i a a p p l y i n g



2 9 2 L . ~ C A N T E R A N D G .A . C A NT Y

T A B L E 7 C o n s i d e r a t io n s i n S i g n i f i c a n c e D e f i n i t io n s f r o m V a r i o u s C o u n t r i es

a n d O t h e r G r o u p s

ASIAN DEVELOPMENT BANK

Br oa d l i s t ing of typ es of pro jec t s (wi th reference to s ize) that are considered s igni ficant .

BELGIUM

Wallonia:

Signif icance i s base d on typ e and s ize of the pro ject, socia l cons iderations, and h eal th an d

saf ety effects .

Flaunders: T h e F l e m i s h E x e c u t i v e h a s a u t h o r i t y to d e t e r m i n e w h i c h p r o j e c t s r eq u ir e E I A a nd ,

therefore , w hich a ct ion i s signif icant . Th is determination i s base d on the locat ion of the pro ject ,

ec on om ica l an d socia l impacts , hea l th and safe ty ef fect s, and the importance of the pro ject.

BRAZIL

Th ere are d i rect ives that provide a l i s t o f the activ it ies for w hich E IA m ust be submi t ted (pro ject t yp e

an d s i ze ) .

CHINA

Signif icance i s def ined by th e type of pro ject, bu t th i s is in regard to locat ion , environmental impacts ,

socia l cons iderations, and h eal th and sa fety effects .

COLOMBIA

Th ere i s a formal E IA proce ss wh ich has a l i s t o f pro ject s that require envi ronmental imp act

s ta tements , P ro ject s included are based on type, pub l ic he al th ef fect s, nonrenewable resource

development , and imp acts on wate r quali ty .

DENMARK

En vi ro nm enta l im pac t procedures are not spe ci f ica l ly inst itu ted , hu t major cons traction pro je ct s

r eq u i r e p e rm i t s f ro m en v iro nm en ta l au t h o r i t i e s - - i t can b e a s s u m ed t h a t a t y p e an d s i ze s ig n if ican ce

determinat ion is used.

EUROPEAN COMMUNITY EC)

Spe ci f ic pro ject s w i th threshold leve l s are inehided on a l i s t in g of mandatory s igni ficance. Th is l i s t i s

based on type , s ize , and loca t ion of pro ject .

FRANCE

Th ere i s a l i s t i n g o f g e n e ra l an d s p ec i f i c t y p e s (wi t h s i ze r e fe ren ce ) o f p ro j ec t s w i t h m an d at ory

s igni ficance. O ther decis ions are ma de based o n: im por tanc e of pro ject, po te nt ia l environmental

effe ct s , and a mo neta ry threshold . Pote nt ia l envi ronmental ef fect s includ e the natu ral an d huma n

surroundings (environment) . Fur ther , th e M inis t r y of the Envi ronment m ay develo p im pac t s tudie s on

i ts ow n ini tiat ive.

GERMANY FEDERAL REPUBLIC)

EI A i s n o t q u i t e fo m m l i ze d ; t h e F ed era l C o u n c i l v iewp o in t i s i nco n si st en t an d con tr adi ct ory .

H o w e v e r , s i g n i f ic a n c e i s b a se d o n A p p e n d i x l P r o j e c ts ( E C ) a n d t y p e a n d s i z e o f t h e a cti on .



IM P AC TS IGNIF IC ANC EDETER M INATION 93

TABL E 7 Considerations in Significance Definitions from Various Coun tries

and Other Groups

~co ~a ~a~

INDI

N o formal requirement , bu t informal E IA procedure. P r im ary cons ideration i s g iven to locat ion of the

pro ject , socia l a nd ecolo gic al imp acts , and he al th and s afety concerns . Th ere i s a l so a monetary

threshold.

IR N

Th ere i s no specif ic l aw cover ing EIA , but there i s l eg i s la t ion cov er ing environmental pro tect ion . Th e

De p ar t m en t o f t h e En v i ro n m en t d e t e rm i n es i f p ro j ec t s req u ir e E IA . S i x ca t eg o r i e s o f p ro jec ts h av e

bee n def ined that require EIA .

IRISH REPUBLIC

S ig n if ican ce i s r e s t r i c t ed t o la rg e - s ca l e in d u st ry , ac t i o n s t h a t i m p ac t t h e en v iro nm en t ( . . . r e s u l t i n

en v iro nm en ta l e m i s s i o n s . . . ) an d p ro j ec t s co s t i n g m o re th an a sp ec if ied am o u n t. On l y p roj ec ts t h a t

requ i re p lan ning permission are cons idered in s igni ficance determinations. Som e considerat ion for the

EC Di rec t i v e h as b een g i v en.

IT LY

Act ions l i s ted in Ap pen dix I of the E C Direct ive , a lon g w i th a few addit ional pro jects , are

predetermined to be significant . Th er e is als o reg ard for environmental factors, locat ion o f project, and

heal th and safety concerns .

MEXICO

Le g a l p rov is io n s fo r E1 A ex i s t i n M e x i c o ; g u i d e l i n es h av e a b road en v iro nm en ta l s cop e . E IA

sign i f ican ce is app l ied (determined) in accordance wi th the type, location , and potent ia l im pac t of the

project.

NETHERL NDS

Signif icance i s dete rm ined based on th e nature , s cale and locat ion of pro ject s, socia l concerns , hea l th

an d safety ef fect s, an d imp acts on the environment .

P KIST N

N o formal requirement , bu t informal procedure. E IA is required on a project-type basis .

P PU NEW GUINE

N o formal requirement , bu t informal E IA procedure . Tw o specif ic pro ject types, m ining and

hydroelect ric , hav e ad hoe EIA .

PERU

N o envi ronmental po l ic y law . Cu rrent leg i s la t ion dea l s w i th environmental problems, ma in ly

p o ll ut io n f ro m m i n i n g o pe rat io n s. Th e fo cu s h as b een l i m i t ed t o s pec if ic eco l o g i ca l f ac t o r s - -w a t e r

an d a i r q u a l i t y .



2 9 4 L W C A N T E R A N D G .A . C A NT Y

T A B L E 7 C o n s i d e r a t i o n s i n S i g n i f i c a n c e D e f i n i t i o n s f r o m V a r i o u s C o u n t r i es

a n d O t h e r G r o u p s

Continued)

S P I N

In s igni f ican ce determinat ion , the natur e and locat io n o f the pro ject, and the ef fects on the natural an d

h u m an env iro nm en t, a r e co n si de red . S o m e m and a to ry s i ~ i f i c an ce h as b een as s i g n ed t o ce rt ai n E C

D irec t ive pro ject s.

S R I L A N K A

N o formal requirement , bu t informal precedure. E IA reports are required f or manufacturing projects

i n F ree T rad e Z o n e ,

U N I T E D K I N G D O M

R e cen t ad o p t i o n o f an E I A P ro ced u re 1 9 8 8 ) h as r equ ir ed ce r t a i n p ro jec ts b y v i rt ue o f th e i r n a tu re,

s ize , and loca t ion to he cons idered s igni ficant . Th ere i s a l so considerat ion for the natu ral environment ,

socia l concerns , and the nature and m ag ni tud e of impacts . In addi tion , cer ta in p ro jec t s require

m an d a to ry E IA , b as ed o n t h e E C Di rec ti ve .

U R U G U Y

N o l eg a l p rov is io n s fo r E IA ; ho wev er, p r i v a t e an d p u b l i c o rg an i za t i o n s m ay as k fo r p ro j ec t ev al ua ti on .

Sev eral E IA s hav e bee n com pleted on agro- indus try pro ject s, touri st p ro jects , and dam s.

F O R M E R U S SR

A ll ne w enterpri ses and renovat ion of ex i s t ing faci li ti es are required by leg i s la t ion to ex am ine impa cts

o n a i r , w a t e r , an d t h e h u m an en v iro nm en t.

V E N E Z U E L

Th ere i s a l egal sys tem and inst itu tional f ramework for the pro tect ion , conservat ion , and enhancement

of the envi ronment . E IA i s required for pro ject s that wi l l p roduce e i the r quali ta t ive or quant it a tive

s i g n i f i can t i m p ac t s ; t h i s i s i n r e la ti on t o s i ze an d l o ca t i o n o f p ro jec ts . M o s t E IA s co n ce rn wa t e r

m an age m en t pro ject s, m ining , o i l exploration , and coas ta l developments .

W L E S

Th ere a re t h ree m a i n c r i t e r i a o f s i g ni fi can ce :

1 ) c o n t e x t o f p r o j e c t w i t h a t t e n ti o n to p h y s i c a l s i z e ;

2) loc at io n o f pro jec t part icularly in sensi tive environs, i .e. , pa rks ); an d

3) potent ial effects on na tura l an d hu m an environments, i .e., pol lution.

A lso , there i s a specia l l i s t o f pr o jec t s that require E IA and a l i s t that i s dependent on the s iz e , locat ion ,

o r s ca l e o f t h e p ro jec t.

W O R L D B N K

Pro ject s are screened for s igni f ica nce based on nature , magni tude, and sen s i t iv i ty of the envi ronmental

i ssue. O ther factors , suc h as envi ronmental m ana gem ent capab i l i ty in the country are cons idered .

Th e re i s a l i s t i n g o f t y p e s o f p ro j ec t s t h a t a r e s i gn if ican t.



IMP CT SIGNIFIC NCE DETERMIN TION 95

t h e s e r i e s o f q u e s t i o n s a s f o l lo w s i n t h e o r d e r s h o w n ( th e a n s w e r s to a n y q u e s t i o n s

c a n b e u s e d t o d e te r m i n e i f a n E I S s h o u l d b e p r e p a r e d ):

1 . D o e s th e p r o p o s e d p r o j e c t , p l a n , p r o g r a m , a n d / o r p o l i c y c a u s e i m p a c t s t h a t

e x c e e d t h e d e f i n i ti o n o f s i g n i f ic a n t i m p a c t s a s c o n t a i n e d i n p e r t in e n t l a w s ,

r e g u l a ti o n s o r e x e c u t i v e o r d e r s ?

2 . I s a q u a n t i t a ti v e t h r e s h o l d c r i te r i o n e x c e e d e d i n t e r m s o f p r o j e c t , p la n , o r

p r o g r a m t y p e, s i ze , o r c o s t ?

3 . I s t h e p r o j e c t , p l a n o r p r o g r a m l o c a t e d i n a p r o t e c t e d h a b i t a t o r l a n d - u s e

z o n e , o r w i t h i n a n e x c l u s i o n a r y z o n e r e l a t i v e t o l a n d u s a g e ? I s t h e

e n v i r o n m e n t a l r e s o u r c e t o b e a f f e c t e d a s i g n i f ic a n t r e s o u r c e ?

4 . I s t h e p r o p o s e d p r o j e c t , p l a n , p r o g r a m a n d / o r p o l i c y e x p e c t e d t o b e i n

c o m p l i a n c e w i t h p e r t i n e n t e n v i r o n m e n t a l l a w s , r e g u l a t i o n s , p o l i c i e s ,

a n d / o r e x e c u t i v e o r d e r s ?

5 . Wh a t i s t h e a n t ic i p a t e d p e r c e n t a g e c h a n g e i n p e r t i n e n t e n v i r o n m e n t a l

f a c t o r s f r o m t h e p r o p o s e d p r o je c t, p l a n, o r p r o g r a m , a n d w i ll th e c h a n g e s

b e w i t h i n t h e n o r m a l v a r i a b i l i t y o f t h e f a c t o r s ? Wh a t i s t h e s e n s i t i v i t y o f

t h e e n v i r o n m e n t t o t h e a n t i c i p a t e d c h a n g e s ; o r i s t h e e n v i r o n m e n t

s u s c e p t ib l e o r r e s i li e n t t o c h a n g e s ? W i l l t h e c a r ry i n g c a p a c i t y o f t h e

r e s o u r c e b e e x c e e d e d ?

6 . A r e t h e r e s e n s i t i v e h u m a n , l i v i n g , o r i n a n i m a t e r e c e p to r s t o t h e

e n v i r o n m e n t a l s t r e ss e s f r o m t h e p r o p o s e d p r o je c t, p l a n, p r o g r a m , a n d / o r

p o l i c y ?

7 . C a n t h e a n t i c i p a t e d n e g a t i v e i m p a c t s b e m i t i g a t e d i n a c o s t - e f f e c t i v e

m a n n e r ?

8 . W h a t i s th e p r o f e s s io n a l j u d g m e n t o f e x p e r ts i n th e p e r ti n e n t s u b s t a n t iv e

a r e a s , s u c h a s w a t e r q u a li t y , e c o l o g y , p l a n n i n g , l a n d s c a p e a r c h i te c t u r e , a n d

a r c h a e o l o g y ?

9 . A r e t h e r e p u b l i c c o n c e r n s d u e t o t h e i m p a c t r i s k s o f th e p r o p o s e d p r o j e c t ,

p l an , p r o g r a m , a n d / o r p o l ic y ?

1 0. A r e t h e re c u m u l a t i v e i m p a c t s t h at s h o u ld b e c o n s i d e r e d o r i m p a c t s re l at e d

t o f u tu r e p h a s e s o f t h e p r o p o s e d a c t io n a n d a s s o c i a t ed c u m u l a t i v e i m p a c ts ?

D e t a i le d s p e c i f i c q u e s t i o n s r e l a te d t o t h e a b o v e t e n g r o u p s o f q u e s t io n s c a n b e

d e v e l o p e d . Ex a m p l e s o f s u c h q u e s t i o n s o r i s s u e s a r e c o n t a i n e d i n Ta b l e s 4 a n d 5 ,

r e s p e c t i v e l y .

O t h e r U s e s o f S i g n if i ca n c e e t e r m i n a t i o n P r o c e s s

T h e f o c u s o f t h i s p a p e r h a s b e e n o n t h e u s e o f t h e s i g n i f i c a n c e d e t e rm i n a t i o n

p r o c e s s t o e s ta b l i s h w h e t h e r o r n o t a c o m p r e h e n s i v e e n v i r o n m e n t a l i m p a c t st u d y

i s n e e d e d o n a p r o p o s e d p r o j e c t , p l a n , p r o g r a m , a n d / o r p o l i c y . Wh i l e t h i s i s t h e

p r i m a r y u s a g e o f th e p r o c e s s , s e v e r a l a d d it io n a l u s e s c a n b e d e l in e a te d ; e x a m p l e s

i n c l u d e : ( 1 ) i d e n t i f y i n g t h e i m p a c t s t h a t s h o u l d b e m i t i g a t e d ; ( 2 ) s e l e c t i n g



296 L .~x/~CANTERAND G.A. CANTY

e n v i r o n m e n t a l v a r i a b l e s fo r m o n i t o r i n g d u r i n g a b a s e l i n e a n d / o r p o s t - E I S

m o n i t o r i n g a n d a u d i t i n g s t u d y ; a n d 3 ) d o c u m e n t i n g t h e i n t e r p r e t iv e r a t i o n a l e

u s e d d u r i n g t h e c o n d u c t i o n o f th e e n v i r o n m e n t a l i m p a c t s tu d y .

This paper is a cond ensed version o f a paper by the sam e authors and with essentially the same ti t le

presented at the 12th Annual Meeting of the International Association for Impact Assessment,

Washington, D.C., August 19-22. 1992.

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c y c l e . A D B E n v i r o n m e n t P a p e r N o . 1 , M a n i l a , T h e P h i li p p in e s , pp . 1 5 - 1 7 .

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O t t a w a , O n t a r i o , C a n a d a .

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