CONTENT AND FORMAT INITIAL ENVIRONMENTAL EXAMINATION (IEE)

CONTENT AND FORMAT
INITIAL ENVIRONMENTAL EXAMINATION (IEE)
Introduction
IEE is an important tool for incorporating environmental concerns at the project level.
IEE should be carried out as early as the project planning stage as part of feasibility thus it can
assure that the project will be environmentally feasible. The general objectives of IEE study
should at least cover the following:
(i) to provide information about the general environmental settings of the project
area as baseline data;
(ii) to provide information on potential impacts of the project and the characteristic
of the impacts, magnitude, distribution, who will be the affected group, and
their duration;
(iii) to provide information on potential mitigation measures to minimize the impact
including mitigation costs;
(iv) to assess the best alternative project at most benefits and least costs in terms
of financial, social, and environment. It is not always necessary to change
location of the project, but it can be changed in project design or project
management; and
(v) to provide basic information for formulating management and monitoring plan
The IEE is conducted if the project is likely to have minor or limited impacts, which can
easily be predicted and evaluated, and for which mitigation measures are prescribed easily.
However, the IEE is also used to confirm whether this is, indeed, requires an EIA (see
Appendix 2) as a follow up.
The Process in Preparing IEE
An early step is to determine the scope of the IEE study. This activity is known as
“scoping” as a procedure designed to establish the terms of reference (TOR) for the IEE. The
scoping procedure should at least produce the following outputs:
(i) identify the likely environmental impacts or other environmental concerns and
consideration that need to be further investigated in IEE study
(ii) identify environmental component which need detailed or further study
(iii) determine the general approach and methodology required to carry out the IEE study
(iv) identify in general all affected interest to be consulted in carrying out IEE study
(v) identify the need to fit the outputs of IEE into the project context especially on
environmental management and monitoring plan
The next step is undertaking IEE study, and the following are key important activities:
1. Describing Environmental Condition of the Project Area
Collection of baseline information on biophysical, social and economic aspects of the
project area is the most important reference for conducting IEE study. The description of
environmental settings includes the characteristic of area in which the activity of proposed
project would occur and it should cover area affected by all impacts including potential
compensation area, and potential area affected by its alternatives. Normally, information is
obtained from secondary sources when there is a facility of maintaining database, or other
existing documentation, and through field sampling. Collection of baseline data should be
designed to satisfy information requirements and should focused on relevant aspects that are
likely to be affected by the proposed project. Therefore, the level of detail in this description of
study area should be sufficient to convey to readers nature of environmental and social
resources condition of the affected areas.
2. Assessing Potential Impact
The "technical heart" of the environmental assessment process involves the prediction of
changes over time in various environmental aspects as a result of a proposed project. The
prediction of the nature, extent, and magnitude of environmental changes likely to result from a
proposed project is aided by various tools and techniques, the choice of which depends upon
the impacts of concern, data availability or lack thereof, and the appropriate specificity of
quantitative models. However, the choice of the appropriate method for conducting an
environmental assessment can only be guided by certain criteria, but no single method will meet
all the necessary criteria. In addition, the prediction has to be based on established scientific
knowledge that is still very limited in ecosystems in most DMCs. For this reason, the prediction
of ecological changes and their impacts often does not generate concrete conclusions on the
magnitude of the impacts.
3. Formulating Mitigation Measures
Once the impacts have been analyzed, their significance will be determined, i.e.,
whether they are acceptable, require mitigation, or are unacceptable. Subsequently, measures
will be devised to mitigate anticipated environmental changes and consequential impacts during
project implementation and operation, or further reduce the residual environmental changes
inherent in the selected project design. They normally include technical, social, and institutional
measures to be implemented as integral elements of the project. Examples are sound operating
rules of a reservoir to ensure minimum impacts on downstream water users, and installation of
an electrostatic precipitator to remove fly ash in a coal-fired power plant project, and adequate
drainage system in an irrigation project.
4. Preparing the Institutional Requirements and Environmental
Monitoring Plan
Environmental management involves the implementation of environmental protection
and mitigation measures and monitoring for significant environmental impacts. Environmental
protection measures are taken to: (i) mitigate environmental impacts, (ii) provide in-kind
compensation for lost environmental resources, or (iii) enhance environmental resources. These
measures are usually set out in a plan, which covers all phases of the project from preconstruction
through decommissioning, and outlines mitigation and other measures that will be
undertaken to ensure compliance with environmental regulations and reduce or eliminate
adverse impacts. The basic implementation arrangements should be presented - taking
account of the local conditions. Responsibilities for mitigation and monitoring shall be defined
along with arrangements for information flow, and for coordination between agencies
responsible for mitigation A plan should specifies who/which agency is responsible for
undertaking the mitigating and monitoring measures, e.g., for enforcement of remedial actions,
monitoring, training, and financing. A third party may be contracted in case the local authorities’
capacity is limited. Institutional strengthening activities may be proposed, including
establishment of appropriate organization arrangements; appointment of key staff and
consultants; and arrangements for counterpart funding.
Environmental monitoring involves: (i) planning a survey and sampling program for
systematic collection of data/information relevant to environmental assessment and project
environmental management; (ii) conduct of the survey and sampling program; (iii) analysis of
samples and data/information collected, and interpretation of data and information; and (iv)
preparation of reports to support environmental management. Environmental monitoring is
normally carried out before and during planning to establish baseline data needed for
Environmental assessment and evaluating environmental impacts during project
implementation. It continues through project operation to detect changes in the key
environmental quality parameters, which can be attributed to the project. The results of the
monitoring program are used to evaluate the following: (i) extent and severity of the
environmental impacts against the predicted impacts; (ii) performance of the environmental
protection measures or compliance with pertinent rules and regulations; (iii) trends in impacts;
and (iv) overall effectiveness of the project environmental protection measures.
Environmental monitoring should have clear objectives, and the survey and sampling
program custom-designed to focus on data/information actually required to meet the objectives.
In addition, the design of the monitoring program has to take into account its practicability
considering the technical, financial, and management capability of the institutions that will carry
out the program and period of monitoring that will be needed to achieve the objectives (see
Table 1). The monitoring program should include action or emergency plans so that appropriate
action can be taken in the event of adverse monitoring results or trends. It should also be
constantly reviewed to make sure that it is effective, and determine when it can be stopped.
Table 1: Features of an Effective Environmental Monitoring Plan
· Realistic sampling program (temporal and spatial)
· Sampling methods relevant to source
· Collection of quality data
· Comparable new data with other relevant data used in environmental assessment
· Cost-effective data collection
· Quality control in measurement and analysis
· Innovations (e.g., in tracing contaminants and automated stations)
· Appropriate databases
· Multidisciplinary data interpretation to provide useful information
· Reporting for internal management and external checks
· Allowance for, and response to, input from third parties
· Presentation in the public arena (external assessment)
Both the environmental management and monitoring plans need to include who will
implement them, when, and where. The capacity of the executing agency, local government,
and community organization should be reviewed to identify feasible approach for implementing
the plans. The project lifecycle should be taken into account in setting the timing of
implementation. For example, plans should environmental mitigation measures should be
implemented in the engineering design for the contract documents, and materials to be avoided
in procurement, among others. On the other hand, the location for monitoring should be
selected based on where the impacts would occur, and the areas to be affected. To ensure that
the environmental management and monitoring plans will be implemented, it is necessary to
identify the key management issues to be included as a requirement either as a loan covenant
or conditions for implementing the project.
Documenting IEE Studies
IEE reports and their summaries (SIEE) should be presented in certain way to meet the
requirements of ADB and the DMC. However, wherever possible, ADB requests that the
Borrower follow ADB-prescribed format for IEE. This is to ensure that environmental
assessment results are presented in a clear and concise fashion to contribute most effectively to
decision-making. However, if several other financial institutions fund the proposed Project in the
form of co-financing modality, it is necessary for ADB to come up with an agreement with those
institutions on IEE reporting requirement. In this context, it is necessary to ensure that the
content of the IEE reports cover all issues required by ADB. Although the presentation of the
IEE report may not follow ADB’s standard, it is necessary to ensure that the SIEE should be
formulated and presented in accordance to ADB’s guideline.
1. Initial Environmental Examination
The content and format of the IEE report is in Table 2. If the approved IEE concludes
that the project will not have any significant adverse environmental impacts, then the
environmental assessment is deemed complete. If there are unresolved issues, the
recommendation should be either that further studies be undertaken to resolve the issues, or
that a full EIA is required.
Table 2: Outline of an IEE Report
A. Introduction
B. Description of the Project
C. Description of the Environment
D. Screening of Potential Environmental Impacts and Mitigation Measures
E. Institutional Requirements and Environmental Monitoring Plan
F. Public Consultation and Information Disclosure
G. Findings and Recommendation
H. Conclusions
a. Introduction
1. This section usually includes the following:
(i) purpose of the report, including (a) identification of the project and project
proponent; (b) brief description of the nature, size, and location of the project and
of its importance to the country; and (c) any other pertinent background
information; and
(ii) Extent of the IEE study: scope of study, magnitude of effort, person or agency
performing the study, and acknowledgement.
b. Description of the Project
2. Furnish sufficient details to give a brief but clear picture of the following (include only
applicable items):
(i) type of project;
(ii) category of Project;
(iii) need for project;
(iii) location (use maps showing general location, specific location, and project site);
(iv) size or magnitude of operation;
(v) proposed schedule for implementation; and
(vi) descriptions of the project, including drawings showing project layout, and project
components. This information should be of the same type and extent as is
included in feasibility reports for proposed projects to give a clear picture of the
project and its operations.
c. Description of the Environment
3. Furnish sufficient information to give a brief but clear picture of the existing environmental
resources in the area affected by the project, including the following (to the extent applicable):
(i) Physical Resources: (e.g.)
§ atmosphere (e.g. air quality and climate)
§ topography and soils,
§ surface water
§ groundwater
§ geology/seismology.
(ii) Ecological Resources: (e.g.)
§ fisheries
§ aquatic biology
§ wildlife
§ forests
§ rare or endangered species
§ protected areas
§ coastal resources
(iii) Economic Development: (e.g.)
§ industries
§ infrastructure facilities (e.g. water supply, sewerage, flood control)
§ transportation (roads, harbors, airports, and navigation)
§ land use (e.g. dedicated area uses)
§ power sources and transmission
§ agricultural development, mineral development, and tourism facilities
(iv) Social and Cultural Resources: (e.g.)
§ population and communities (e.g. numbers, locations, composition,
employment)
§ health facilities
§ education facilities
§ socio-economic conditions (e.g. community structure, family structure, social
well being)
§ physical or cultural heritage
§ current use of lands and resources for traditional purposes by Indigenous
Peoples
§ structures or sites that are of historical, archaeological, paleontological, or
architectural significance.
d. Screening of Potential Environmental Impacts and Mitigation
Measures
4. Using the checklist of environmental parameters for different sector projects, this section will
screen out “no significant impacts” from those with significant adverse impact by reviewing each
relevant parameter according to the following factors or operational stages. Mitigation
measures, where appropriate, will also be recommended environmental problems due to project
location, and related to project design, construction, and operations. Potential environmental
enhancement measures and additional considerations will also be covered.
e. Institutional Requirements and Environmental Monitoring
Plan
5. This section should state the impacts to be mitigated, and activities to implement the
mitigation measures, including how, when, and where they will be implemented. Institutional
arrangements for implementation should be described. The environmental monitoring plan will
describe the impacts to be monitored, and when and where monitoring activities will be carried
out, and who will carry them out. The environmental management and monitoring costs should
also be described.
f. Public Consultation and Information Disclosure
21. This section will describe the process undertaken to involve the public in project design
and recommended measures for continuing public participation; summarize major comments
received from beneficiaries, local officials, community leaders, NGOs, and others, and describe
how these comments were addressed; list milestones in public involvement such as dates,
attendance, and topics of public meetings; list recipients of this document and other project
related documents; describe compliance with relevant regulatory requirements for public
participation; and summarize other related materials or activities, such as press releases and
notifications. This section will provide of summary of information disclosed to date and
procedures for future disclosure.
g. Findings and Recommendations
22. This section will include an evaluation of the screening process and recommendation will
be provided whether significant environmental impacts exist needing further detailed study or
EIA. If there is no need for further study, the IEE itself, which at times may need to be
supplemented by a special study in view of limited but significant impacts, becomes the
completed environmental assessment for the project and no follow-up EIA will be needed. If an
EIA is needed, then this section will include a brief terms of reference (TOR) for the needed
follow-up EIA, including approximate descriptions of work tasks, professional skills required,
time required, and estimated costs. The Bank's Environment Guidelines provides a guide for
preparing the TOR for different projects.
h. Conclusions
23. This section will discuss the result of the IEE and justification, if any, of the need for
additional study or EIA. If an IEE, or an IEE supplemented by a special study, is sufficient for
the project, then the IEE with the recommended institutional and monitoring program becomes
the completed EIA.
2. Summary Initial Environmental Examination Report
6. The summary IEE (SIEE) report is the executive summary of the IEE report. It describes the
significant findings of the IEE report, and recommendations to manage them. The SIEE report
should be presented clearly and concisely as a stand-alone document (see Table 3) for
submission to the Board and disclosure to the public.
Table 3: Outline of an SIEE Report
A. Introduction (1/2 page)
This section will include the purpose of the report, extent of the IEE study and brief description of any special
techniques or methods used.
B. Description of the Project (1/2 page)
This section will include the type of and need for the project; and project location, size or magnitude, operation,
and proposed schedule for implementation.
C. Description of the Environment (2 pages)
This section will include the physical and ecological resources, human and economic development, and quality of
life values.
D. Forecasting Environmental Impacts and Mitigation Measures (2-4 pages)
This section will identify "no significant impacts" from those with significant adverse impacts and will discuss the
appropriate mitigation measures, where necessary.
E. Institutional Requirements and Environmental Monitoring Plan (1 page)
This section will describe the impacts to be mitigated, and activities to implement the mitigation meas ures,
including how, when, and where they will be implemented. The environmental monitoring plan will describe the
impacts to be monitored, and when and where monitoring activities will be carried out, and who will carry them out.
F. Public Consultation and Disclosure
This section will describe the process undertaken to involve the public in project design and recommended
measures for continuing public participation; summarize major comments received from beneficiaries, local
officials, community leaders, NGOs, and others, and describe how these comments were addressed; list
milestones in public involvement such as dates, attendance, and topics of public meetings; list recipients of this
document and other project related documents; describe compliance with relevant regulatory requirements for
public participation; and summarize other related materials or activities, such as press releases and notifications.
This section will provide of summary of information disclosed to date and procedures for future disclosure.
G. Findings and Recommendations (1-2 pages)
This section will include an evaluation of the screening process, and recommendation will be provided whether
significant environmental impacts exist needing further detailed study or EIA. If there is no need for further study,
the IEE itself, which at times may need to be supplemented by a special study in view of some small significant
impacts, becomes the completed EIA for the project and no follow-up EIA will be needed.
If further additional study is needed, then this section will include a brief terms of reference (TOR) for the needed
follow-up EIA, including approximate descriptions of work tasks, professional skills required, time required, and
estimated costs. The Bank's Environment Guidelines provides a guide for preparing the TOR for different projects.
H. Conclusions (1/2 page)
This section will discuss the result of the IEE and justification if any of the need for additional study or EIA. If an
IEE or an IEE supplemented by a special study is sufficient for the project, then the IEE with the recommended
institutional requirements and monitoring program become the completed EIA.