Australian guidelines for preparation of IEEs and CEEs
1. Introduction
The Protocol on Environmental Protection to the Antarctic Treaty (the Madrid Protocol), which Australia signed in 1991, requires that all activities proposed to be conducted in the Antarctic are subject to prior assessment of their impacts on the Antarctic environment and on dependent or associated ecosystems. The Antarctic Treaty (Environment Protection) Act 1980, (the AT(EP) Act) and associated Environmental Impact Assessment Regulations (the EIA Regulations), implement this obligation and must be complied with for all activities proposed to be conducted in Australian Antarctic Territory and for all Australian activities proposed to be conducted elsewhere in the Antarctic.
In accordance with the requirements of the Madrid Protocol, the AT(EP) Act requires the proponent of each activity to undertake a preliminary assessment of the impact that the activity is likely to have on the environment. These preliminary assessments are used by the Minister's delegate as the basis for making a determination regarding the significance of the likely environmental impacts and hence the need or otherwise for a higher level of assessment. If the Minister's delegate determines that an activity is likely to have a minor or transitory impact on the environment then an Initial Environmental Evaluation (IEE) will be directed. Similarly, if it is determined that more than a minor or transitory impact is likely then preparation of a Comprehensive Environmental Evaluation (CEE) will be required. The EIA Regulations specify those matters which must be included in IEEs and CEEs (relevant extracts from the Regulations are included as Appendix C).
While the EIA Regulations establish the minimum requirements for environmental evaluations, they do not prescribe a format for the evaluations or provide much practical guidance to those who must prepare them. The Committee of Managers of National Antarctic Programs (COMNAP) recognised that this was also the case with the wording of the Madrid Protocol and therefore developed "Practical Guidelines" for the Antarctic environmental assessment process with the aim of providing explicit and concise guidance to those involved in preparing IEEs and CEEs. The COMNAP "Practical Guidelines" were also developed to introduce a measure of comparability in the environmental assessment process used by all national Antarctic programs and non-government organisations proposing activities in Antarctica.
The Australian environmental assessment guidelines that follow are based on COMNAP's "Practical Guidelines" and are intended to provide practical assistance to proponents in complying with the requirements of the AT(EP) Act and the EIA Regulations. While the wording used in the revised COMNAP "Practical Guidelines" has been retained as far as possible, the Australian guidelines include some additional requirements arising from the AT(EP) Act, the EIA Regulations and other relevant Australian legislation including particularly the Environment Protection and Biodiversity Conservation Act, 1999.
2. General considerations
The environmental assessment process should be initiated at the earliest planning stage of an activity to enable adequate information gathering and baseline evaluations (including necessary field studies). It is critical to the public perception of the EIA process that environmental evaluations are not used (or seen to be used) merely as a means of justifying decisions already taken but rather represent a genuine assessment of the impacts of all activities. The process, including time required, for handling IEEs and CEEs is detailed at Appendix A. Proponents should note that the AT(EP) Act requires preparation by the proponent of a preliminary assessment before any decision can be made on the need or otherwise for either an IEE or CEE. Advice and appropriate forms for preparing a preliminary assessment are available from the Antarctic Division's Policy Section.
The main text of an environmental assessment should be a straightforward document treating its subject in terms which are clear and readily intelligible to the general reader. Any supporting technical detail should be included as appendices so that the study forms a complete and self-contained entity. The document should include sufficient information and technical data to enable interested parties to examine the basis for, and the environmental implications of, decisions. The use of clear and accurate diagrams, maps, and other illustrative materials is encouraged.
The discussion in the assessment should focus attention on the salient features of the proposal, and the environmental considerations associated with them. Possible alternatives to the proposed activity should also be discussed in sufficient detail to make clear the reasons for, and the implications of, choosing a particular option. The less clear cut the decision, the more supporting detail should be provided.
It is recognised that such factors as timing, information needs and available resources to conduct evaluations (e.g., personnel, funds) may influence the type and amount of effort needed to bring an assessment document to a point where it is adequate for decision-making. However, the resources required for preparation of an environmental assessment should be considered during the planning of any project and the costs involved accepted as a valid part of that project.
It is also recognised that it will not be possible to quantify all aspects of the environmental assessment process (e.g. aesthetic, historical and human values). Therefore, subjective evaluation will be a valid component of the overall process. Constraints on completeness of an evaluation will vary with projects and should be identified in the assessment.
The collection and documentation of information from the earliest stages of the planning process (including means for information storage and retrieval), the qualification of personnel performing environment-related studies and measurements, and analytical methods, should be of the highest practicable quality.
3. Contents of an IEE or CEE
To assist you in complying with the requirements of the AT(EP) Act and EIA Regulations in a logical, structured manner, the following format based on COMNAP's "Practical Guidelines", is proposed for IEEs and CEEs:
- non-technical summary
- description of the proposed activity
- description of the existing environment
- description of methods and data used to predict impacts
- analysis of expected impacts
- alternatives
- mitigation measures
- monitoring of impacts
- response action in case of accident
- audit arrangements
- conclusion
- contact name and address
- external consultation and proponent response
Except where indicated in these guidelines, the same type of information is required for both an IEE and a CEE, although a CEE is required by legislation to include more detail than an IEE. The following paragraphs provide guidance regarding the considerations to be addressed in each section of these evaluations.
3.1 Summary
A brief non-technical summary of relevant information should be included to enable all readers of the environmental assessment to obtain a quick but thorough understanding of the proposal and its environmental impact. This summary should cover the objectives of the proposed activity and its relationship to existing or proposed facilities or services, the alternatives to the proposed activity, the issues identified and the conclusions reached in the environmental assessment.
3.2 Description of the proposed activity
Each proposed activity should be described in such a way that an evaluation of its impact upon the environment can be performed. The description should include a statement of:
- the purpose, location, duration and intensity of, and the need for, the proposed activity;
- the principal characteristics of the proposed activity and features of the activity that might cause impact on the environment; and
- the relation of the proposed activity to relevant previous, or known future, activities.
It is important to give such detail as:
- description of the activity's location and geographic area (to include indication of access routes and any maps)
- construction requirements (e.g. technologies, types and sources of materials - including water, communications, fuel storage)
- transportation requirements (e.g. types and numbers of vehicles)
- size of any installation and associated earthworks, including layout, area, weight, volume, or other appropriate measures
- construction phase inputs (e.g. energy, transportation, personnel and accommodation) and outputs (e.g. emissions, wastes, noise)
- operational phase inputs (e.g. energy, transportation and personnel) and outputs (e.g. emissions, wastes, noise)
- the timing of the activity (including range of calendar dates for installation time, and overall duration and periods [austral seasons] of operation of the activity)
- disposal of wastes that are generated
- any plans for future site development or further expansion of facilities
The description should also include the background history and present status of the proposal - including any preliminary planning or work undertaken.
The specific benefits accruing from the proposed activity should also be clearly described, with particular emphasis on the relevance of these benefits to Antarctic research.
Decommissioning of activity
In the case of an activity or facility of limited planned life-span, consideration should be given at the time of planning to disposition of the subject activity or facility when it has fulfilled its purpose.
3.3 Description of the existing environment (e.g. the environmental reference state, or the baseline environment or conditions)
A description of the environment in which the activity is to be performed should describe the state before the beginning of the activity. Maps, charts, photographs and other visual media should be used.
This description should include:
- the physical characteristics (e.g. topography, bathymetry, geology, geomorphology, soils, hydrology, meteorology, and ice conditions)
- the biota (e.g. inventories of plant and animal species, populations and communities and other important features such as presence of breeding grounds). Furthermore describe any dependent and related populations (e.g. bird nesting area related to feeding area)
- existing environmental processes (e.g. sea ice cycles, ecosystem dynamics, phytoplankton production and decomposition). Important temporal and spatial characteristics should be described
- current and proposed land use, facilities, engineering services, and constraints on use
- special scientific, aesthetic, cultural, heritage, historical, recreational or other values of the area
- a prediction of the future environmental state in the absence of the proposed activity.
It is important to ensure that descriptions reflect the geographical extent of the activity under consideration (i.e. for an island, ice-free area or a lake give a general description as well as a more detailed site-specific description).
3.4 Methods and data
The approaches, strategies, methods, techniques or procedures, and the types of data or information (e.g. qualitative, quantitative, empirical or anecdotal) used in the assessment process need to be fully disclosed. Such disclosure will be useful in supporting the rigour and defensibility of the assessment process and will provide the basis for any subsequent re-assessment that may be necessary.
The description should identify explicitly where any incompleteness or uncertainty exists and should disclose how the existence of the incompleteness or uncertainty has been factored into the assessment process. This disclosure can be expected to be useful in assessment, and may serve the purpose of encouraging the acquisition of more complete knowledge.
The use of quantitative models, based on well-defined hypotheses as well as that information that does exist, will be extremely useful in deducing information where data does not exist or cannot be generated.
Where gaps in knowledge and uncertainty exist, expert judgement and experience can and should be used in the assessment process. Use of this judgement and experience must be disclosed explicitly in the assessment documentation.
Any sources of information relied upon during preparation of the environmental evaluation should be cited.
3.5 Analysis of expected impacts
The expected nature of the impacts at both the local and regional level as well as their extent, duration, intensity and probability - resulting from the proposed activity described in 3.2 on the environment described in 3.3 - should be examined and discussed.
Environmental impacts should be considered for both the construction and operational phases and should include the effects on:
- atmosphere
- areas of biological, geological or other importance
- wilderness and aesthetic values
- vegetation and wildlife
- ecological systems and processes
- water quality, volume and movement
- scientific research
- other existing uses and values, including cultural and heritage values
The analysis of the environmental impact should cover the direct effects, indirect effects and cumulative effects of the activity and any associated facilities. (See Appendix B for definitions of these effects). The analysis should be performed using state-of-the-art methodologies and making recourse to appropriate expertise, experience, empirical evidence, results from previous studies and monitoring.
It is reasonable to expect that certain activities will entail unavoidable environmental impacts, regardless of the alternative chosen. When, during the assessment process, such impacts are discovered, they must be disclosed in the environmental document.
3.6 Alternatives
Reasonable alternatives to a proposed activity should be examined in concert with the analysis of impacts of the proposed activity to enable a decision-maker to compare the environmental consequences of all alternatives being considered, including the proposed activity.
The respective consequences of the alternatives, both for the environment and for scientific activities, should be considered during the evaluation. Examples of alternatives include the use of different locations or sites for the activity, use of different technologies, use of pre-existing facilities, and different timing of the activity.
The alternative of not proceeding with the proposed activity (i.e. the no-action alternative) should be included in any analysis of environmental impacts to provide an appropriate context for understanding the impacts of the proposed activity. For example, natural changes in biota or climate that have been verified through empirical investigation or generally-accepted principles should be described.
The reasons for choosing to conduct the proposed activity at the selected location and in the manner specified should be clearly spelt out.
3.7 Mitigation measures
Appropriate measures should be considered whenever possible to minimise or mitigate the effects of environmental impacts (e.g. adjusting the timing of a proposed activity to take into account sensitive periods of affected biological populations or ecological processes, implementing erosion and/or pollution control measures, developing site rehabilitation plans; and developing contingency plans for accidental spillages of polluting substances such as fuel or effluent). These measures may apply either to the activity itself to reduce the impact, or to the consequences of the impacts to minimise the environmental harm. The effectiveness of these measures should be verified through an appropriate monitoring program, specified in the document.
Reference should be made to any relevant legislation and standards to which the facility or activity will comply.
3.8 Monitoring of impacts
Procedures must be put in place, including appropriate monitoring of key environmental impacts, to assess and verify the impact of activities that are the subject of an evaluation. The procedures should be designed to provide a regular and verifiable record of the impacts of the activity in order to enable assessments to be made of the extent to which such impacts are consistent with the provisions of the Madrid Protocol. In addition, monitoring activities should be designed so as to be capable of fulfilling the following decision-making needs:
- provide baseline data against which actual impact may be assessed over time and in space to establish the accuracy of the assessment and to detect impacts of the activity that were not predicted in the evaluation
- assist in evaluating the effectiveness of any mitigating measures
- promote early warning of adverse effects of the activity
- where appropriate, provide information on the need for suspension, cancellation or modification of an activity.
Monitoring should be planned in relation to the duration and intensity of the expected impacts of the activity. For example, a short-term phase of monitoring may be required during the mobilisation or actual construction work for a new facility; long-term monitoring may be required during the operational lifetime of the facility and during the natural restoration time.
Monitoring should be scientifically justifiable, and include quality control and quality assurance of measurements.
All evaluations should include a statement of the arrangements that will be made to report to the Minister the results of monitoring. The Antarctic Division will maintain a register of all environmental monitoring and reporting requirements arising from Australian Antarctic activities.
The assessment document should cite any action to be taken if monitoring detects unforeseen environmental degradation (e.g. if bird strikes on a new wind generator significantly exceed the predicted level, the wind generator may need to be relocated or totally removed).
3.9 Audit arrangements
The assessment document should include details of arrangements for post-implementation evaluation of the accuracy of the assessment, and for ensuring appropriate response to the results of monitoring activities. In this regard, an audit will normally be conducted by the Antarctic Division's Environment Committee on the basis of reports arising from monitoring activities and other relevant information the Committee may request.
3.10 Conclusion
The conclusion should include an evaluation of all relevant information contained or referenced within the assessment document. Value judgments should be explicitly disclosed. The evaluation should include consideration and comparison of the impacts on the different environmental components affected and on the science program. In particular, the acceptability of significant negative impacts on the natural environment should be evaluated against the benefits of a different nature, such as the direct scientific goals or science support activities.
It may be useful to construct a matrix or table setting out advantages and impacts of various elements of the proposed activity drawing upon the descriptions in earlier sections of the assessment.
3.11 Contact name and address
The document should include the name and address of the person or organisation which prepared the IEE or CEE and, in the case of a CEE, the address to which comments thereon should be directed.
3.12 External consultation and proponent response
Final IEEs and CEEs should include a description of the consultation with organisations and individuals during preparation of the evaluation; the text or a summary of the comments received from persons consulted; and material responding to the matters raised during consultation.
Appendices
Appendix A: Process for handling Initial and Comprehensive Environmental Evaluations for which the Australian Antarctic Division is the proponent
Appendix B: Practical Definitions and examples (for the purpose of the Guidelines although not defined in the legislation)
Appendix C: Legal Requirements for Initial and Comprehensive Environmental Evaluations
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