WORLD BANK TECHNICAL PAPER NO. 376 rtj\WTP 3 r Work in progress for public discussion Nov. Roads and the Environment ]_ . . . ~I 1I(ldbook,,,, 7 I rwr~ ~~~~~~~P fil b,' r~~~ - ' .tAtiPtttit' t~Kol; '1 T ; 114(1i- (h//I/p I/lo,)( /v ll RECENT WORLD BANK TECHNICAL PAPERS No. 310 Elder and Cooley, editors, Sustainable Settlement and Development of the Onchocerciasis Control Programme Area: Proceedings of a Ministerial Meeting No. 311 Webster, Riopelle and Chidzero, World Bank Lendingfor Small Enterprises 1989-1993 No. 312 Benoit, Project Finance at the World Bank: An Overview of Policies and Instruments No. 313 Kapur, Airport Infrastructure: The Emerging Role of the Private Sector No. 314 ValdWs and Schaeffer in collaboration with Ramos, Surveillance of Agricultural Price and Trade Policies: A Handbookfor Ecuador No. 316 Schware and Kimberley, Information Technology and National Trade Facilitation: Making the Most of Global Trade No. 317 Schware and Kimberley, Information Technology and National Trade Facilitation: Guide to Best Practice No. 318 Taylor, Boukambou, Dahniya, Ouayogode, Ayling, Abdi Noor, and Toure, Strengthening National Agricul- tural Research Systems in the Humid and Sub-humid Zones of West and Central Africa: A Frameworkfor Action No. 320 Srivastava, Lambert, and Vietmeyer, Medicinal Plants: An Expanding Role in Development No. 321 Srivastava, Smith, and Forno, Biodiversity and Agriculture: Implications for Conservation and Development No. 322 Peters, The Ecology and Management of Non-Timber Forest Resources No. 323 Pannier, editor, Corporate Governance of Public Enterprises in Transitional Economies No. 324 Cabraal, Cosgrove-Davies, and Schaeffer, Best Practicesfor Photovoltaic Household Electrification Programs No. 325 Bacon, Besant-Jones, and Heidarian, Estimating Construction Costs and Schedules: Experience with Power Generation Projects in Developing Countries No. 326 Colletta, Balachander, and Liang, The Condition of Young Children in Sub-Saharan Africa: The Convergence of Health, Nutrition, and Early Education No. 327 Valdes and Schaeffer in collaboration with Martin, Surveillance of Agricultural Price and Trade Policies: A Handbookfor Paraguay No. 328 De Geyndt, Social Development and Absolute Poverty in Asia and Latin America No. 329 Mohan, editor, Bibliography of Publications: Technical Department, Africa Region, July 1987 to April 1996 No. 330 EcheverrIa, Trigo, and Byerlee, Institutional Change and Effective Financing of Agricultural Research in Latin America No. 331 Sharma, Damhaug, Gilgan-Hunt, Grey, Okaru, and Rothberg, African Water Resources: Challenges and Opportunitiesfor Sustainable Development No. 332 Pohl, Djankov, and Anderson, Restructuring Large Industrial Firms in Central and Eastern Europe: An Empirical Analysis No. 333 Jha, Ranson, and Bobadilla, Measuring the Burden of Disease and the Cost-Effectiveness of Health Interventions: A Case Study in Guinea No. 334 Mosse and Sontheimer, Performance Monitoring Indicators Handbook No. 335 Kirmani and Le Moigne, Fostering Riparian Cooperation in International River Basins: The World Bank at Its Best in Development Diplomacy No. 336 Francis, with Akinwumi, Ngwu, Nkom, Odihi, Olomajeye, Okunmadewa, and Shehu, State, Community, and Local Development in Nigeria No. 337 Kerf and Smith, Privatizing Afnica's Infrastructure: Promise and Change No. 338 Young, Measuring Economic Benefitsfor Water Investments and Policies No. 339 Andrews and Rashid, The Financing of Pension Systems in Central and Eastern Europe: An Overview of Major Trends and Their Determinants, 1990-1993 No. 340 Rutkowski, Changes in the Wage Structure during Economic Transition in Central and Eastern Europe No. 341 Goldstein, Preker, Adeyi, and Chellaraj, Trends in Health Status, Services, and Finance: The Transition in Central and Eastern Europe, Volume I No. 342 Webster and Fidler, editors, Le secteur informel et les institutions de microfinancement en Afrique de l'Ouest No. 343 Kottelat and Whitten, Freshwater Biodiversity in Asia, with Special Reference to Fish No. 344 Klugman and Schieber with Heleniak and Hon, A Survey of Health Reform in Central Asia (List continues on the inside back cover) WORLD BANK TECHNICAL PAPER NO. 376 Roads and the Environment A Handbook Edited by Koji Tsunokawa Christopher Hoban The World Bank Washington, D.C. Copyright © 1997 The International Bank for Reconstruction and Development/THE WORLD BANK 1818 H Street, N.W. Washington, D.C. 20433, U.S.A. All rights reserved Manufactured in the United States of America First printing November 1997 Technical Papers are published to communicate the results of the Bank's work to the development community with the least possible delay. The typescript of this paper therefore has not been prepared in accordance with the procedures appropriate to formal printed texts, and the World Bank accepts no responsibility for errors. Some sources cited in this paper may be informal documents that are not readily available. The findings, interpretations, and conclusions expressed in this paper are entirely those of the author(s) and should not be attributed in any manner to the World Bank, to its affiliated organizations, or to members of its Board of Executive Directors or the countries they represent. The World Bank does not guarantee the accuracy of the data included in this publication and accepts no responsibility whatsoever for any consequence of their use. The boundaries, colors, denominations, and other information shown on any map in this volume do not imply on the part of the World Bank Group any judgment on the legal status of any territory or the endorsement or acceptance of such boundaries. The material in this publication is copyrighted. Requests for permission to reproduce portions of it should be sent to the Office of the Publisher at the address shown in the copyright notice above. The World Bank encourages dissemination of its work and will normally give permission promptly and, when the reproduction is for noncommercial purposes, without asking a fee. Permission to copy portions for classroom use is granted through the Copyright Clearance Center, Inc., Suite 910, 222 Rosewood Drive, Danvers, Massachusetts 01923, U.S.A. The complete backlist of publications from the World Bank is shown in the annual Index of Publications, which con- tains an alphabetical title list with full ordering information. The latest edition is available free of charge from the Dis- tribution Unit, Office of the Publisher, The World Bank, 1818 H Street, N.W., Washington, D.C. 20433, U.S.A., or from Publications, The World Bank, 66, avenue d'Iena, 75116 Paris, France. ISSN: 0253-7494 Koji Tsunokawa is senior transport specialist in the Infrastructure Development Group in the World Bank's Middle East and Nort Africa Regional Office. Christopher Hoban is a senior highway engineer in the World Bank's South Asia Infrastructure Sector Unit. Library of Congress Cataloging-in-Publication Data Roads and the environment: a handbook /edited by Christopher Hoban and Koji Tsunokawa. p. cm. - (World Bank technical paper; no. 376) Includes bibliographical references and index. ISBN 0-8213-4031-X 1. Roads-Environmental aspects. 2. Environmental impact analysis. I. Hoban, Christopher J., 1952- . II. Tsunokawa, Koji, 1947- .111. Series. TD195.R63R63 1997 333.77-DC21 97-28971 CIP Table of Contents List of Boxes, Figures and Tables ............................................................x Foreword ..................................... xm Acknowledgements ........................................................... xiv Abstract ........................................................... xv Executive summay.xv PART I - THE ENVIRONMENTAL ASSESSMENT PROCESS Chapter 1 Assessing the environmental impact of road projects 1.1 The environment and its ecosystems ...............................................................4 1.2 Roads, the environment, and the need for environmental assessment ..................................4 1.3 New, existing, rural, and urban project settings ..............................................................5 1.3.1 New versus existing project types ...................................................................... 5 1.3.2 Rural versus urban project typen ............................................. .........................5 1.3.3 The "mixed" rural-urban project ...................................................................... 6 1.4 The environmental assessment (EA) ................................................................6 1.A.1 EA and road project development ...................................................................... 7 1.4.2 Types of EA .....................................................................8 1.5 Environmental assessment at the project level ............................................................ ..8 1.5.1 The project-specific EA ......................................................................8 1.5.2 The programmatic or class EA ......................................................................8 1.5.3 Summary or initial environmental evaluation (SEE/IEE) ................... .....................9 1.5.4 The regional EA (REA) ......................................................................9 1.6 Environmental assessment at the strategic level ........................................... 10 1.6.1 The sectoral EA (SEA) ..................................................................... 10 1.7 EA duration and budget ............................................................... 11 1.8 References and bibliography .............................................................. 12 Chapter 2 Environmental assessment management and institutional issues 2.1 EA and institutional development .............................................................. 14 2.2 Functions to be performed and the need for environmental skills . . 14 2.2.1 Developing the policy and legal directives ............................................................... 14 2.2.2 Conducting the EA studies ..................................................................... 15 2.2.3 Implementing the environmental management plan (EMP) .................................. 16 2.2.4 Managing the EA process ..................................................................... 17 2.3 Providing the requisite environmental training .............................................................. 18 2.4 Establishing the institutional structures .............................................................. 19 2.5 References and bibliography .............................................................. 22 Chapter 3 An overview of environmental assessment planning and EA reporting 3.1 Early planning of EA .............................................................. 24 3.2 Screening and scoping ............................................................... 24 3.2.1 Description of the need for a project ..................................................................... 25 3.2.2 Description of the proposed project and alternatives .............................................. 25 iii 3.2.3 Identification of valued ecosystem components (VECs) ........................................ 25 3.2.4 Evaluation of potential impacts for alternative solutions ....................................... 26 3.2.5 Early consultation ......................................... 26 3.2.6 Selection of preferred project (solution) and identification of EA type to be applied ........................................ 26 3.3 Preparation of the project terms of reference ..27 3.4 Space, time and consultation ..27 3.4.1 Space .27 3.4.2 Time requirements for the environmental study .27 3.4.3 Consultation .29 3.5 The environmental impact statement (EIS) ..29 3.5.1 Executive summary ...........................30 3.5.2 The environmental assessment team .......................... 30 3.5.3 Introduction and background .......................... 30 3.5.4 Approach and methodology .......................... 30 3.5.5 Existing conditions .......................... 30 3.5.6 Analysis of alternatives .......................... 30 3.5.7 The preferred design .......................... 31 3.5.8 The environmental management plan .......................... 31 3.5.9 Consultation ....... 31 3.5.10 References .31 3.5.11 Appendices .31 3.6 Presenting information with maps In the EA report . .31 3.7 References and bibliography ..32 Chapter 4 Key steps involved in undertaking an environmental assessment 4.1 Seven key steps .34 4.2 Description of baseline conditions ..34 4.2.1 Collecting and analyzing existing basic documents ............................................. 35 4.2.2 Assembling information from different sources ............................................. 35 4.2.3 Consultation with local residents and professionals ............................................. 35 4.2.4 The sampling design ............................................. 35 4.2.5 The field investigations ............................................. 35 4.2.6 Tracking project-induced versus natural environrment changes ................. .......... 36 4.3 Analysis of potential environmental impacts ..36 4.3.1 Determnining significance .36 4.3.2 Impact characteristics .36 4.3.3 Impact types .37 4.4 Consideraon of altematives ........................... 37 4.4.1 Alternative designs .37 4.4.2 Analysis of alternatives .37 4.5 Planning remedial measures ..38 4.5.1 Avoidance .38 4.5.2 Mitigation .38 4.5.3 Including consultation in mitigation planning .......................................... 40 4.5.4 Compensation .......................................... 41 4.6 Monitoring and evaluation ........................................................ 41 4.6.1 Compliance monitoring .......................................... 41 4.6.2 Effects monitoring (Evaluation) .......................................... 41 4.7 The environmental management plan (EMP) . .41 4.8 Documentation ..42 4.9 Using maps in EA ..42 4.9.1 Dealing with poor availability of maps .42 iv 4.9.2 General maps ........................................................................... 43 4.9.3 Thematic maps ........................................................................... 44 4.9.4 Presentation maps ........................................................................... 44 4.9.5 Synthesis maps ........................................................................... 44 4.10 References and bibliography ................................................................... 46 Chapter 5 Public involvement in EA 5.1 Guiding principles ................................................................... 48 5.1.1 Information dissemination ........................................................................... 48 5.1.2 Information solicitation ............................... ............................................ 48 5.1.3 Consultation ........................................................................... 48 5.1.4 Application ........................................................................... 48 5.2 When is public involvement necessary? .................................. . ................................ 49 5.3 Determining who should participate ................................................................... 49 5.3.1 Enabling the poor to participate ........................................................................... 50 5.3.2 Local and community participation .......................................................................... 50 5.3.3 Government agencies and research institutions ......................... ............................. 51 5.3.4 Non-government organizations (NGOs) ................................................................... 51 5.4 A framework for public involvement ................................................................... 52 5.5 Public involvement format ................................................................... 52 5.5.1 The "open house" (Information displays and reports) .53 5.5.2 Interview survey .53 5.5.3 Public meetings .53 5.5.4 Individual or group discussions .53 5.5.5 On-site consultation .54 5.5.6 Rapid social appraisal .54 5.5.7 Rapid rural appraisal .54 5.6 Guide to information presentation ....................................... 56 5.6.1 Written reports, newsletters, and leaflets .......................................... 56 5.6.2 Graphic material .......................................... 56 5.6.3 Audio-visual aids .......................................... 57 5.7 References and bibliography ...................................... 57 Chapter 6 Types of environmental impact 6.1 Impact types ...................................... 60 6.1.1 Direct impacts .60 6.1.2 Indirect impacts .60 6.1.3 Cumulative impacts .62 6.1.4 Ecosystem funcion impacts .62 6.1.5 Positive and negative impacts .64 6.1.6 Random and predictable impacts .64 6.1.7 Local and widespread impacts .64 6.1.8 Temporary and permanent impacts .65 6.1.9 Short- and long-term impacts .65 6.2 Impact severity ................................................................... 65 6.3 References and bibliography .................................................................... 65 PART 11- ENVIRONMENTAL IMPACTS, THEIR MITIGATION AND THEIR ECONOMIC VALUATION Chapter 7 Impacts on soils 7.1 Impacts and setting ... ................................................................ 70 7.1.1 Loss of productive soil ........................................................................... 70 7.1.2 Erosion ........................................................................... 70 v 7.1.3 Contam ination of soil ................................................................. 72 7.1.4 Cumulative impacts ................................................................. 72 7.2 Determining the nature and scale of impacts ........................................................... 72 7.3 Remedial measures .......................................................... 73 7.3.1 Prevention ................................................................. 73 7.3.2 Mitigation ................................................................. 73 7.3.3 Compensation ................................................................. 76 7.4 Reducing impacts on soils: An action checklist .........................................................77 7.5 References and bibliography .......................................................... 78 Chapter 8 Impacts on water resources 8.1 Impacts and setting .......................................................... 82 8.1.1 Surface water flow modification ..................................... ............................ 82 8.1.2 Groundwater flow modification ..................................... ............................ 82 8.1.3 Water quality degradation (surface and groundwater) ..................... ..................... 82 8.2 Determining the nature and scale of impacts .......................................................... 82 8.2.1 Drainage modifications ................................................................. 82 8.2.2 Water table modification ................................................................. 83 8.2.3 Water quality degradation ..................... ............................................ 83 8.2.4 Sensitive habitat intrusion ................................................................. 85 8.3 Remedial measures .......................................................... 85 8.3.1 Prevention ................................................................. 85 8.3.2 Mitigation ................................................................. 85 8.3.3 Compensation ................................................................. 86 8.3.4 Enhancement ................................................................. 86 8.4 Minimizing impacts on water resources: An action checklist .................................... ........... 86 8.5 References and bibliography .......................................................... 88 Chapter 9 Impacts on air quality 9.1 Impacts and setting .......................................................... 90 9.1.1 Airmass contaminants ................................................................. 90 9.1.2 Movement of pollutants ................................................................. 91 9.1.3 Impacts ................................................................. 93 9.2 Determining the nature and scale of impacts ...........................................................94 9.2.1 Assessment at the project level ............................. .................................... 94 9.2.2 Measurement of roadside pollutants ...................................... ........................... 94 9.2.3 Computer modeling of pollutants .................................................................. 94 9.3 Remedial measures ........................................................... 94 9.3.1 Prevention ................................................................. 94 9.3.2 Mitigation ................................................................. 95 9.3.3 Compensation ................................................................. 95 9.4 Minimizing impacts on air quality: An action checklist .......................................................... 96 9.5 References and bibliography ...........................................................96 Chapter 10 Impacts on flora and fauna 10.1 Impacts and setting .......................................................... 100 10.1.1 Direct impacts ..................................................................100 10.1.2 Indirect impacts ................................................................. 101 10.1.3 Ecosystem types and sensitivity ................................................................. 102 10.2 Determining the nature and scale of impacts ........................................................... 104 10.2.1 Extent of the project ................................................................. 104 10.2.2 Duration of the construction period ................................................................. 104 10.2.3 Evaluation of the affected systems ................................................................. 104 vi 10.2.4 Use of indicator species or groups ........................................................... 105 10.2.5 Rapid appraisal ........................................................... 106 10.2.6 Modeling ........................................................... 106 10.2.7 Useful sources of information ........................................................... 106 10.3 Remedial measures ...................................................... 106 10.3.1 Prevention ........................................................... 106 10.3.2 Mitigation ...................................................... 107 10.3.3 Compensation ............................................................109 10.4 Minimizing impacts on flora and fauna: An action checklist . ............................... 109 10.5 References and bibliography ...................................................... 110 Chapter 11 Impacts on communities and their economic activity 11.1 Impacts and setting ....................................................... 114 11.1.1 The split community .114 11.1.2 The loss of roadside community business and social activity .............................. 115 11.1.3 The by-passed community .115 11.1.4 The reduced convenience of traditional modes of transport .116 11.1.5 The dilemma for tourism .116 11.1.6 The "culture shock" effect .116 11.1.7 The gentrification effect .116 11.2 Determining the nature and scale of impacts ..................................................... 116 11.2.1 The preliminary assessment ........................................................... 116 11.2.2 The social assessment ........................................................... 117 11.3 Remedial measures ..................................................... 118 11.3.1 Prevention ........................................................... 118 11.3.2 Mitigation ........................................................... 118 11.3.3 Compensation ........................................................... 119 11.4 Minimizing impacts on communities and their economic activity: An action checklist ..................................................... 120 11.5 References and bibliography ..................................................... 120 Chapter 12 Impacts arising from land acquisition and resettlement 12.1 Impacts and setting ..................................................................122 12.2 Determining the nature and scale of impacts ................................................................. 1 23 12.2.1 Stresses in the "host" community ................................................................. 125 12.3 Remedial measures ................................................................. 125 12.3.1 Prevention ................................................................. 125 12.3.2 Mitigation ................................................................. 125 12.3.3 Compensation ........................................................................ 126 12.4 Minimizing impacts of land acquisition and resettlement: An action checklist . ................ 127 12.5 References and bibliography ................................................................. 129 Chapter 13 Impacts on indigenous peoples 13.1 Impacts and setting ................................................................. 132 13.1.1 Loss of traditional sense of identity ........................................................................ 132 13.1.2 Loss of livelihoods and violation of traditionally-exercised land rights ........................................ 132 13.1.3 Health and social problems ............................................ 133 13.1.4 Violation of rights to participate in development ............................................ 133 13.2 Determining the nature and scale of impacts ........................................ 134 13.2.1 Identifying the population and the affected area .................................. 134 13.2.2 Consultation and participation .................................. 134 13.2.3 The surveys ............................... 134 vii 13.3 Remedial measures ................................................... 135 13.3.1 Prevention ................................................... 135 13.3.2 Mitigation ................................................... 135 13.3.3 Compensation ................................................... 137 13.4 Minimizing impacts on indigenous peoples: An action checklist . ........................... 137 13.5 References and bibliography .................................................... 138 Chapter 14 Impacts on cultural heritage 14.1 Impacts and setting .................................................... 140 14.2 Determining the nature and scale of impacts ............................................. 141 14.2.1 Preliminary assessment ................................................... 141 14.2.2 Cultural heritage ................................................... 141 14.3 Remedial measures ................................................... 144 14.3.1 Prevention ................................................... 144 14.3.2 Mitigation ................................................... 144 14.3.3 Compensation ................................................... 145 14.4 Minimizing impacts on cultural heritage features: An action checklist . ....................... 145 14.5 References and bibliography ................................................... 145 Chapter 15 Impacts on aesthetics and landscape 15.1 Impacts and setting .................................................... 148 15.1.1 Links between aesthetic values and regional landscape design .......................... 148 15.1.2 Potential negative aesthetic impacts ................................................... 148 15.2 Determining the nature and scale of impacts ................................................... 149 15.3 Remedial measures ................................................... 150 15.3.1 Prevention ................................................... 150 15.3.2 Mitigation . : ..................................................... 150 15.3.3 Compensation ................................................... 152 15.4 Minimizing impacts on aesthetics and landscape: An action checklist . ...................... 153 15.5 References and bibliography ................................................... 153 Chapter 16 Impacts on the noise environment 16.1 Impacts and setting .................................................... 156 16.1.1 Sources of road noise ................................................... 156 16.1.2 Road noise impacts ................................................... 156 16.2 Determining the nature and scale of impacts ............................................. 156 16.2.1 Assessing noise impacts ................................................... 158 16.2.2 Noise measurement ....................................................... 159 16.2.3 Noise level standards ........................................................160 16.3 Remedial measures ................................................... 160 16.3.1 Prevention ....................................................... 160 16.3.2 Mitigation ................................................... 160 16.3.3 Compensation ....................................................... 162 16.4 Avoiding impacts on the noise environment: An action checklist . ........................... 162 16.5 References and bibliography ................................................... 163 Chapter 17 Impacts on human health and safety 17.1 Impacts and setting .................................................... 166 17.2 Determining the nature and scale of impacts ............................................. 166 17.2.1 Human health ................................................... 166 17.2.2 Road safety ................................................... 168 viii 17.3 Remedial measures ...................................................... 168 17.3.1 Prevention ................................................... 168 17.3.2 Mitigation ....................................................... 171 17.3.3 Compensation ....................................................... 172 17.4 Avoiding impacts on human health and safety: An action checklist . ......................... 172 17.5 References and bibliography ................................................... 172 Chapter 18 Environmentally sound construction and facility management practices 18.1 New construction projects ................................................... 176 18.1.1 Settings and Impacts ................................................... 176 18.1.2 Remedial measures ................................................... 178 18.2 Maintenance and rehabilitation (M & R) projects .......................................... 180 18.2.1 Defining maintenance and rehabilitation ....................................................... 180 18.2.2 Setting and hnpacts ....................................................... 181 18.2.3 Mitigation ................................................... 182 18.3 The implementation of environmental requirements ...................................... 182 18.4 Environmental risk ................................................... 182 18.4.1 The failure of mitigative measures ....................................................... 182 18.4.2 Mitigative measures .................................................... 184 18.5 References and bibliography ................................................... 186 Chapter 19 Economic valuation of the impacts of road projects on the environment 19.1 Economic valuation of environmental impacts (EVEI) ..................................... 188 19.1.1 The fundamental problem ....................................................... 188 19.1.2 Alternative institutional approaches ....................................................... 188 19.1.3 The cost-benefit evaluation formats ....................................................... 188 19.2 EVEI in the context of public involvement ................................................... 189 19.3 Procedural considerations .................................................... 190 19.3.1 Some prerequisites ....................................................... 190 19.3.2 Choosing a valuation technique and scheduling the procedure .......................... 190 19.4 Common valuation techniques .................................................... 191 19.4.1 A valuation typology .191 19.4.2 Direct valuation approaches .191 19.4.3 Surrogate market approaches .192 19.4.4 Preventive expenditures approach .193 19.4.5 Replacement cost approaches .193 19.4.6 Contingent valuation approach .194 19.5 Alternative economic format .............................. . 195 19.5.1 Cost effective analysis approach ................................ 195 19.6 References and bibliography .............................. . 198 Appendices Appendix I Example of environmental management plan .201 Appendix 2 Impact of road maintenance tasks on the environment in the Sahel .207 Appendix 3 Guide to defining natural and social indicators in environmental assessment .213 Other sources of information ................. 215 Glossary ..................217 Index ..................... ix List of Boxes 1.1 Comparison of key EA considerations for new versus upgrade or rehabilitation-type projects .......................................................................6 1.2 Enviromnental versus social assessment .......................................................................8 1.3 Definition of a "region" .......................................................................9 1.4 Coordination of transport and land use planning ...................................................................... 10 1.5 Suggested approach to EA: World Bank Asia Region ...................................................................... 11 2.1 Establishing an environmental unit in the Department of Roads and Traffic, Morocco ................................ 21 3.1 Typical road right-of-way requirements ...................................................................... 25 3.2 Generic table of contents for EA terms of reference .......................................................................29 4.1 Rapid environmental data collection system ....................................................................... 36 4.2 The value function method as an example of analysis of alternatives .............................................................. 39 4.3 Examples of mitigative measures incorporated into project design .................................................................. 40 5.1 Community participation in project decision-making ...................................................................... 49 5.2 World Bank experience with the participation of women in consultation programs ..................................... 51 5.3 Departments consulted for an impact study of a road in Burundi ..................................................................... 52 5.4 Rapid appraisal techniques: the village sketch map .......................................................................55 5.5 Rapid appraisal techniques: information about village institutions .................................................................. 56 6.1 Example of potential direct and indirect environmental impacts ...................................................................... 61 6.2 Enhancing water management through innovative road design ...................................................................... 64 7.1 Roads and mass movements ...................................................................... 71 7.2 Vetiver grass (Vetiveria zizanioides) ...................................................................... 74 7.3 Control of sand encroachment on roads ...................................................................... 78 8.1 Computer modeling in hydrology ...................................................................... 84 8.2 Environmental enhancements in road projects in Africa ...................................................................... 87 10.1 Accessibility and habitat fragmentation: a case study ...................................................................... 102 10.2 Monitoring long-term changes in a road's enviromnent ...................................................................... 107 10.3 Mitigative measures for roads which traverse national parks ...................................................................... 109 12.1 Consultation and participation in resettlement planning and implementation ............................................. 126 12.2 The resettlement and rehabilitation action plan (RAP): checklist of typical requirements ........................... 127 13.1 Characteristics of indigenous peoples ...................................................................... 132 13.2 Indigenous peoples' rights to land and to participation in development ....................................................... 133 13.3 Key features of an indigenous peoples development plan ...................................................................... 136 14.1 Significance assessment of cultural herilage ...................................................................... 140 14.2 Cultural heritage in international and national law ...................................................................... 141 14.3 Aerial photography for archaeological surveys ...................................................................... 142 14.4 Road works in historic urban areas: China ...................................................................... 143 16.1 Reducing roadside noise levels by changing the pavement composition and porosity ............................... 161 17.1 Roads and the spread of STDs ...................................................................... 166 17.2 Examples of mitigative measures for pedestrian and non-motorized vehicle accident blackspots ...................................................................... 169 18.1 Examples of simple environmental clauses in contract specifications ............................................................ 180 18.2 Example contract clauses for use in road maintenance studies ...................................................................... 183 18.3 Example contract clauses for use in road maintenance supervision contracts ............................................... 184 18.4 Example contract clauses for use with road maintenance works contracts .................................................... 185 19.1 Alternative formats for cost-benefit appraisal of projects ...................................................................... 189 19.2 Case example of preventive expenditures concept in Laos ...................................................................... 193 List of Figures 1.1 Synchronization of the EA and project development processes ......................................................................7 2.1 EA process: approximate distribution of management effort ..................................................................... 17 2.2 EA study: approximate distribution of study team effort prior to project implementation ........................... 18 2.3 Typical inter-agency relations for a road agency on environmental assessment ............................................ 20 3.1 Example of EA screening procedure developed by Directorate General of Highways, Ministry of Public Works, Indonesia ..................................................................... 28 4.1 Sample design decision key ..................................................................... 35 x 4.2 The use of overlays to show environmental constraints ......................................................... 44 4.3 Map showing environmental sensitivity ......................................................... 45 6.1 Indirect impacts: the example of land clearing ......................................................... 60 6.2 Cumulative impacts: the example of a stream ......................................................... 63 7.1 Destabilization of slopes ......................................................... 70 7.2 Protection of slopes with plants and plant materials ......................................................... 74 7.3 Simple techniques for improving the success of seeding on moderate slopes .75 7.4 Examples of combined techniques for slope protection .75 7.5 Standard detail for rock facing on a slope .76 7.6 Some application s of geotextiles .76 7.7 Cutoff drains.77 8.1 Concentration of surface water flow .82 8.2 Modifications in water table as a result of road construction .83 8.3 Recharged aquifer, reservoir surface .83 8.4 Illustration of a chain reaction .84 8.5 Groundwater contamination from roads .84 8.6 Progression in runoff treatment .86 8.7 Example of an infiltration ditch .8 8.8 Reduced erosion, recharged aquifer .87 9.1 Simplified diagram of interactions between various air pollutants .91 9.2 The emission propagation process ............................. 92 9.3 Relationship between vehicle speed and emissions .92 9.4 Filtering role of vegetation .95 10.1 Effects of stream rechannelization .101 10.2 Risk of contamination from accidents .102 10.3 Wildlife underpass and hydraulic structure .108 11.1 Changes in community interactions due to widening or increased use of major road .114 11.2 Modifications of travel routes due to road construction .......................................................... 115 11.3 Creation of rest area: improved facilities for roadside activities .......................................................... 119 14.1 Identification of archaeological sites using aerial photography .......................................................... 142 14.2 Avoiding or covering archaeological sites .......................................................... 144 15.1 Special influence areas .......................................................... 149 15.2 Using vegetation to improve harmony between a road and terrain .......................................................... 150 15.3 Making the most of landscape features .......................................................... 151 15.4 Computer landscape illustration .......................................................... 151 15.5 Making the most of bridges .......................................................... 152 15.6 Designing views with speed in mind .......................................................... 152 16.1 Acoustic equivalence between heavy and light vehicles .......................................................... 157 16.2 Relative positions of roadway and receptor .......................................................... 157 16.3 Doubling the distance between the road and the receptor results in a decrease of 3 dB(A) in the noise level .......................................................... 158 16.4 When traffic on a road is doubled, the noise level increases 3 dB(A), all other factors being equal .......................................................... 158 16.5 Doubling the speed results in an increase of 6 dB(A) .......................................................... 158 16.6 Scale of sound levels .......................................................... 159 16.7 Adaptation of horizontal and vertical aligmnents .......................................................... 160 16.8 Positioning a barrier or screen .......................................................... 162 16.9 Combination of techniques .......................................................... 162 18.1 Relationship of good environmental planning and maintenance phase ......................................................... 177 18.2 Different techniques for slope vegetation renewal .......................................................... 178 List of Tables 4.1 Examples of the use of maps at various stages of EA and optimal scales .43 7.1 Indicative comparison of various erosion mitigative measures .77 8.1 Pollutant deposits from road traffic .85 8.2 Indicative comparison of water impact mitigative measures .87 10.1 Indicative comparison of mitigative measures for protecting flora and fauna .108 12.1 Example of categories of project-affected people and proposed actions .124 xi 16.1 Indicative comparison of various noise mitigative measures .................................................................. 163 17.1 Vehicle emission components and their health effects .................................................................. 167 18.1 Benefits gained from implementing mitigative measures at th ree key project development stages .................................................................. 176 18.2 Construction: mitigative measures .................................................................. 179 18.3 Effects of maintenance activities on the biophysical and socioeconomic environment ................................1 81 19.1 Summary of road project actions, their common environmental impacts and suggested economic valuation techniques ................................1 95 xii Foreword Roads often bring significant economic and planning and management, and to improve social benefits, but they can also have sub- communication among different disciplines stantial negative impacts on communities and and interest groups, which often use different the natural environment. As we become more concepts and terminology. Engineers, for aware of these impacts, there is a growing example, sometimes need to call in environ- demand for the techniques and skills needed mental experts; this handbook tells them how to incorporate environmental considerations best to use their services, how to integrate into road planning and management. their advice into various road management This, the second edition of the handbook, activities, and how to implement and follow is an updated version of a World Bank report up on proposed environmental strategies. (TWU 13) released in September 1994. It has This handbook is the result of a joint effort been substantially revised and modified based by the World Bank and SETRA (Service on user feedback, field experience and inten- d'Etudes Techniques des Routes et Autoroutes), sive review of recent international literature the technical arm of the French Ministry of while maintaining its balance between con- Infrastructure and Transport. It has been used ciseness and comprehensive coverage of the in studies and training in several countries issues. and translated into French; other translations This handbook is intended primarily for: of this new edition are planned. The ghandbook was financed partly by the Japanese * Road agency managers, who need to Cnutn rs ud hdiCmay broaden the skills and capabilities of their Consultant Trust Fund; Chodai Company, organizations to deal with evolving issues Ltd., Tokyo, was engaged to help prepare this such as the natural environmnent, social edition under the World Bank's supervision. impact analysis, public involvement, land- The guidelines in this handbook are not scape design and environmental law. necessarily official standards for World Bank * Road engineers, planners and contractors, projects, but rather should be regarded as gen- who need to increase their awareness of eral indications of good practice to assist road envirornental issues at all stages of their agencies in dealing with environmental issues. work. * Environmental specialists, community groups, academics, development organizations and Anthony Pellegrrmn others with an interest in the relationship Director between roads and the environment. Transport, Water & Urban Development Department A key objective of the handbook is to Financial & Private Sector Vice-Presidency integrate environmental thinking into road 77ze World Bank xiii Acknowledgments The revised edition of this handbook was revision of Chapter 19. Other contributors prepared on the initiative of Zmarak Shalizi include Dan Aronson, Mohammed and John Flora of the World Bank, who de- Bekhechi, Ken Chonitz, Shelton Davis, Ed cided that the time was ripe to incorporate Dotson, Katrinka Ebbe, Junko Funahashi user feedback based on field tests of the first Colin Gannon, Ian Heggie, Olav Kjorven, edition. The revision was based on intensive Reider Kvam, George Ledec, Maria-Clara surveys and interviews with users within Mejia, Jean-Roger Mercier, Juan Quintero, the World Bank, conducted by an inter- Ellen Schaengold, Anil Somani, Gus departmental team consisting of Aidan Tillman, Tony Whitten, and others. Techni- Davy, Chris Hoban, and Koji Tsunokawa. cal and administrative support from Barbara The contribution of Chodai Company. Gregory, Delphine Hamilton, Norma Ltd., Tokyo, was based on these surveys and Silvera, and Violeta Wagner is gratefully interviews. The company produced several acknowledged. draft versions of this document in consulta- The first edition of the handbook tion with the World Bank. The Chodai proj- (Report TWU 13) was prepared by the ect team was led by Kozo Kaneyasu, and World Bank in collaboration with SETRA. comprised Kimio Kaneko, Geza Teleki, That document was based on earlier work Yoshihiro Miyamoto, and others. Their by Asif Faiz and Michel Ray of the World contribution is greatly appreciated. The revi- Bank. The first edition was prepared by the sion was managed by Koji Tsunokawa. World Bank's Interdepartmental Working Overall supervision was provided by Group, comprising Chris Hoban, Michel Ray Anthony Pellegrini, Director of the Trans- and Phil Paradine. Additional primary port, Water and Urban Development De- contributors to the first edition were Alan partment, and John Flora, Transport Advi- Spake of SETRA, Jean-Marc Pages of sor, Transport Division. BCEOM, and Jaques Grelot of Organization Comments and advice were received and Environment (all in France). Individual from numerous other staff of the World sections in the first edition were contributed Bank. Ken Gwilliam undertook the final by Gordon Appleby and Jane Taboroff. xiv Abstract The objective of this handbook is to provide a project development and EA processes, are all description of practical methods which are intended handbook users. useful in designing and executing effective This handbook consists of two parts. Part environmental assessments (EAs) to those who I provides an overview of the EA process in are involved in various aspects of road proj- the context of road planning and construction ects, from planning to construction to mainte- and also describes the detailed methodological nance. This handbook is primarily concerned steps of the EA process, as they apply to spe- with specific road projects, ranging from major cific projects being planned. Part H provides a works on new alignments to minor rehabilita- more detailed, in-depth discussion of each of tion and maintenance activities on existing the major factors involved in environmental roads. The techniques discussed can be assessment, including impact mitigation, of applied to in-depth environmental assessment road projects. Each chapter covers one com- studies, or to modest action plans for dealing ponent of the environment and provide a with environmental aspects of small projects. description of possible impacts, the nature and As EA practitioners are by no means the only scale of the impacts, and some practical infor- set of participants in the EA process, this mation on common mitigation options. This is handbook is not limited to their exclusive use. followed in each chapter by a checklist which People representing the project proponents, suggests common ways of minimizing the im- government agencies, NGOs, research groups, pacts on the component. Each chapter ends and community organizations, as well as any with a list of information sources which users others whose input is desired in both the may want to refer to for more details. xv Executive summary Road projects are generally intended to improve the preparation and management of road proj- the economic and social welfare of people. In- ects. Costs of the indirect effects of pollution and creased road capacity and improved pavements disruption must be examined. Changes to the can reduce travel times and lower the costs of ve- health and social and cultural well-being of hicle use, while increasing access to markets, jobs, communities, and impacts on the biophysical en- education, and health services and reducing vironment and biodiversity, must be considered. transport costs for both freight and passengers. The needs of the poor, and of future generations, For all the positive aspects of road projects, need to be taken into account. they may also have significant negative impacts The change in attitude towards the environ- on nearby communities and the natural environ- ment has three elements. First, the full range of ment. People and properties may be in the direct impacts on the natural and social environment path of road works and affected in a major way. needs to be identified. Second, these impacts People may also be indirectly affected by projects, need to be quantified. The techniques for this through the disruption of livelihood, loss of ac- analysis are often substantially different from customed travel paths and community linkages, those used in road engineering, and often less increases in respiratory problems due to air pol- well developed. In some cases, like that of the lution, and injury from road accidents. Distur- health effects of motor vehicle noise pollution, bances to the natural environment may include scientific consensus is still only gradually soil erosion, changes to streams and underground emerging. Third, procedures need to be estab- water, and interference with animal and plant lished for avoiding, mitigating and compensating life. Roads bring people, and people bring devel- for these impacts. These should include provi- opment. New roads may induce development in sions for consulting affected communities, and previously undeveloped areas, sometimes signifi- following up with implementation plans and cantly affecting sensitive environments and the training. lifestyles of indigenous people. Roads are agents The process which systematically deals with of change, and can be responsible for both bene- these elements is generally called environmental fits and damage to the existing balance between assessment (EA). The objective of this handbook people and their environment, is to provide a description of practical methods All of these concerns will rarely arise in rela- for designing and executing effective EAs to tion to a single project, but it is common to find at those who are involved in various aspects of road least some even in relatively minor road works. projects, from planning to construction to main- Much can be done to avoid, mitigate, or compen- tenance. However, this handbook should not be sate for the negative environmental impacts of a viewed as a cookbook full of recipes which can be road project, but it is important to identify poten- tial impacts early in the road planning process Roads can harmonize with the surrounding and to make provisions for avoiding or mitigat- environment and serve multiple users ing these effects wherever possible. Failure to identify potential impacts may result in delays and cost increases later on in the project's devel- opment. Neglecting to account for impacts may also cause the road agency to adopt solutions that compromise the environment. Poor environ- mental management has been shown to produce negative public perception of road projects, cre- ating additional problems for those yet to come. A truly sustainable approach to road trans- port development calls for a substantial change in attitude towards the environment as it relates to xvi applied systematically in all situations. It should Just as good road project planning, manage- instead be thought of as a kind of template for ment and execution requires well-trained profes- designing and executing effective EAs. Methods sional transportation engineers, technically and approaches will need to be adapted to the credible and environmentally sensitive, road EAs specific needs of each project, environment, require experienced environmental professionals country, and community. supporting the engineering team. These person- The EA approach is not aimed solely at iden- nel should be brought into the project develop- tifying the negative effects of a project in the ment process at a very early stage. context of the area it is being planned in, but also As EA practitioners are by no means the only should optimize the positive effects of the project. set of participants in the EA process, this hand- Project management should be organized so that book is not limited to their exclusive use. Repre- environmental matters are considered, gathered, sentatives of the project proponents, government analyzed, and weighed, and have a timely influ- agencies, NGOs, research groups, and commu- ence on the planning, budget, and design of the nity organizations, as well as any others whose road project. input is desired in both the project development This handbook is primarily concerned with and EA processes, are all intended handbook us- specific road projects, ranging from major works ers. The title page of each chapter contains a on new alignments to minor rehabilitation and schematic diagram that outlines which readers, in maintenance activities on existing roads. The addition to EA team members, will benefit the techniques discussed can be applied to in-depth most from reading the chapter. environmental assessment studies, or to modest action plans for dealing with environmental as- Part I The Environmental Assessment Process pects of small projects. Part I of this handbook provides an overview of The discussion does not deal in any detail the EA process in the context of road planning with alternatives to motorized transportation, in- con ap cludng masurs torestict eman formoto andconstruction and also describes the detailed cluding measures to restrict demand for motor methodological steps of the EA process, as they vehicle use, expansion of public transport serv- apply to specific projects being planned princi- ices, support for non-motorized modes of travel, pally in a rural and inter-urban setting. The urban and long-term changes in urban form and travel setting is more complex and issues pertaining to patterns. These issues are critically important for urban road projects warrant treatment in a sepa- the establishment of sustainable transport serv- pthd ices, and should be fully considered in the analy- rate handbook. sis f tansprt tratgie andlare uran oadChapter 1 introduces the environmental as- sis of transport strategies0and largeurban- sessment process as a planning tool, underscores projects. While they are discussed briefly in vari- the importance of knowing someing about ous chapters of this handbook, they are largely roads and their impacts in different land-use set- outside of its scope, and need to be more fully tings, i.e. urban versus rural and new versus re- dealt with elsewhere. habilitation projects. Five types of EAs applied to Uncontrolled erosion can cause substantial road projects are defined in this chapter. damage both to roads and streams Chapter 2 makes clear the fact that without administrative support for EA and without ade- quate technical capacity or regulatory and moni- toring functions, an EA is merely a paper exercise. Secondly, a case is made for early and careful planning; although this may seem too time consuming, it will pay large dividends once the EA gets underway since the work will have been well thought out and optimized. Chapters 3 and 4 provide details on the EA steps, with Chapter 3 addressing early screening and scoping while Chapter 4 defines each EA step in some detail. The two provide a compre- hensive step-by-step methodology for project- xvii Roads support economic developnment, but with a list of information sources to which users grorving road use adds congestion and pollution may refer for more details. to the urban environnent Chapters 7-17 are designed for quick refer- ~~- Ogg, M 0111 1'2~~~~ ence and should help the reader to: * identify and review legislation and regulations affecting environmental issues; * identify opportunities for positive environ- mental actions; I consult with interested and affected people and incorporate their knowledge and prefer- ences into environmental decisions; * develop environmental management plans with clear responsibilities, resources and fol- low-up procedures; . include environmental responsibilities in con- specific EA. In Chapter 3 the notion and use of tracts and contract management; and access the Valued Ecosystem Component (VEC) is in- more information. troduced; a number of examples are provided. Of considerable importance in Chapter 4 is The topics or themes discussed in this manner the discussion of the Environmental Management are: Plan (EMP), a standard and key output of well- prepared full EAs. An example of such a plan is Biophysical environment also provided. * Water Chapter 5 highlights the close relationship * Ate r between a well-planned and collaborative-style * Alrqua lty public consultation and a successful environ- mental assessment. The importance of identifying Socioeconomic environment who should be involved, knowing how the in- * Community life and economic activity formation needs to be solicited from stakeholders, . Land acquisition and resettlement and how it should be presented, is emphasized. * Indigenous or traditional populations Chapter 6, the last one in Part I, defines the . Cultural heritage different types of impacts practitioners need to be * Aesthetics and landscapes aware of when planning and undertaking EAs. . Noise The box that follows contains eight recom- * Human health and safety. mendations which summarize the message that Chapter 18 addresses the important issues of im- Part I of this handbook seeks to send to road p agnisand their EA practitioners, pact management durmng constructhon, selection agencies and their EA practitioners. of contractors with environmental sensitivity, and Part II Envirounmental Impacts, Their the inclusion of environmental clauses within Mitigation and Their Economic A road and stream come together in Kenya Valuation Part II provides a more detailed, in-depth discus- sion of each of the major factors involved in envi- ronmental assessment, including impact mitigation, of road projects. Chapters 7-17 each cover one component of the environment and provide a description of possible impacts, the nature and scale of the impacts, and some practi- cal information on common mitigation options. This is followed in each chapter by a checklist which suggests common ways of minimizing the impacts on the component. Each chapter ends xviii contracts. A listing of the more general impacts Chapter 19, the final chapter, presents a pre- commonly found with new (or "green-field"), re- liminary guide to the economic valuation of envi- habilitation and upgrading works projects' is pre- ronmental impacts, and describes the most sented. In addition, useful mitigation measures common economic valuation techniques and the are described. circumstances under which they are most use- fully applied. KEY RECOMMENDATIONS FOR ROAD DIRECTORS AND EA PRACTITIONERS 1. Road agencies should have a clearly designated staff member with overall responsibility for environmental matters and knowledge of environmental laws and regulations. 2. The environmental coordinator should have access to senior management, and have their support in coordi- nating environmental actions throughout the organization. 3. Identification and assessment of potential environmental impacts should be an integral part of the project cy- cle. It should commence early in the planning process to enable a full consideration of alternatives, and to avoid later delays and complications. 4. Assessments should be followed up with action plans, monitoring and remedial measures to ensure the ef- fectiveness of environmental recommendations and decisions. 5. Road agencies should develop global policies, procedures and standard contract clauses for the consideration of environmental factors; these should apply to road strategies, planning, management, and operation. 6. Road agencies should review environmental aspects of laws and regulations related to road planning, road works, and road use, and should make recommendations to other government agencies and departments on the need for improvements to the legal framework. 7. Community involvement is an essential element of environmental management of roads. Procedures and skills should be developed for informing the public and interested parties about road proposals, and using consultation and participation to include the community in the decision-making process. This process recog- nizes the importance of non-technical factors in assessment of environmental issues, and the problems expe- rienced in many road projects through a lack of timely consultation. 8. Training is required for road agency staff, consultants, and contractors responsible for assessment of envi- ronmental impacts and mitigation measures, and for implementation and monitoring of action plans. xix Part I The Environmental Assessment Process 1. Assessing the environmental impact of road projects - HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Rol oncept Consultation Key regulatory Pre-feasibility Determining baseline conditions Other government agencies Feasibility Selection of preferred solution NGOs Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan Public/community organizations Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: H What is environmental assessment? H What role does EA play in the planning of a road project? , Why should road managers and planners examine road- environment issues at both project and program levels? H What is the difference between project-specific and strategic environmental assessment? |a How are biophysical, social, and economic impacts, linked, and why is it important to consider them together? H What factors determine the amounts of time and money allotted to environmental assessments? ROADS AND THE ENVIRONMENT: A HANDBOOK 1.1 THE ENVIRONMENT AND ITS A key characteristic of the environment is ECOSYSTEMS its compromise between evolution and balance. The word "environment" refers to our sur- This dynamic equilibrium is a reflection of the roundings -the context within which we exist interactions between and within ecosystems. All things, living or non-living, exist sur- As disturbances arise, a system is thrown off rounded by other things, and therefore all have temporarily. It then begins the process of es- an environment. For humankind, the environ- tablishing a new balance, which may or may ment means, on a broad scale, the biosphere. not be the same as before. The amount of time The biosphere is that portion of the earth- required to re-establish a dynamic equilibrium atmosphere system which supports life, and is may range from minutes to tens of thousands characterized by its existence. It includes the of years, depending on the scale of the disrup- oceans, the continental landmasses, and the tion and the relative fragility of the ecosystem. lower atmosphere. The basic structural unit of Road construction and traffic operations, if the biosphere is the ecosystem. Each ecosystem undertaken without a proper understanding of occupies a space in which homogeneous con- the relationships inherent in environmental ditions prevail, regardless of scale. Area can be function, can be accompanied by serious dis- defined in terms of a few hundred square me- ruptions to the environment, from which it may ters or thousands of square kilometers, and take a long time to regain equilibrium. In hu- depth can vary from a few centimeters (desert man terms, this may mean that generations soil) or dozens of meters (tropical rain forest) to must function in a debilitated environment and kilometers (oceans). suffer many possible associated socio-economic The components of the environment are hardships and financial losses. inextricably linked-no component exists in total isolation, and nothing can be changed 1.2 ROADS, THE ENVIRONMENT, AND without affecting something else. Conse- THE NEED FOR ENVIRONMENTAL quently, the environment cannot be assessed ASSESSMENT simply by examining its components in isola- There is a growing awareness that road devel- tion; instead, they must be considered as parts opment has major environmental impacts.2 of the whole. This concept is crucial in under- Some of the major environmental impacts of standing the role which humans play in affect- road projects include damage to sensitive eco- ing their environment. systems, loss of productive agricultural lands, People are an integral part of the environ- resettlement of large numbers of people, per- ment, and are active participants in many eco- manent disruption of local economic activities, systems. Indeed, every aspect of human demographic change, accelerated urbanization, interaction, be it social, economic, or physical, and introduction of disease. can be considered to affect the ecosystems of Since environmental impacts from road which we are a part. In other words, we affect development are quite common, such projects the functioning of our environment through usually call for comprehensive environmental our daily actions.' As we change the nature or assessment studies, carried out by EA profes- intensity of our activities, the natural equilib- sionals (both specialists and generalists) who rium of our environment must shift to accom- support the main engineering team. Substantial modate these changes. Likewise, as systems time and effort is often required to identify change around us, and in response to us, we potential impacts and options for minimizing must accommodate them. Our actions have them (Sections 3.1 and 3.2), to consult with consequences not only for our immediate envi- various groups who have an interest in the ronment, but for us as well; anything we do to project (Chapter 5), and to develop and imple- degrade our environment will generally affect ment mitigation plans (Sections 4.5 and 4.6). In our well-being later on. addition, contract clauses (see Section 18.3) covering work procedures and staff training 'Here and throughout this handbook, the term environ- need to be prepared, and work processes in ment shall be assumed to encompass both bio-physical and socio-economic components, unless specified other- 2 Based on the 1995 World Bank survey of large develop- wise. ment projects funded by the Bank. 4 ASSESSING THE ENVIRONMENTAL IMPACT OF ROAD PROJECTS relation to roadside communities, flora, and ii) existing (rehabilitation/upgrade); fauna given considerable attention. iii) rural; In order to conduct EAs successfully, road iv) urban; and agency staff need to understand the assessment v) mixed. process and must coordinate it with road plan- ning, design, and construction activities, al- 1.3.1 New versus existing project types lowing sufficient lead time and funds for the necessary additional steps (see Chapters 3 When planning and executing EAs for new and 4). road and road rehabilitation projects, propo- It is essential that road agency staff be able nents need to be aware that the impacts associ- to ated with these two project types are significantly different. Box 1.1 presents these . recognize potential environmental concerns; differences in terms of a set of generalized EA * know when to call in specialist experts; steps, defined according to the two project . know how to specify and manage their work; types. The key difference is that, for new proj- and ects, the focus is on preventing impacts, . know how to implement mitigation plans whereas for existing or upgrade projects, the and environmental contract clauses. focus is on rehabilitating and mitigating further New skills may have to be developed to impacts. meet the demands of the EA process. This is especially true in the area of consultation with 1.3.2 Rural versus urban project types affected residents, interested members of the It is also important to distinguish between proj- public, government departments, and other ects proposed for mainly rural settings versus organizations (known collectively as the stake- those planned for predominantly urbanized holders). While road agencies are generally areas. Road developments in these two envi- quite responsive to the concerns of these stake- ronments present significantly different prob- holders on engineering issues, the dialogue on lems. environmental matters often needs to be ex- In the rural setting, the key impacts usually panded to include a broader range of topics. revolve around removal of productive agri- Agency staff involved in the consultation proc- cultural lands and the opening up of previously ess must be equipped to address varying in- inaccessible, or marginally accessible, territory stitutional and cultural needs and differences to in-migration and large-scale resource har- (see Chapters 2,13 and 14). vesting. Introduction of new sources of noise is Projects limited to road rehabilitation, often an issue in rural settings where ambient maintenance, minor construction, as well as to noise levels are typically low. Furthermore, traffic management and regulation, generally because rural life is so closely integrated with involve lesser environmental concerns. These the biophysical aspects of the environment, situations do not call for full-scale EAs (see issues such as water quality and biodiversity Section 3.5), but do require impact identifica- conservation deserve special consideration. tion, mitigation, and a certain amount of com- In the urban setting, where population pliance monitoring and documentation. densities are higher and the connection to the biophysical environment is less significant, the 1.3 NEW, EXISTING, RURAL, AND dominant impacts have to do with displace- URBAN PROJECT SETTINGS ment of people and their homes, general neigh- In relation to the impacts they generate, road borhood disruption, local airshed projects are commonly placed into one of five contamination, and noise. In those urban areas categories:3 where the mode of travel is dominated by the non-motorized vehicle, access and movement i) new; restrictions become major factors to consider when planning facilities for motorized vehicles. 3 This is not road planning terminology, but is included here to help identify the likely general magnitude of im- pacts. 5 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 1.1 COMPARISON OF KEY EA CONSIDERATIONS FOR NEW VERSUS UPGRADE OR REHABILITATION TYPE PROJECTS For a new facility the focus is on the proper technology and siting. The proponent should: . justify the need and the use of a preferred technology; * describe the actions taking place during each of the main phases of a project (construction, operation, and maintenance) which could lead to environmental damage; * prepare alignment drawings which show the location of the facility relative to the local bio-physical and socio-cultural environmental features; . identify the potential impacts of the facility relative to surrounding land use within a 5 km radius/corridor4 of the facility; and . fornulate a plan to prevent anticipated undesirable impacts from being actualized. For existing facilities, which generally undergo enlargement or upgrading, the focus should be on any neces- sary repair or rehabilitation of prior environmental damage. For example, a bridge from a previous road proj- ect that restricts water flow-thus causing annual flooding, preventing upstream fish migration, and resulting in a severe depletion of the local food source-should be examined with special regard to widening the water channel. For existing projects the analyst would: . define the nature of the proposed work and how it would change the existing facility; . identify which, if any, aspects of the existing facility have caused unacceptable negative impacts; * analyze the combined effect of the rehabilitation action with that of the existing facility operations; and * prepare an action plan for the repair of the damage done and for the prevention of any negative effects re- sulting from the new work. This requirement does not suggest that the state of the environment in the study area must be brought back to the pre-development state but rather that, at the very least, the deg- radation be halted and the environment not be subjected to significant new negative impacts. Consultation is important for both urban integral part of the project, they should be in- and rural locations. It enables road project pro- cluded in any EA. For various practical rea- ponents to identify potential impacts as well as sons, however, urban areas are often excluded local sources of information and knowledge, to from projects. This applies particularly to the highlight community concerns about the effects terminus. Later, they may find that those traffic of road changes on lifestyles and welfare, and problems which result from a larger capacity to encourage participation in the development road feeding into a lower capacity urban arte- of workable solutions (see Sections 4.2.3 and rial (congestion, safety, restricted access, etc.) 4.4.2). are forcing remedial actions that are far costlier Although the methods discussed here may than early preventive measures would have be applicable to urban projects as well, the been, provided they had been based on a thor- major focus of this handbook is on rural and ough examination of these urban nodes. There inter-urban road projects. The more complex are many cases where it is desirable to include urban issues deserve a separate volume and all urban sections in a road project through will not be dealt with extensively here. which a road passes and in which it ends. 1.3.3 The "mixed" rural-urban project 1.4 THE ENVIRONMENTAL In reality, most rural projects are actually a ASSESSMENT (EA) mnixture of rural and urban sections, since rural In this handbook, a full environmental assess- roads do not simply stop in the countryside but ment (which normally yields an environmental traverse, or end in, urban areas. If the urban impact statement or "EIS') consists of a rigor- areas at the ends of the road, as well as any ur- ous study that involves a thorough documen- ban areas traversed by the road, are in fact an tation of existing conditions, an identification of impacts, and a comparative examination of im- 4 Width of a corridor to be studied depends on the legal pacts arising from the road project alternatives. requirements plus the predicted extent of the impacts- A growing number of development planners identified during the project scoping. Corridor widths and managers now recognize that EA is an ex- range from 100m to 10km (for green-field roads). 6 ASSESSING TBE ENVIRONMENTAL IMPACr OF ROAD PROJECIrS cellent preventive planning tool, provided that Three of the most important steps in EA are it is implemented early in the project develop- screening, scoping, and analysis of alternatives. ment sequence (Figure 1.1). The screening stage provides a preliminary EAs generally have three objectives: evaluation of the magnitude of potential im- i) to present to managers and decision- pacts and determines whether further study- makers a clear assessment of potential im- such as a full EA -is needed. The scoping stage pat hihaprast ll should indicate clear spatial and temporal pactsich a proe or a sratg evel boundaries for the EA. The analysis of alterna- enitiatv muatyh tives should yield a well-informed decision on mental quality; tehasotslto seSco324 n ii) to apply to a project (or a strategic level the transport solution (see Section3.2.4) and initiative) a methodology which assesses the optimal project design, based on consulta- initiatdive) aimpactsondo prowichs asshes tion with stakeholders and experts, as well as a and predicts impacts andpov a) the careful technical examination of each alterna- means for impact prevention and mitiga- tion, b) the enhancement of project benefits, tive (see Chapter 4). These three steps must inte- FIGURE 1.1 grate biophysical, social, and eco- SYNCHRONIZATION OF THE EA AND PROJECT DEVELOPMENT nomic considerations in order to PROCESSES5 set the stage for an EA which .ot4lENTrAL AWXss4 weaves together actual cause- and-effect interactions between _ AmyfA _the natural and the social envi- ~ CenadN#W| c C_ _ ronment, thus leading to a more holistic outcome. Unfortunately, S- Scprang d >-qFEASIB Y tEC.:;= t \ this is not always the case, since ;L RI?,"ASIMUTY ~ Nz \ regulations and practitioners of- fer conflicting messages on how CONCEPT DESIGN EAs should be approached (see J t'~ppIyMmWA- Box 1.2). _ ~~i M OPERAONS CONTRACTING 1.4.1 EA and road project de- AND MAINTENANCE f velopment Efftd. M-ftwing E CONSTRUCTIN nn. From an engineering or planning -W Repw1h* sp ;co9 perspective, project development cZn.. generally follows a well-defined \ ~~~~~~~~Complhno Monitong_ and process which includes pre- feasibility and feasibility studies, a t4 - LNrA°T.prehminary design, detailed de- TT1ON OF EA SPGCx sign, and construction. This is followed by operation and main- and c) the mininization of long-term im- tenance of the completed project. Depending pacts; and on the nature of the project, consultation with iii) to provide a specific forum in which con- various government agencies, the public, or sultation is systematically undertaken in a both, may be an essential component during manner that allows stakeholders to have several of the early stages of the process. It is direct input to the environmental manage- important to synchronize environmental stud- ment process. ies with the project development process. Ide- ally, the EA and project development processes should be conducted in tandem. The EA docu- S This diagram is presented here to illustrate that project ment should be completed by the feasibility development is not really cyclical, but rather has a well- stage of the engineering work, and the imple- defined beginning and end. New projects enter the process mentation of the mitigation plan should be tied at the concept stage and leave after effects and monitoring have been completed. 7 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 1.2 book, since they are most pertinent to road ENVIRONMENTAL VERSUS SOCIAL ASSESSMENT projects. EAs continue to suffer from the practice whereby 1.5 ENVIRONMENTAL ASSESSMENT managers and practitioners segregate the biophysi- AT THE INDIVIDUAL PROJECT cal and social environment in actuality, even though LEVEL6 regulations and legislation proclaim that the two are integral to one and the same environment. Conse- quently, the correct legal definitions exist, but they 1.5.1 The project-specific environmental are applied incorrectly. Analysis of EA guidelines assessment (EA) for many jurisdictions reveals that while their EA The project-specific environmental assessment tables of contents include sections on the social (EA) is the most common form of EA, and there components, these social components are treated is considerable experience with its execution.7 separately from the EA; sometimes they even appear Iayesu fcu oid n in a totally separate document under the Social Im- Ideally, EAs should focus on identfying po pact Assessment (SIA) heading. Moreover, terms of tenhal impacts on the local and immediate en- reference for EA projects are frequently prepared vironment within the context of a region or separately as 'enviromnental TORs" and "social sector. However, they are nearly always carried impact TORs." As long as this dichotomy is main- out in isolation, with little regard for what is tained, a true ecosystem approach to EA will not be happening beyond the project site and without possible. considering existing future plans for the region. Clearly, there is room for improvement in this in closely with the design, construction, and area. As part of the project scoping exercise, operation phases (Figure 1.1). measures such as assessing the cumulative im- Increasingly, environmental assessments pact of multiple activities, and reviewing ex- are required by national and intemational law isting and planned developments in the region, as well as other regulations. An environmental are both desirable and necessary. assessment should therefore be considered and Project-specific EA allows road agencies to provided for from the outset in the budget of all road projects. ~~* familiarize themselves with the environ- all road projects. mental status of the proposed site and an- 1.4.2 Types of EA ticipate any environmental impacts that may arise from the road project; There are at least five types of EAs now being * highlight likely design problems, thus per- undertaken around the world. They can be mitting the agency to make early changes grouped as follows: and avoid costly delays at a later stage; and Traditional project-specific EAs * integrate the project into the existing envi- i) project specific EA; ronment. ii) programmatic EA; iii) summary environmental evaluation; and 1.5.2 The programmatic or class EAs iv) regional EA. Another project-level assessment type is vari- Strategic EAs ously known as the programmatic,8 categorical, v) sectoral EA. While the majority of EAs completed are project-specific, the past few years have seen 6 For an in-depth discussion of these types of EAs and an EAs extended to address sector-level planning, extensive bibliography, see World Bank, 1996(b). programs, and policies (such as the ones deal- 7 While the experience base is extensive, practitioners con- tinue to make the same nistakes; lessons learned are rarely ing with development and environment in a recorded and 'effects monitonge is not undertaken. The strategic way). An example of a sectoral EA International EIA Network is now being established. One would be the assessment of the effects resulting of its objectives is to build a library of EIA case studies and from a province-wide road rehabilitation pro- make it available to all practitioners. Contacts are listed in gram. The project-specific EA,theregithe section entitled "Other sources of information" at the gram. The project-specific EA, the regional EA, end of this handbook. and the sectoral EA are the focus of this hand- 8 As used by the United States Environmental Protection Agency. 8 ASSESSING THE ENVIRONMENTAL IMPACT OF ROAD PROJECTS or class9 EA. Class EAs have been developed used to decide if an SEE or lEE is appropriate for consideration of groups of projects which for a given project. are similar in type, scope, and scale, and whose impacts are generally well understood. Exam- 1.5.4 The regional EA (REA) ples include sewage treatment facilities, road Regional EAs12 are used to assess environ- maintenance and rehabilitation projects, and mental effects relating to the broad spatial small bridge construction. The class EA steps context of a proposed project. The main objec- applied to a project within a given group con- tive of the REA is to assess the cumulative and sist of a prescribed methodology which in- other potential effects that all projects (present cludes specific criteria, standards, and and future) proposed for a geographic area or mitigation options known to be useful for the administrative region might have on the envi- group or class of similar projects. For a class ronment (see Box 1.3 for a definition of EA, mitigative measures are selected from a "region"). Examples of these areas might in- predefined list of measures that are proven to clude a coastal zone, a forest region, a water- be effective, and then tailored to the specific shed, a municipality, a county or a province. project As long as the projects fall within the definition of the class,10 the methodology can be undertaken with little involvement on the BOX 1.3 part of the regulatory agency (e.g. a Ministry of DEFINITION OF A "REGION" Environment and Planning). The reason for this The Organization of American States defines a re- is that the guidelines used to specify the EA gion as "any sub-national area that a country calls a steps for the class undergo their own full EA region for purposes of planning or development" and become a methodology sanctioned by the (OAS, 1984). Such an area is usually demarcated regulators and other stakeholders (through along administrative boundaries and may be com- consultation sessions). Class EAs can save con- posed of one or more municipaities, provinces, or siderable time and money but, at the same states. Elsewhere, a region is defined as the locus of a specific problem (for example, poverty, social ten- time, are self-poimcg, thus placmg the onus on sion, and population pressure) or according to eth- the proponent to adhere to the specifications. mc makeup. Socio-economic characteristics may also The document arising from a class EA is often define regions, such as a generally poor rural area or referred to as an Environmental Study Report, a major industrial area. as opposed to an EIS. For purposes of integrated regional planning and REA, the ideal approach is normally to define 1.5.3 Summary or initial environmental the region in natural-spatial terms. Common geo- evaluation (SEF/TEE) graphically defined units are river basins, mountain evaluation (SEF/IEE) ~~~plateaus, forested areas, coastal zones, airsheds, and In many cases, a more limited environmental island configurations. An urban area can also be a analysis is appropriate. This type of study, re- very useful unit of analysis, often providing a de- ferred to either as an SEE or IEE, focuses on gree of consistency across natural-spatial, socio- specific impacts and their mitigation."1 The re- economic, and administrative boundaries. sults of this type of study can take a variety of Therefore, the decision on the study area forms, but they are sometimes presented as a boundary for an REA will require broad scoping self-standing mitigation plan or an environ- and consultation and will be specific to the situation mental management plan. The screening, being assessed. scoping, and consultation tasks are normally Source: World Bank, 1996(a). 9 As applied by the Caadian Environmental Protection Therefore, the REA can cover one project or Agency. several (multi-sectoral), with the unifying char- 10 The definition of a class includes a description of a set of criteria which qualify a project for inclusion in the class acteristic being common geographic situation. These criteria generally deal with capacity, volume output, REAs do not eliminate the need for full EAs, area coverage, or type of activity. but place each specific project into a better- 11 While SEEs and EEs are often the only EA analyses applied, their function is also to determine what additional EA work needs to be done. SEEs and lEEs can be the inutial work preceding a more detailed EA. 12 See also World Bank, 1996a. 9 ROADS AND THE ENVIRONMENT: A HANDBOOK understood regional context, emphasizing the (including the biophysical, social, and eco- interrelated nature of the environment. nomic components), and likely assessment, mitigation and monitoring needs. SEAs should 1.6 ENVIRONMENTAL ASSESSMENT AT rely heavily on consultation with stakeholders THE STRATEGIC LEVEL to build ownership in any proposed mitigation Strategic EAs are formalized and systematic strategy. procedures for establishing environmental im- SEAs should have four key outputs: pacts, which may arise from broad actions such i) an assessment of policy, legal and admin- as new policies, national and regional devel- istrative conditions in temns of complete- opment plans, or major program initiatives. ness and appropriateness with regard to They help to inject environmental considera- the sectoral initiatives proposed; tions and actions into decision-making, above ii) an institutional strengthening plan based and beyond the project level. on the examination of the capacity of key Goodland and Tillman (1996) identify six regulatory agencies" ability to set guide- types of strategic EAs: lines, enforce standards, manage an EA, i) Sectoral EAs (SEA); review EA results, and act as environ- ii) EAs of programs and policies; mental opinion-shapers for senior decision- iii) EAs of structural adjustment projects; makers; iv) EAs of privatization initiatives; iii) an analysis of alternative investment op- v) EAs of international treaties; and tions, as opposed to project designs vi) EAs of national budgets. (alignments); and iv) recommendations for sector-wide regula- 1.6.1 The Sectoral EA (SEA) tory changes as possible mitigative meas- Of the six strategic EA types, only the SEA is ures; one example of this would be addressed in this handbook. It is the most rele- requiring the use of unleaded gasoline to vant in the context of road development The reduce lead contamination. main objective of the SEA13 is to assess macro- In the transportation sector (and not only scale development alternatives and, through there), SEA is sometimes applied in situations this process, formulate sound environmentally- where a transportation mode is fixed but vari- based advice on appropriate and sustainable ous road sub-projects need to be assessed. In development goals. The SEA highlights the this situation, the SEA is used to prioritize the benefits and costs of undertaking sector-wide sub-projects in terms of impacts, benefits, and action by comparing one strategy with another. EA requirements. This "modified" SEA pro- In the context of roads, an SEA might ad- dress a sector-wide investment in a relatively large geographic area, such as a province or BOX 1.4 state, integrating environmental concepts and COORDINATION OF TRANSPORT AND LAND USE strategies into the transportation planning PLANNING process. This would require an analysis not Land use planning issues are usually considered an only of infrastructure but also of land use (see element of project planning and included in project Box 1.4), road user charges, land development environmental assessments. However, only a few and emissions legislation, as well as other poli- countries have developed land use plans and poli- cies that can influence transport choices. cies for use at national and regional levels, that is to SEAs are also useful in identifying macro- say, outside urban areas. Regional comprehensive level information gaps that need to be filled if land use plans, where they exist, provide an impor- leve infrmaton gps tat ned t be ille if tant information base for road envirornmental stud- informed and environmentally acceptable deci- ies. Conversely, a road or transport planning issue sions about sector-wide development are to be can sometimes be a catalyst for initiating a compre- made. hensive land use plan for the region concemed. SEAs rank projects within the sector in Source: OECD, 1994. terms of their environmental strengths 13 See also World Bank, 1995. 10 ASSESSING THE ENVIRONMENTAL IMPACT OF ROAD PROJECTS BOX 1.5 SUGGESTED APPROACH TO SECTORAL EA: WORLD BANK ASIA REGION Experience in the road sector, particularly in rural areas, has spurred development of informal procedures for sectoral EA in the Bank's Asia region to ensure consideration of all possible impacts on the environment. Ac- cording to the informal procedures, this form of sectoral EA should contain: * a screening process designed to identify sub-projects having potentially significant issues that would need to be addressed in a sub-project EA; * a general assessment of the kinds of impact that might be associated with the different types of rural road sub-projects; and * a sectoral environmental action plan to eliminate, minimize or mitigate the impacts resulting from sub- projects identified as not requiring full EAs and provide general guidelines for long-term monitoring. Two categories are used in environmental screening of sub-projects: i) sub-projects that may create a few minor and easily recognizable environmental problems, but no signifi- cant ones; and I ii) sub-projects with potentially adverse impacts on environmentally sensitive areas, defined as zones of sig- nificant human habitation; ecologically important areas such as wetlands and primary forests; archeologi- cal, historical, and cultural sites; and terrain with slope greater than 50%. The second category of sub-projects usually requires project-specific EAs, while the first category is addressed primarily through the sectoral EA in the form of general impact assessments, sectoral action plans, and codes of engineering practice for environmentally sustainable road developments. These codes apply to both categories of sub-projects and cover such issues as construction practices, site selection, resettlement and compensation, as well as public consultation or participation. Source: World Bank, 1995. vides not only a process with which to identify tensive environmental analyses are well below the magnitude of the impact and the EA these levels; studies lasting as little as six weeks method to be applied, but it can also be used to have been reported. prepare all environmental "clearances" for The costs of mitigative actions are better those sub-projects which do not require a full documented; an allocation of two to five per- EA. Box 1.5 presents a generalized SEA proce- cent of project construction costs is often re- dure that clarifies the differences between this quired, yet could be higher in urban areas or and other EA methods. sensitive locations. Questions that should be considered when 1.7 EA DURATION AND BUDGET estimating an EA's duration and budget are Among the factors to be considered before be- * Is information available in existing databases ginning an environmental assessment are the or is a field study necessary? time to be devoted to the study (see Section 2.5) * Is seasonahity an issue? and the budget for preparing the study. * Should the study be conducted by an exter- Broadly speaking, the duration of an environ- nal project team because of the environ- mental assessment is usually between six and mental expertise required or can it be done eighteen months, and expenses range between in-house by a generalist? five and ten percent of project preparation * Is the study to be undertaken parallel to costs.'4 An EA begun late in the project (at the technical and economic investigations, or is a design stage, for instance) may cause delays report requested only after such planning and exceed the suggested time range. The work has been completed? (The latter is of- budget and timeline expenditures for less ex- ten more expensive, has tighter time con- straints, and can lead to project delays.) 14 In the World Bank (1996b) review of EAs, completed between 1992 and 1995, it was concluded that EAs ac- counted for 0.06% to 0.45% of the total project cost (as opposed to project preparation cost). Examples: Bombay STP: $310,000 (0.11%); Yemen Road Project: $250,000 (0.27%). 11 ROADS AND THE ENVIRONMENT: A HANDBOOK 1.8 REFERENCES AND BIBLIOGRAPHY Canadian International Development Agency and Consultants. 1996. Project Feasibility Study Report. Mombassa Urban Transportation Strategy, Project documentation. Hull, Canada: Industrial Cooperation Division, CIDA. Davies, K. 1992. An Advisory Guide on Addressing Cumulative Environmental Effects under the Canadian Environ- mental Assessment Act. Hull, Canada: FEARO. Goodland, Robert and Robert Tillman. 1996. "Strategic Environmental Assessment", in J.R. Mercier and S. Muntemba (eds.), Environmental Assessment in Africa: A World Bank Commitment. Proceedings of the Durban World Bank Workshop. Washington, DC: World Bank. Lee, N. and Walsh, F. 1992. Strategic Environmental Assessment: An Overview. Project Appraisal 7(3): 126-136. Leibowitz, S.G. 1992. A Synoptic Approach to Cumulative Impact Assessment: Proposed Methodology. Corvallis, OR: Environmental Research Laboratory, US EPA. Mercier, J.R. and S. Muntemba (eds.). 1996. Environmental Assessment in Aftica, A World Bank Commitment. Pro- ceedings of the Durban World Bank Workshop. Washington, DC: World Bank. Organization of American States (OAS). 1984. Integrated Regional Development Planning: Guidelines and Case Stud- ies from OAS Experience. Washington, DC: OAS. Organization for Economic Cooperation and Development (OECD). 1994. Environmental Impact Assessment of Roads (Chapter II, Strategic Environmental Impact Assessment). Scientific Expert Group El. Paris: OECD. Rabinovitch, J. 1992. Curitiba, Brazil: Environmental Management Case Study. Urban Management Programme. Washington, DC: World Bank. Sheate, W.R. 1992. Strategic EA in the Transport Sector. Project Appraisal 7(1): 170-174. United Nations Environment Program. 1995. Environmental Impact Assessment "Good Practice Guide". Nairobi, Kenya: UNEP. Vanclay, F. and D.A Bronstein (eds.). 1995. Environmental and Social Impact Assessment. New York, NY: Wiley. World Bank. 1996a. "Regional Environmental Assessment," in Environmental Assessment Sourcebook Update, no. 15. Washington, DC: World Bank, Environment Department. World Bank. 1996b. The Impact of Environmental Assessment: Second Environmental Assessment Review of Projects Financed by the World Bank (July 1992 - June 1995). Washington, DC: World Bank, Environment Department World Bank. 1995. "Sectoral Environmental Assessment," in Environmental Assessment Sourcebook Update, no. 4. Washington, DC: World Bank, Environment Department. 12 2. Environmental assessment management and institutional issues HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING (; ra) l m i gE activity ~~~~~(B) Invo vement in addition to EA team | 5~~~~~~~~creening C Pr-fasbilih, C~onsultation Proponent |E easibility 'Determining baseline conditions Key regulatorY agency |I-iFesringbdesign Selection ofpreferred solution Other govern-ment agencies | gConstruction Assessment of alternativte designs/jmethode NGOs |()peration D altnn e vEfecoIetsn of Environmentlmagent nt 1a Research groups Constructin Developnei~t of evironmentl anageinent plan Public/corrMun'ty organization~s OpLrtmo1 & minitenance Effects and co ..pi iaiice mnOlitoring Idioy xet Evaluation Advisory experts Reporting KEY QUESTIONS ADDRESSED: = Who does what in the EA process? 0 Where, when and why are environmenta skills particularly 0 What types of training programs are needed? What are the keY features sought when strengthening ROADS AND THE ENVIRONMENT: A HANDBOOK 2.1 EA AND INSTITUTIONAL most notably the environmental agencies-in DEVELOPMENT its efforts to incorporate environ-mental con- Every country has to develop its own capacity siderations into road development to conduct EAs. This is required for a host of Looking at EA in the context of this larger public and private sector initiatives, in addition system of environmental management, there to roads. The EA process is a continuous plan- are four broad sets of functions that have to be ning exercise that aims to harmonize develop- performed and that are particularly significant ments such as roads with sustainable societal in ensuring that environmental considerations development. The key steps involved in the EA be incorporated into road planning, construc- process, as it pertains to road projects, are tion and maintenance. In performing all four, summarized in Figure 1.1 (page 7) and elabo- persons with environmental skills are required. rated in Chapters 3 and 4. Together, these steps The functions are: require that many distinct functions be per- i) developing policy and legal directives; formed. While these functions fall into three ii) conducting EA studies; broad categories-policy-oriented, technical, i) implementng the environmental manage- and managerial-each function calls for spe- ment plan; and cific skills on the part of different players. Envi- iv) managing the overall EA process. ronmental skills feature prominently in these requirements. It is for the central executive (the office of the The full complement of people required to prime minister or president) of a government conduct an EA should be drawn from a broad to assign responsibilities for the effective per- mix of generalists and specialists. Ensuring that formance of the first of these sets of functions these people are well-trained, informed, coor- and thus, indirectly, the latter three. Each func- dinated, and supported calls for competent tion is summarized below. management and other institutional support. The development of this institutional capacity 2.2.1 Developing the policy and legal to perform EAs on roads is, in turn, closely directives aligned with the broader exercise of the devel- The development of policy directives will nor- opment of capacities to incorporate environ- mally be assigned to the environment ministry mental considerations into other activities or its equivalent. The ministry should be man- arising from public policy. dated with the responsibility for introducing International funding institutions are very EA into the planning process of public sector supportive of national efforts to enhance insti- agencies. Most frequently, the initial follow-up tutional capacities associated with policy re- will take the form of a ministerial decree. It is form, country management of technical desirable that an environmental assessment act assistance, and areas of special operational em- should follow. This often results in the creation phasis including, among others, environmental of an environmental assessment agency, re- management. porting to the minister of the environment, and This chapter examines what is involved in responsible for overseeing the conduct of EAs developing the capacity to conduct EAs on by line agencies, such as the transportation road projects. agency. The EA Act or similar legislation will most 2.2 FUNCTIONS TO BE PERFORMED likely assign responsibility to the road agency AND THE NEED FOR for conducting, or at least coordinating, EAs on ENVIRONMENTAL SKILLS road projects and, more generally, managing The EA process, summarized in Figure 1.1 the road EA process. (page 7), takes place within a larger context of The environmental agency is usually re- ongoing initiatives on the part of the public and sponsible for drafting all environmental policy private sectors to promote environmentally statements, laws, regulations, decrees, and cir- sustainable development. Thus the manage- culars, and is sometimes responsible for policy ment of a road agency should be able to receive guidelines and contributions to international institutional support from other agencies- conventions. Inter-agency coordination is nec- 14 MANAGEMENT AND INSTITUTIONAL ISSUES essary both in drafting these instruments and the environment, relative to standards. During applying them to such activities as road devel- the monitoring stage, the particulars of regula- opment. In this regard, environmental special- tory standards may be of great importance, and ists have a major role to play within a road should be referenced in project documentation agency, in keeping abreast of the requirements or be readily available. of regulatory agencies, and in developing an ef- Although it is not possible, in this hand- fective dialogue with them during the prepara- book, to deal with regulations for all of the tion of new regulations. above-mentioned environmental components, The environmental assessment or environ- useful references can be found in Part II. mental management plan should note the vari- ous national requirements that apply. Financial, 2.2.2 Conducting the EA studies physical, or other criteria should be clearly While all road-related EAs are likely to be the identified. This is especially important in the responsibility of the transportation agency, the case of sectoral enviromnental assessments, scale of the project will likely dictate the or- where several different procedures may be ganizational arrangements for the conduct of used. Failure to follow regulations such as the the EA, and who is best suited to carry out the following can block the progress of a whole required tasks. Some of the most important of project. these tasks are the assessment of alternative * Regulations concerning procedures -for ex- solutions, the analysis of baseline conditions, ample, with respect to supervision of the the analysis of potential environmental im- study, certain regulations specify the condi- pacts, the evaluation of alternative designs, the tions under which the authorities responsible development of mitigative measures the valua- for the environment will intervene in the en- tion of environmental costs and benefits, and vironmental assessment and the extent of the development of the environmental man- their prerogatives. agement plan. i Regulations concerning methodology-for Environmental specialists are generally example, certain regulations require that needed within a road agency to undertake all studies be carried out in a particular manner of the above-mentioned types of tasks; indeed, and be presented in a specific format. it is highly desirable that environmental spe- , Regulations concerning environmental stan- cialists be assigned to lead such work. To com- dards (important for management plans). plement the planning, engineering, and Regulations are extremely important be- economic skills available within a road agency, cause they usually specify standards to be used environmental specialists should possess a by environmental specialists, and others, when knowledge of the social sciences, natural sci- evaluating the acceptability of the project, as ences, and public consultation methods. well as the measures to be taken in order to For small projects with limited environ- protect the environment Often measures are mental problems, in-house environmental spe- not specified, but the standard will imply a cialists should be able to carry out the entire certain method and level of effort. Require- study independently, perhaps with advice and ments of nationaL regional, and local govern- assistance from other specialists. This experi- ments, and any financing institutions, should ence is important for in-house specialists, as it also be taken into account develops skills which may be helpful when car- Standards are developed for a diverse rying out larger projects. range of environmental components, which in- For larger projects, enviromnental studies clude air, noise, quality of the water and the may be carried out by consultants on contract, soil, protection of natural surroundings or ar- or by way of a combination of in-house analy- chaeological sites, and public health. An envi- sis, coordination with other specialized agen- romnental assessment may simply reference cies, and subcontracts to consultants or the appropriate standards, without providing universities for specific components. Where a all the details, except where they are particu- full enviromnental assessment is required, the larly relevant. Mitigative measures are often work can be executed by engineering consult- based on the degree to which impacts change ants with an environmental division, or by con- 15 ROADS AND THE ENVIRONMENT: A HANDBOOK sultants specializing in enviromnental studies. Drafting of contract specifications In-house environmental specialists are needed Road engineers need to work closely with envi- to establish terms of reference for such studies, ronmental specialists in completing this exer- to evaluate and supervise consultants, to assist cise. Contract specifications are required for the with public consultation processes, and to co- implementation of mitigative measures as part ordinate with project planners and other envi- of the overall construction work, such as tree ronmental experts. removal, revegetation, construction traffic Since consultation is such an important management, and cleanup of work sites. Cer- element in the completion of environmental tain measures, such as the relocation of animals studies (see Chapter 5), the environmental spe- (temporary or permanent), reforestation, or re- cialist, as well as other team members, should settlement, may require the services of special- be skilled in consultative techniques and in ist subcontractors. Specifications are also handling difficult situations that may require required to ensure environmentally acceptable considerable tact and diplomacy, often with facility operation and maintenance. These larger audiences. would become part of the requirements of the proponent, as opposed to the constructor. This 2.2.3 Implementing the environmental very important matter of contract specifications management plan (EMP) is discussed further in Chapter 18 of this hand- One of the key products of the EA studies is an book. environmental management plan, also known as an environmental action plan (see Sec- Supetvision of construction tion 4.8). Its implementation involves manage- Most construction work requires the presence rial and technical level personnel from both of an inspector, representing either a govern- within, and external to, the road agency. Envi- ment road agency, the contractor, or a consult- ronmental skills will be required by many of ant's office, in order to ensure that the technical these persons at the various stages of imple- clauses of the contract are respected, and that menting project actions related to the environ- the reasons behind them are fully understood. ment. These stages include route choice, land This latter consideration suggests that these acquisition and preliminary design, detailed supervisors should have some environmental design and contract specifications, construction training (see Chapter 4). supervision, and maintenance and follow-up of mitigation plans related to both the social and Supervision of maintenance and follow-up of natural environment mitigation plans The environmental specialist's contribution At this stage, supervisors take responsibility for in each of these stages warrants further com- operating and maintaining the installations ment. once construction is completed. Again, as in the case of construction supervisors, some envi- Route choice, land acquisition and preliminary ronmental training is required for inspectors. design Timely action can be critical for the protec- By working with road engineers and planners tion of the environment For example, main- at this stage, environmental specialists should tamining drainage ditches and structures will ensure that community and environmental is- prevent large-scale erosion during major sues are incorporated into project formulation storms. Monitoring mitigative measures during early on in the road planning process, and also operations helps to ensure that maximum bene- increase awareness of environmental factors fit is obtained from their sometimes costly im- throughout that process (see Figure 1.1, page plementation. 7). The environmental specialist should identify Apart from the maintenance of physical in- potential needs for liaison with outside experts, frastructure, attention must also be given to so- for example in landscape, wildlife protection, cial mitigative measures (ongoing support for or the design of improved water retention affected residents and businesses), natural schemes. habitats (success of re-establishment of plant or 16 MANAGEMENT AND INSTITUTIONAL ISSUES FIGURE 2.1 EA PROCESS: APPROXIMATE DISTRIBUTION OF MANAGEMENT EFFORT Evaluations - Plan EA - 20% EIA contract & quality control - 15% Manage EMP - 30% Review, consultations on Review EMP - EIA findings - 10% 15% Source: Inter-American Development Bank, 1996. animal species), and traffic management and clearly establishing supervisory author- (accidents and impacts on adjacent properties). ity where responsibilities are shared; Contract managers sometimes add envi- * staying abreast of, developing, and enforcing ronmental pre-qualification (see Chapter 18) to regulations; contracting terms, thereby ensuring that the * defining priorities; contractors possess an adequate base level of * organizing public consultations and partici- environmental technical capacity. patory processes; 2.2.4 Managing the EA process * implementing mitigation plans; The overall effectiveness of the EA process is . developing methods and operational tools heavily dependent on the capacity of the road for environmental awareness at policy, pro- agency's management personnel to take ap- gram, project, and operations levels; and propriate action throughout the process. Envi- * organizing training and information cam- ronrental specialists can be helpful in ensuring paigns. that the performance of the following functions, These general management functions will by a road agency, does indeed reflect appropri- be performed throughout most stages of the EA ate choices such as process. . defining policy directions for the road A critical feature of an EA's management is agency i light of policy directives from the the appropriateness of the allocation of human environmental agency; resources and time to each stage of the process. * drafting terms of reference; Particularly important are • assemblng teams for conducting environ- * The distribution of management effort to mental assessments (where the leadership of each of the major stages of the EA process. a generalist with an environmental back- Figure 2.1 makes clear that managing the ground is highly desirable); planning of the EA-scoping, screening and * ensuring internal coordination within the early consultation-should require about 20 road agency (for example to integrate the re- percent of the management effort. sults of studies with action plans); * EA contract administration, which should . negotiating with other administrations (for require about 15 percent of the total EA example environment, agriculture, planning) management effort. 17 ROADS AND THE ENVIRONMENT: A HANDBOOK * The distribution of effort on the part of the Ultimately, the success of environmental as- team conducting the EA study (i.e., prior to sessment processes depends on the awareness project implementation). Figure 2.2 makes it of environmental factors exhibited by all per- clear that, while the identification and as- sonnel involved at all stages of the project, and sessment of potential impacts may require 25 on the motivation to deal with problems which percent of the team's time, it does not domi- may arise. nate the process. The training process is used to create or * EA planning, which should require about reinforce environmental diagnosis, planning, 20 percent of the study team's effort. This is and management capabilities of the road very significant since most EAs are "bottom agency and its environmental assessment team. heavy," in that a very small percentage of ef- The environmental assessment field in general fort is expended on planning the EA, leading needs to overcome a number of serious prob- to poor quality EAs. lems that contribute to major shortages in hu- * Public involvement effort which, although man resources in many countries, including not separated out in Figure 2.2, should ac- . insufficient technically qualfied staff, espe- count for at least 20 to 30 percent of the time . thenterediate levels allocated by the study team to mitigation * alat th intermediat level; . * ~~~a lack of practical and on-site experience, and monitoring planning, and EMP prepa- which may hinder staff productivity as in- ration. FIGURE 2.2 EA STUDY: APPROXIMATE DISTRIBUTION OF STUDY TEAM EFFORT PRIOR TO PROJECT IMPLEMENTATION Study project & its environment (EA planning) - 20% Impact I.D. & essment - 25% Report preparation - 15% Identify mitigating Plan EMP - 20% measures - 20% Source: Inter-American Development Bank, 1996. 2.3 PROVIDING THE REQUISITE creased attention is expected to be given to ENVIRONMENTAL TRAINING envirormental issues; Environmenta sk.ls traig i * job turnover, and institutional structures not envirornental specialists working on studies, geared to the needs of envirornental as- mitigation plans, and supervision of project sessmentandmitgation actvites; and implementation. It is also required for the staff * a shortage, in many countries, of environ- of road agencies, contractors, and consultants mental instructors with knowledge of spe- who are responsible for interpreting environ- cific fields of importance for road projects. mental policy directives, and for planning, de- Road agencies should work towards signing, constructing, and managing roads. building environmental units (see Section 2.4) 18 MANAGEMENT AND INSTMT ONAL ISSUES that have several persons on staff with a uni- days in length, but with a smaller group of versity education in environmental studies, or thirty to forty participants. The objective is to in closely related disciplines in the natural sci- improve understanding of the issues and pro- ences (for example botany, zoology, geogra- cedures to be followed in environmental as- phy) and the social sciences (for example sessment work and to transmit the practical sociology, anthropology, land use planning). knowledge and tips needed in day-to-day As emphasized above, it is highly desirable that work. such people play a leading role in the EA proc- For other engineers and professionals in ess. road agencies, local govermnent, universities, During the transition period when aware- and private practice, training should focus on ness of environmental issues is being devel- increasing awareness of environmental issues oped, a strategic training plan should be at various stages of road development and prepared, with training activities aimed at the management It should also highlight the costs following groups of persons in the road agency associated with ignoring environmental issues. who are assumed to have very little or no pre- vious environmental training: Site supervisors This training is intended to provide in-depth Policy specialists methodological, technical, and practical knowl- Although the policy directives on EA will be edge covering all the activities involved in su- generated by the environmental agency, it is for pervising the construction work and the road agency to interpret those directives maintenance. Case studies and site visits are and to ensure that they are reflected in the poli- indispensable. cies of the road agency. Policy specialists in that Training content should be tailored to meet agency should be given the opportunity to the needs of each group. It may include rele- work alongside policy specialists in the envi- vant technical methods and procedures (for ex- ronmental agency long enough to enable them ample for erosion protection, noise analysis), to fully understand the principles underpin- gaidelines for organization and management ning environmental policy making. Ideally, this (for example for study design and integration on-the-job training should be complemented by with project planning), techniques for commu- some theoretically based training. nicating with the public, and an introduction to ecological and social analysis. The instructors Managers should consist of scientists or researchers spe- The goal of management training is to convey, cializing in the natural and social environment, as clearly as possible, the general environ- and highway professionals who already have mental assessment policy of the road agency, field experience with environmental assess- which underpins environmental assessment di- ment and road project procedures. The larger rectives and procedures. In this way, managers the number of instructors with extensive field will be able to mobilize, convince, and guide experience, the better. their co-workers. This type of training can be A training program of the type described carried out at seminars of one to two days for here can be established and implemented over groupings of 50 or more participants. a period of one or two years. Subsequent training is required to keep abreast of changes Technical specialists in the field of environmental studies and to see This type of training is addressed primarily to that these new procedures are adopted. engineers and their colleagues, who are re- sponsible for planning, designing, and imple- 2.4 ESTABLISHING THE menting projects. INSTITUTIONAL STRUCTURES For those directly responsible for environ- As indicated in Section 2.2.1, the general policy mental components, training should include direction on EAs for road projects should come case studies and exchanges of actual experi- from the environment ministry, possibly ences, as in the preparation of environmental through an environmental assessment agency assessment reports. Training can be one to two responsible for overseeing EAs being con- 19 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 2.3 TYPICAL INTER-AGENCY RELATIONS FOR A ROAD AGENCY ON ENVIRONMENTAL ASSESSMENT Note: solid lines indicate flow of activity and dashed lines indicate technical and administrative communication. Italics indicate actions. CABINET > PRESIDENT/ PM's OFFICE |Mandate to promote EA| Environmentall MINISTRY OF Assessment MINISTRY OF OTHER ENVIRONMENT Act TRANSPORTATION LINE AGENCIES Road Environmental Construe- Environ- | . Env- others| Assessment .-.-------------------- tion mental mental _Agency 4 . Branch Unit Units .........._ J _ ~~Interpretation . OTHER Projects and application 4 STAKE- de of regulations s HOLDERS betwee thetransportationagencyandtheen-dand conduct of Scrutiny of |-EA4s EA reports |r ln -from line r ofE l agencies I shown I: FTraining 2 T f s t | Monitoring s con EA wor w s e amand l tine a s h t i m Evaluationre Agencies Establishment a e and upgrading i a r of EA :.................................................................... .. . .. .. .. .......: practices ducted by aen line agencies. The relatonship lowing organizational options should be con- between the transportatwon agency and the en- sidered: vironmental and other agencies is shown in . a sessments~~~~ ~ ~ ~ ofo n it projects Theso folo-u seio sumaans)-o assuresm.n. .iguaso shows the supporl agement, wath limited operational responsi- context wiftlun which a road agency should ex- bility-something which should be consider- pect to carry out environmental assessments. forms mostwrk in-husea The figure also shows how the initial mandate ze ants fo peialized topcrs. to promote envirormiental assessment . - . . ~~~~~~~responsible for defining programs, monitor- (emanating from the Cabinet) is transformed into an environmental assessment act that re-mgevlai,an co uiatn(os quires the road agency to carry out such as- wr ol ecnrce u ocnut sessments of its projects. The follow-up tD sudt ants); or assessments is also shown, as are the supportive .creating a comprehensive structure that per- functions of the envirornmental assessment agerncy. forms most work in-house and uses consult- For a road agency that is institutionalizing ants for specialized topics. its approach to EAs on road projects, the fol- 20 MANAGEMENT AND INSTMTUTIONAL ISSUES There are two conditions which are essen- the implementation of the Envirornental tial for success when using any of the above Management Plans (see Section 2.2.3 for the three approaches: a) a senior position in the de- prime tasks involved, including monitoring); cision-making hierarchy that enjoys a strong * the evaluation of road projects to ensure that relationship with management; and b) a staff EA directives have been observed; that is prepared to listen to the needs of opera- * contributing to the overall management of tion, construction, and management teams the EA process (see Section 2.2.4). within the road agency, and respond to the It is essential that the mandate of the envi- concerns of other agencies and the public. ronental unit be clearly spelled out and that Most countries will probably want to pro- it be quite distinct from that of the Ministry of ceed by starting with the first of the three op- Environment and, if it exists, the Environ- tions mentioned, and then progress to the second and third. In countries where a umit meta Asesmn Aec. beiongestablished a tdthd te sntrime a a Munistr The staffing of the unit, and the training of beog estabnr shed at the same ime as a Mint stry that staff, has been discussed in Section 2.3. The of Environment, it may be expedient for the complement of permanent staff can be ex- responsib l-nity f din g regu- panded as demand grows. Overtime, the unit sume some responsibility for developing regu- may acquire its own subsections covering, say, lations. This is illustrated by the Moroccan land acquisition, social issues, and biophysical example outlined in Box 2.1. issues. However, care should be taken to retain More frequently, the Ministry of Environ- ment will be established first, and will be re- han itegrated approach to the assessments. sponsible for developing the regulatory son iThe unt should be headed by a senior per- framework within which the environmental with an environmental background, good units in the various line agencies (including the mangeens. T ad anabli to w well with engineers. The head should be a member road agency) will operate. In this more com- o mon situation, the prime role of the environ- of the seior management of the road agency. mental umt will be to perform the In addition to forming a headquarters umit, mentl.u assigned to te rfoa gen there may be a need to strengthen field envi- responsibilities assigned to the road agency ronmental capabilities by establishing on-site under the EA Act This primarily involves units. It is good practice to describe the * the interpretation and application of the agency's environmental organization in any regulations (see Section 2.2.1); sectoral or project environmental assessments * conducting EA studies on road projects (see that are prepared. Section 2.2.2 for the prime tasks involved); BOX 2.1 ESTABLISHING AN ENVIRONMENTAL UNIT IN THE DEPARTMENT OF ROADS AND TRAFFIC, MOROCCO Morocco has undertaken environmental impact studies of specific projects for some time, especially for free- ways and roads in sensitive ecological zones and built-up areas, but the approach has not been systematic or required by legislation. Following the Earth Summit in Rio de Janeiro in 1992, a national Ministry of Environ- ment was established, and a roads and environment unit was created in the Department of Roads and Traffic, with the objectives of: Short term • Sensitizing public and private professionals . Conducting model studies and demonstration projects to involve sector staff • Conducting research and monitoring environmental impacts of roads • Developing environmental impact study directives and methodology . Collaborating with other agencies on development of laws. Medium term . Establishing a multidisciplinary environmental audit team . Preparing regulations regarding environmental assessments for roads. 21 2.5 REFERENCES AND BIBLIOGRAPHY Danish Technological Institute. 1989. Project Related Training in Developing Countries. Denmark. Inter-American Development Bank. 1996. Environmenta Assessment in the Transportation Sector: Guidelines for Managers. Washington, DC: IDB. United Nations Environment Programme and International Labour Office. 1990. Environmental Management Training Course for Employer's Organizations. Geneva: UNEP and ILO. World Bank. 1995. Mainstreaming the Environment: The World Bank Group and the Environment Since the Rio Earth Summit. Washington, DC: World Bank. 22 3. An overview of environmental assessment planning and EA reporting HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Proponent 1 onlccpt Consultation Key regulatory agency 1- e -fea s i bi litv Determining baseline conditions O(ther government agencies Feasibility Selection of preferred solution NGOs Engineering design Assessment of altemative designs/methods Research groups Construction Development of environmental management plan Putblic/community organizations Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reportinig Shaded area = (A) Stages of EA covered in this chapter; (B) focus of tlhs chapter, and (C) primary target readers. KEY QUESTIONS ADDRESSED: * Why is early planning crucial to successful environmental assess- ment? H What are screening and scoping? | What are the basic form and content of an EA Terms of Reference? , What is a valued ecosystem component (VEC)? B What comprises an environmental assessment report, and what are some of the presentation options? ROADS AND THE ENVIRONMENT: A HANDBOOK 3.1 EARLY PLANNING OF EA Screening refers to an early determination of A well-planned EA process has two key stages. the potential magnitude of impacts and hence The first is an early planning period where the depth of study required. This should be the general environmental impacts from alternative first stage in incorporating environmental con- solutions to a road transportation problem are siderations into a road development project. identified and compared, resulting in the selec- Screening should tion of an environmentally acceptable project * provide a definition of the scale and type of option. The second stage is at the project design project; level, where the optimal or preferred project . identify a "long list" of valued ecosystem design is selected in terms of alignment, grade, components (VECs) in the study area (see pavement treatment, median type, etc. It is this Section 3.2.3); second stage that is generally associated with * establish the general nature and magnitude the EA. Screening and scoping are two key ac- of the potential impacts; and tivities at the first stage of the well-planned EA, * suggest the most appropriate EA process to which are discussed in detail in Section 3.2. apply to the project Chapter 4 presents key steps involved at the second stage. Scoping is a process used for defining what The early planning in the road develop- can and what cannot be accomplished during a ment process is often overlooked, since it is particular environmental study. This would in- usually the responsibility of people other than clude those who conduct the EA, or it is considered . defining the geographic boundary of a study irrelevant to the overall EA. This is a major in relation to possible impacts (see Sec- factor leading to project difficulties and costly tion 3.4.1); delays later on. Early planning should . identifying the time constraints and time ho- • identify the preferred solution to the trans- rizons of the study (i.e. project time limits portation problem for which the planning and how far into the future one should pre- activity was initiated; dict project effects); and * establish broad boundaries for the project; * identifying the skills and human resources - identify the scope of work required (which needed to undertake the project. leads to the pinpointing of the type of EA to Screening and scoping can be completed by be applied); and undertaking the following tasks which incorpo- * provide valuable input to the preparation of rate the key activities listed above.2 These seven EA terms of reference. tasks are In properly designed EAs, the early plan- i) describing the need for a project; ning is integrated into the project-specific as- ii) describing the proposed project and alter- sessment. Its value in flagging serious natives (solutions); environmental issues, reducing EA cost, and iii) identifying valued ecosystem components helping to win early public acceptance of a (VECs)i project needs to be recognized by decision- iv) evaluating the potential impacts of project makers and highlighted whenever possible. options on the VECs within the study area; It is recommended that transportation v) consulting local officials on options and agencies which have not already done so adopt impacts in order to establish institutional this early planning as an explicit part of their capacity and enviromnental lessons EA process. learned in the study area; vi) selecting a preferred project option 3.2 SCREENING AND SCOPING (concept); and finally The planning for an environmental assessment in - volves two key activities: savn2ing and scopingl. 2 Exceptions iniclude: projects which are clearly site-specific and can be executed using a programnmatic or class EA ap- 1 Screening and scoping are most often used on specific proach that is initiated without the "front-end" planning; projects (as opposed to higher-order solutions) to pinpoint and projects which are clearly beneficial, such as rehabili- environmentally acceptable designs. tation of eroded transportation corridors. 24 EARLY ENVIRONMENTAL ASSESSMENT PLANNING AND EA REPORTING vii) identifying the EA type to be applied to the 3.2.3 Identification of valued ecosystem preferred project option. components (VECs)5 It is only after completing these planning By combining local knowledge, scientific evi- tasks that road managers and planners can le- dence, and expert opinion, one can identify the gitimately say that they understand the pro- social and biophysical components of the envi- posed project in the context of its environment ronment that are of value in the project area and in relation to other engineering solutions. (for whatever reason). These VECs, as they are Skipping these early planning steps often leads termed, can be ecological, social, economic, or to costly complications and delays later in the cultural. Some examples might be a watershed, project or program development stream. key species, potable water supply, historical area, population center, or an airshed. 3.2.1 Description of the need for a project In addition to conducting some basic re- search, consulting with experts or knowledge- In order to define what type of project or, alter- able members of the local community can assist natively, what solution3 is most appropriate to relieve the particular road problem, a clear de- greatly in the compilation of the VEC list and scription of the need for the project is neces- speed up its creation. sary. Once this has been achieved, a set of Having listed a preliminary set of VECs, viable alternative solutions can be defined. the next step is to identify in broad terms how and to what extent the proposed options would 3.2.2 Description of the proposed project affect each VEC. This is best determined by and alternatives4 identifying a few environmental indicators for each VEC which would be sensitive to project- In describing the project and its altematives, induced impacts and could provide indications four key characteristics of each proposed alter- of potential impact duration, extent, and sever- native should be determined before a com- ity. parative analysis can be undertaken. The four Usually, the initial VEC list is long and characteristics are needs to be reduced. This is best achieved by i) spatial requirements (see Box 3.1); asking two questions about each VEC: ii) natural resources (including productive i) Is there a strong likelihood that the given land) consumption; VEC will be either directly or indirectly af- iii) human resources benefits and costs (such fected by the alternatives? If NO, this VEC as resettlement versus better access to mar- should no longer be considered. ket); and ii) Can the impact on the VEC be predicted by iv) waste production during the construction focusing on indicators of direct or indirect and operation/maintenance periods. effects?6 If NO this VEC should be given a low priority, unless it is of very significant BOX 3.1 value to a majority of stakeholders. TYPICAL ROAD RIGHT-OF-WAY REQUIREMENTS The outcome should be a list of prioritized For a 6 to 7 meter wide pavement, the right-of-way VECs that provides a good indication of what (ROW) typically varies between 10 and 40 meters, or sorts of impacts might occur with each altema- 1 to 4 hectares per kilometer of road. Wider ROWs tive. are often used in humid tropical areas where it is necessary to clear a wider strip to allow the pave- ment to dry. 3 Having more than one alternative solution is not abso- 5 This concept was developed by Beanlands and Duinker lutely necessary, but it is highly recommended in order to (1983). avoid serious omissions and concerns about project viabil- 6 Direct effects indicators could indude area of land dis- ity. turbed, access restrictions, loss of agricultural land, habitat 4 This refers to alternative solutions or alternative options, loss, stream realigrnment, etc.; indirect effects could include as opposed to alternative designs assessed during the later water quality changes, job losses, reduced community co- stages of the EA process. hesion, and increased cost of goods. 25 ROADS AND THE ENVIRONMENT: A HANDBOOK 3.2.4 Evaluation of potential impacts for al- 3.2.6 Selection of preferred project ternative solutions (solution) and identification of EA Using the results of the task proposed in Sec- type to be applied tion 3.2.2, as well as the refined VEC list, one Assuming that the preceding tasks have been can conduct a preliminary matrix screening completed by balancing engineering require- and quickly identify the project which would ments and environmental considerations with be the most environmentally acceptable and practicality and economics, the 'best' project provide the best transportation solution. The solution can be identified. The appropriate EA evaluation takes place on a macro-scale, com- type can then be chosen confidently as the best paring the management decisions and potential way of managing the project's environmental environmental consequences of building a road requirements. with other conceptual solutions, such as re- In general there are five EA types to choose stricting private vehicle use, supporting public from (see Sections 1.4, 1.5 and 1.6 for defini- transportation, encouraging non-motorized tions): transport modes, and so forth. This analysis is i) project-specific EA; carried out most beneficially by senior manag- ii) programmatic or class EA; ers who, ideally in the process of undertaking iii) summary environmental evaluation; the work, become fully aware of the general iv) regional EA; and benefits and costs they will encounter with v) sectoral EA. each alternative. The application of indicators, such as economic losses and gains, number of The choice depends primarily on the size of people disrupted, and loss of VECs, helps to the area affected, the severity and duration of keep the duration of the analysis short. Finally, the possible impacts, and the political and ad- the inclusion of the 'no project' alternative is es- ministrative boundaries affected. sential if accurate assessment of possible The project-specific EA is the most com- changes is to be achieved. mon and serves almost all purposes. The class The analysis of altemative solutions is an or programmatic EA would be applied when essential component of EA. Its completion sig- there is a group of projects that are similar in nifies that the proponent has considered the nature (for example, road resurfacing and proposed project in the context of other options shoulder repair projects scattered across a re- and has selected one based on a holistic exami- gion or a country). It is to these latter projects nation of that altemative's ability to meet that a generic set of assessment steps and solu- transportation objectives. tions would be applied. The summary envi- ronmental evaluation would be applied to 3.2.5 Early consultation individual projects that had well-known im- Prior to selecting a preferred alternative solu- pacts and required only mitigation and moni- tion, a preliminary consultation should be held toring plans. Regional EAs would be applied if (possibly in conjunction with the VEC activity the project were one of a series in different described in Section 3.2.3). The focus should be sectors within an area, for example, transporta- on introducing the project, outlining possible tion, energy, and agriculture development, all impacts, indicating the planning timetable, and within one watershed. A sectoral EA would be specifying the guidelines for stakeholder input appropriate if the project involved, for instance, (including specifications on when input is most the upgrading of the road transportation sector desirable). within a large area (a province or a country) The consultation session should bring to- and entailed many road corridors and future projects gether all stakeholders, including the relevant (see Sections 1.5, 1.6 and 1.7 for more details). regulatory agency. A first-order assessment of The World Bank uses a screening ap- the institutional and environmental steward- proach that focuses on defining the three char- ship capacity of the regulators should thus be acteristics of anticipated impacts: a) their possible. The results could form a critical basis location in relation to sensitive features; b) the for deciding what level of EA needs to be un- project's scale, both in terms of space and time; dertaken. and c) the sensitivity of the ecosystem compo- 26 EARLY ENVIRONMENTAL ASSESSMENT PLANNING AND EA REPORTING nent affected. It establishes how severe (or re- iii) scope of work and management issues versible) the impact is and how much signifi- (requirements for the consulting team, cant damage accompanies it. Projects are schedule, etc.). classified into one of the following categories A generic TOR table of contents, which based on this analysis: should help to guide users who need to pre- Category A: includes projects which require full pare such documents, is presented in Box 3.2. EAs; they are likely to have significant adverse The World Bank's Environmental Sourcebook impacts that are diverse, irreversible, possibly also includes a section on the preparation of sector-wide, and unpredictable; they all require TOR. a separate EA report; 3.4 SPACE, TIME AND CONSULTATION Category B: includes projects which usually re- quire only a summary environmental evalua- tion; they are characterized by reversible 3.4.1 Space impacts which are smaller in scope and shorter When deciding on the size of the study area, in duration; they require a chapter in the pre- the following physical elements should be con- feasibility or feasibility report; and sidered: the road itself (including possible al- Cate gory C: includes projects for which no EAis ternative routes); areas affected indirectly required; however, a brief ex lanation of why (including feeder roads, maintenance areas, reqiroecd;howver, nt bied eanyEAmatin be uy and railways); and locations affected by con- the project does not need any EA may be use- struction activities (including quarries, borrow ful. pits, dumps, traffic diversions, work camps, Some jurisdictions have developed a more and temporary accesses). prescriptive screening process. The selection of The study area should be enlarged if there the type of EA to apply, according to this proc- is a danger that environmental impacts will af- ess, consists of working through a 'decision fect areas beyond the immediate physical sur- tree' which matches the project type with the roundings, for instance downstream of a major environmental setting and the likely impacts, river crossing. Criteria to be considered here based on past experience and technical criteria include (see Figure 3.1). Such a screening process may * ecological diversity of the site; as this in- be useful for locations in which experienced creases, the study area should be enlarged; expertise in EA is not readily available. type and scale of the development scheme; in This step completes the early planning general, the greater the change from existing stage of EAs and provides a solid base for the conditions, the greater the potential inpact; more detailed EA analysis and decision- * VECs; examples might be natural reserves making procedures which follow in Chapter 4. with rare wildlife or fertile farmland. 3.3 PREPARATION OF THE PROJECT 3.4.2 Time requirements for the TERMS OF REFERENCE environmental study Well-prepared EAs are usually based on good As stated in Section 1.7, EAs generally take terms of reference (TOR); they provide specific between six and eighteen months to reach the guidance on what actions should be taken and "submission-to-regulator" stage, when they are in what sequence. TOR are often improved considered complete. The length of time re- greatly by early screening and scoping of po- quired depends on whether tential impacts. TOR usually contain three categories: * the EA requires investigation during special i) definition of the project; periods of the year (seasonal aspects of the 1) defuueon of the prolect; environmnental impacts); ii) setting and regulatory context; and 27 FIGURE 3.1 EXAMPLE OF EA SCREENING PROCEDURE DEVELOPED BY DIRECTORATE GENERAL OF HIGHWAYS, MINISTRY OF PUBLIC WORKS, INDONESIA New Construction: * Toll roads and flyovers . National and provincial highways > 25km Requires Environmental Impact * Urban and metropolitan roads > 5km 0 YES ' YES 1 Statement, Environmental Management . Urban and metropolitan road betterment Plan, and Environmental Monitoring Plan outside of right of way > 5km * Bridges > 60m long Will the proposed project traverse: 1. Area of significant social impact? Potentially significant NO 2. Strict nature reserve (CA)? impact? ....................... ......... .................... ............... 3. W ildlife reserve? ._________________________ _ r .4. Conservation forest? New construction of National and . 5. Biodiversity protecfion area? Provincial roads < 25km . 6. Wildlife refuge? . 7. Protection forest (HL)? ._________________ *8. Swamp/wetland area? Road betterment outside the right of YES 9. Upper watershed areas? YES | way for urban and metropolitan : | 10. River buffer zones? ENVIRONMENTAL FIELD STUDY roads < 5km 11. Areas surrounding lakes and reservoirs? 12. Springs and water supply areas? 13. Marine and freshwater conservation areas? _ t . 14. Mangrove areas? New local road construction . 15. National parks? No significant impact 16. Nature parks? 17. Recreation parks? 18. Cultural reserves and scientific research areas? ..................................... ......................;. 19. Natural hazard zones? 20. Steep slope and other fragile areas? Environmental Management Plan ,17 ~~~~~~~~~~~~~~~~~~~~~~~~~and t o | ~~~~~~~~~~~~~~~~~~~~~~~~~Envirornmental Monitoring Plan| NO * Special cases of minor road improvement on * Discussion on-going sectoral EMPs vs SOPs exisiting roads within right of way in sensitive NO areas should be dealt with on a case by case basis wihi th rih of way rotn YES Road bettermnent within the right of way, rouffme YES Implementation of Standard Operating Procedures and periodic mainterkance . >(SOPs) to mitigate environmental impacts S................................................................................................... Source: World Banlk, 1996. EARLY ENVIRONMENTAL ASSESSMENT PLANNING AND EA REPORTING BOX 3.2 GENERIC TABLE OF CONTENTS FOR EA TERMS OF REFERENCE 1.0 Summary 2.0 The Project and Setting 4.0 Consultant Team7 2.1 The Project Objectives and Need 5.0 Schedule 2.2 Review of Parallel Studies 6.0 Other Information 2.3 Relevant Institutional, Legal and Policy Setting 7.0 Work Plan and Allocation of Resources 2.4 EA Requirements (including laws) 8.0 Reporting and Report Production 2.5 The Project Location and Region 9.0 Other Deliverables 2.6 Potential Enviromnental Impacts 10.0 Budget 2.7 EA Management and Protocol 3.0 Scope of work - Description of the Proposed Project - Description of the Environment (natural and social) - Legislative and Regulatory Considerations - Determination of Potential Impacts (natural and social envirornment) - Analysis of Alternatives - Public Consultation Program - Development of an Environmental Management Plan (including mitigation & monitoring) Adaptedfrom: IADB, 1996. , the environmental components to be studied * identify the natural, economic, and social re- are numerous and the results must be inte- sources of importance in the area, i.e. VECs; grated; and . explore the possible consequences of the * the required information involves a lot of site project for the natural and social environ- investigation work. ment; and * find agreement on the issues which should 3.4.3 Consultation take precedence in the study. In establishing the scope of the study it is highly desirable for all key stakeholders to ar- 3.5 THE ENVIRONMENTAL IMPACT rive at a consensus on sensitive features, im- STATEMENT (EIS) pacts, and remedial actions (see Chapter 5). The EIS, or EA report as it is sometimes called, Involvement of interested parties such as gov- is the most tangible output of the EA process. ermnent ministries, project designers, local offi- Its function is to provide decision-makers with cials, associations, community representatives, information regarding the environmental is- and local residents at an early stage in the EA sues, impacts, and remedial options for a par- process can help to improve the chances that ticular project or road program. This the program will not be subject to last-minute information can be used in an integrated dispute. Meetings and discussions on the scope evaluation of project options and consequences; of environmental studies make use of findings taking account of costs (construction and obtained from the initial planning activities de- maintenance), access and transport objectives scribed in Section 3.1. The meetings and discus- (transport efficiency, safety, economic devel- sions should opment), and impacts on the natural and social * inform those in attendance of the project ob- environment. jectives and the altemative solutions under As a general rule, the length and level of consideration; detail of an EIS should correspond to the po- tential environmental impacts. 7 The selection of the consultant team is usually done by the proponent, based on a competitive proposal evaluation process. The team should be led by a person who has ex- tensive professional experience in the environmental field. (see Section 2.2.2). 29 ROADS AND THE ENVIRONMENT: A HANDBOOK The following eleven sub-sections outline what 3.5.5 Existing conditions should be included in the EIS for a specific This section should contain a description of the project. dimensions of the study area and of relevant physical, biological, and socio-economic condi- 3.5.1 Executive summary tions, including changes anticipated before the This is a concise summary for decision-makers. project commences, and courses of action ex- It provides significant findings and recom- pected in case the project does not materialize. mended actions, and describes the legal status A description of the built and visual environ- of the EA report. It also presents any regula- ment should also be provided here. tory procedures to which the report will be subject. 3.5.6 Analysis of alternatives Analysis of alternative solutions 3.5.2 The environmental assessment team This section of the report should present the This is a list of the names and credentials of the findings of the screening and scoping activity. individuals and organizations who prepared It is important that the conclusion of this sec- the environmental assessment. tion include a prioritized listing of the alterna- tives proposed, including their environmental 3.5.3 Introduction and background benefits and costs. Policy, legal and administrativeframework The policies as well as the legal and adminis- The alternative designs trative framework within which the environ- A comparative analysis of the alternative de- mental assessment was prepared are presented signs and methods being proposed for the se- here. The environmental requirements of any lected project should be presented here. It is co-financiers should be identified. often useful to present this in a matrix format which shows the potential effects of each alter- Project description native on VECs. The negative future effects of This is a concise description of the works to be the proposed project should be idenfified, as carried out, including any off-site works in- should possible remedial measures and any re- volving construction camps, access roads, bor- sidual negative impacts that cannot be miti- row pits, quarries, or asphalt plants. gated. Positive effects should also be noted (for example, less urban pollution due to a by-pass), Related studies and enhancement opportunities should be ex- Description of studies concerning relevant land plored. use planning, development, and engineering, The extent and quality of available data, as well as any new regulations affecting the key data gaps, and uncertainties associated project are included in this section. The intent with predictions should be identified or esti- here is to outline a well-defined setting into mated. Topics that do not require further at- which the proposed project is to be placed. tention should be specified and a supporting rationale offered. 3.5.4 Approach and methodology A systematic comparison of the proposed This section of an EIS is essential and often very project's design, site, and technological and op- poorly prepared. It defines how the informa- erational alternatives should be conducted in poon on which EA decisions were and will be terms of their potential environmental impacts, made was identified, collected, and analyzed capital and recurrent costs, as well as suitability This section of the document establishes, to a under local conditions. The final discussion large extent, the level of confidence that man- should provide a presentation of the preferred agers and decision-makers can reasonably design to which the remaining EA steps will be place in the EA findings. applied. 30 EARLY ENVIRONMENTAL ASSESSMENT PLANNING AND EA REPORTING 3.5.7 The preferred design ii) to determine whether the proposed miti- This section should begin with a description of gative measures serve their intended func- any details not provided earlier in the docu- tion ('effects monitoring'). ment, and which are necessary for under- This section of the EA report (frequently in- standing the project. A discussion of the impact cluded within the EMP) should define com- of the project on the VECs in terms of duration, plete monitoring activity, schedule, responsi- extent, and severity should follow. bihities, costs, and supervision. 3.5.8 The environmental management plan Environmental construction guidelines The EMP (a common albeit not an essential part This is an important section of the EA (often in- of an EA report) contains an analysis of the in- corporated into the EMP), in which aspects of stitutional capacity of the existing agency for mitigation and monitoring are combined to dealing with the environmental management of provide step-by-step instructions on how con- the project, a description of proposed remedial struction activities, which could affect the sen- measures, and a monitoring plan for the con- sitive VECs, should be carried out Usually, this struction and operational period of the project. is done in terms of what should be done, by The EMP often contains construction guidelines whom, and when. that specifically address how the contractors are to incorporate environmental considera- Resettlement and rehabilitation action plan tions into their work (see Chapter 18). If possible, and if required, a resettlement and rehabilitation action plan (RAP) should be a Mitigation major part of the EMP. It is discussed further in Feasible and cost-effective measures that may Section 4.7 and Chapter 12. reduce environmental impacts should be iden- tified. They should be prioritized according to 3.5.9 Consultation their relative importance, their capital and re- This section should contain a complete record current costs, as well as their institutional, of the consultation undertaken during the EA. training, and monitoring requirements. The Creative tables will often provide a much better mitigation plan8 should provide details on pro- summary than long lists of people. The section posed work programs and schedules. Such de- should specify the means used to obtain the in- tails help ensure that the proposed puts, as well as the input itself, no matter if it is environmental actions are in phase with engi- positive or negative. neering and other activities throughout the project's implementation. The plan should con- 3.5.10 References sider compensatory measures if mitigative This is the list of materials used in preparation measures are not feasible or cost-effective. This of the study. It is especially important, given section should conclude with a discussion the large amount of unpublished documenta- about the residual impacts, i.e. those that are tion commonly used in writing an EIS. likely (based on past performance) to remain after the proposed remedial measures have 3.5.11 Appendices been successfully implemented.3511Apnie Appendices may include maps, plans, special Monitoring studies, large data sets, evaluation tables, sub- There are two reasons for monitoring: missions by public groups, etc. Long and de- tailed EMPs can also be submitted as i) to confirm that mitigative measures agreed appendices. to in the EA are implemented ("compliance monitoring"); and 3.6 PRESENTING INFORMATION WITH MAPS IN THE EA REPORT EA documents are traditionally long, rich in in- 8 The mitigation plan is an imnportant sub-unit of the EMP; formation, and visually uninteresting. This it has often been labeled an action plan or environmental makes their use and comprehension difficult management plan. 31 ROADS AND THE ENVIRONMENT: A HANDBOOK High-quality EA reports condense text and Maps induded in the EA report can deal data into informative graphics and maps. Pres- with broad project issues or focus on particular entations in these formats do not require spe- environmental themes and specific geographic cialized equipment, although GIS software locales. They should be designed to enable does speed up the mapping process. most readers to visualize the project's effects by Well-designed maps are used to describe using representations which are mearungful to the project in the context of its total environ- non-specialists. ment, its impact zone in relation to the VECs, Finally, selecting one or two standard maps its mitigation, its monitoring programs, etc. to use during an EA is often a far better idea They are also useful for presenting alternatives than having different styles and scales in each and related key issues to the decision-makers, EA section, which can actually detract from the highlighting before and after conditions. presentation (see Section 4.9). 3.7 REFERENCES AND BIBLIOGRAPHY Beanlands, G. and P.A. Duinker. 1983. An Ecological Framework for Environmental Impact Assessment in Canada. Halifax, Canada: Institute for Resource and Envirorunmental Studies, Dalhousie University and Federal Envi- ronmental Assessment Review Office. Canadian International Development Agency. 1991. Environmental Review Procedures for Transportation Projects Financed by the Canadian International Development Agency. Transportation Sector, File 1-300-04.001. Hul, Canada: CIDA. CNRS Paris VI Universite. 1978-79. Cartographie informnatisee et geographie humaine. Paris. Domingez, Garcia Tejero. 1993. Topografia general. Madrid: Mundi Prensa. Hurault and Lummaux. 1979. Essai de cartographie de l'environnement d'un milieu tropical d'altitude: I'Adamaoua oc- cidental (Cameroun-Nigeria). Symposium international sur la cartographie de l'environnement et de sa dy- namique, Caen. Hurault, J. 1985. Cartography of Tropical Regions. Paris: Institut Geographique National. Inter-American Development Bank. 1996. Environmental Assessment in the Transportation Sector: Guidelines for Managers. Washington, DC: IDB. Japan International Cooperation Agency. 1992. Feasibility Study on the Restoration of Rural Roads. Manila, Republic of the Philippines: Department of Public Works and Highways. McHar& I. 1980. Design with Nature. New York: Natural History Press. Ministere de l'Equipement 1991. "Environment and Development: Useful Maps' (in French). Paris: Les Editions du Service Technique de l'Urbanisme. Ministere des Relations Exterieures, Cooperation et Developpement 1983. Cartographie et Developpement. France: Decade. Organization for Economic Cooperation and Development 1994. Environmental Impact Assessment of Roads. Sci- entific Expert Group El. Paris: OECD. Overseas Development Administration. Undated. Manual of Environmental Appraisal. London. ODA. Permanent International Association of Road Congresses. 1991. Lexicon of Road and Traffic Engineering. Paris. World Bank. 1996. Strategic Urban Roads Infrastructure Project. Appraisal Report Washington, DC: World Bank. 32 4. Key steps involved in undertaking an environmental assessment HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA (A) (B) team (C) Screening Scoping 1'roponent C oncept Consultation Key regulatory agency Pre-feasibility Determining baseline conditions Other goxvernmenit agencies leasibility Selection of preferred solutioni NGO)s 1Ingineering design Assessmenit of alternative designs/methods Research group;s Construction D)evelopment of environmental management plan P'ublic/coimmunity organizations Operation &n maintenance lffects and compliance moniitoring Adv isory expelrts -valuation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: H What sequence of steps should be followed when undertaking an EA? | How does one plan a field investigation? H How is the valued ecosystem component (VEC) concept used in EA? H How should mitigation and monitoring be incorporated into EA? What is the relationship between the technical EA steps and consultation? ROADS AND THE ENVIRONMENT: A HANDBOOK 4.1 SEVEN KEY STEPS 4.2 DESCRIPTION OF BASELINE Assuming that the screening and scoping de- CONDITIONS scribed in Chapter 3 has been completed, this Baseline conditions define the characteristics of chapter provides a discussion of seven key the existing environment and shape projected steps which are generally required to meet the future conditions, assuming no project is un- objectives of EA.' These six steps are: dertaken. They provide the basis from which project impact comparisons are made. i. description of baseline conditions; Baseline analysis consists of more than ii. analysis of potential environmental im- making a statement on the initial environment pacts; of the proposed project. It should permit a iu. consideration of alternatives;2 comparison of project-induced environmental iv. development of mitigative and compensa- changes, with other expected environmental tory measures; changes in the "no-project" scenario. Baseline v. design of monitoring and evaluation plans analysis should take into account (the environmental management plan); and vi. documentation (including mapping). * past trends in environmental quality; * community preferences or competing de- More detailed discussion of methods and mands regarding resource utilizatlon; and sources of information which address these * other current or proposed development seven steps are provided in other chapters of programs under study in the project area. this handbook. In particular: The use of the VEC approach as described in Chapter 3 may be very useful in this re- * consultation methods and options gard and can greatly reduce the overall (Chapter 5); data collection effort. * assessment of impacts for different compo- nents of the environment (Chapters 7-17); The quality of the analysis of baseline con- • impacts during different stages of the proj- ditions establishes the viability of the impact ect, such as construction and operation appraisal, and therefore of the study itself. A (Chapter 18); and more thorough study design brings together * economic valuation of environmental im- more relevant and better-focused data, and pacts (Chapter 19). vastly improves the overall quality of the study. This stage of the EA process is of prime In a properly conducted EA, it is essential that importance, for it allows the agency and the both biophysical and socioeconomic compo- project proponent to benefit from a thorough nents of the environment be taken into account. study of the proposed site. Hurrying this stage The two components can be applied in tandem of the EA, or not coordinating with the various to the same assessment, where they can work organizations affected by the project, will usu- independently; at certain points in the process ally be counterproductive and add costs later. they need to be brought together to move to- In assembling baseline data, it is important ward an integrated output. to understand that, in the natural environment, wide variations can occur over long periods of time. For example, forest maturity and natural processes such as fire can dramatically change animal habitats and human use of natural re- sources from one generation to the next. The VEC method incorporates such considerations, because the local input which contributes to the XDetails of when each step is to take place within the EA VEC identification process incorporates past process are shown graphically in Figure 1.1 (page 7). experience and anticipated future values, in 2 The consideration of alternatives discussed in Chapter 4 refers to consideration of alternative project designs. At- addition to present value. ternative solutions to the transportation problem are dealt with in Section 3.1 and should be completed as the first step in any EA. 34 KEY STEPS INVOLVED IN UNDERTAKING AN ENVIRONMENTAL ASSESSMENT 4.2.1 Collecting and analyzing existing technical gaps. It can often improve an EA's basic documents relevance, help to identify real and perceived Existing basic documents may include topo- issues, and even reduce overall EA cost. Con- graphic maps, vegetation maps, aerial photo- sultation is crucial, even if the VEC approach is graphs, scientific and technical reports, past or not used. current project appraisal reports, other EA documents, and government reports. Informa- 4.2.4 The sampling design tion sources and references must always be The success of baseline data collection depends, provided with each set of data. in large measure, on how well the extent of human interference with the environment is 4.2.2 Assembling information from understood. It is also critical to understand different sources where and how the data are collected (the Technical, social, demographic, and economic sampling design). Proper sampling design will information can be obtained from various gov- help to distinguish between project-induced erinent departments at nationaL regional, or impacts and existing background variations. local levels, as well as from other research, The inclusion of sampling locations that truly business, professional, or non-governmental reflect conditions outside the influence of ex- organizations. Usually, this involves intensive isting development may also be important in initial communication with officials in order to this regard. A decision-tree for determining, at get a clear picture of the existing database and the macro-level, what sort of sampling program to inform others that the project has com- should be undertaken for various project situa- menced. tions is presented in Figure 4.1. 4.2.3 Consultation with local residents and 4.2.5 The field investigations professionals Successful field investigations are based on Consultation with local residents and profes- careful planning and consideration of the envi- sionals can assist baseline data gathering by ronrental context of the project, the available validating information from other sources and time, and available funding. Field investiga- identifying important local expertise as well as tions should take note of how seasons of the year and the existing environmental setting FIGURE 4.1 SAMPLE DESIGN DECISION KEY 1. Has the impact already occurred? NO YES 2. Is "when & where" known? YES NO YES NO 3. Istherea control area? YES NO I I I Main sequence 1 2 3 4 5 Description Permits an Impact must Baseline or Impact must "When & optimal impact be inferred monitoring be inferred where" is study design from temporal study from spatial the question change alone pattern alone Source: Green, 1979. 35 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 4.1 * The design captures the extent of existing RAPID ENVIRONMENTAL DATA COLLECTION human disturbance in the area, recognizing SYSTEM that this change is part of the background conditions and must be factored in when A consultant working on the World Bank India Na- tional Roads Planning Project linked electronic field impact predictions are made. form software, an electronic notepad (handwriting ANALYSIS OF POTENTIAL recognition) and a portable GPS system, and used 43 the combination as a field data collection system. ENVIRONMENTAL IMPACTS This system automatically converts all field data into Environmental impact analysis consists of computer-ready records that are geo-referenced comparing the expected changes in the bio- (latitude-longitude or UTM coordinates) and in- physical and socioeconomic environment with stantly ready for analysis and graphing, using off- and without the project. For each type of poten- the-shelf software. With this system, the consultant was able to complete the initiai environmental a ie evaluation for more than 2,500km of roadway within analysis should predict the nature and signifi- a four week period and actually use over 2,500 ob- cance of the expected impacts (some may be servations in establishing broad-scale estimates of quantitative, others qualitative), or explain why the potential duration and extent of impacts. no significant impact is anticipated. 4.3.1 Determining significance may affect results. Experienced environmental specialists, working with experts from the local Determining the significance of impacts is often area, can often design effective and economical left out of EAs because it requires multi- field investigations, even with severe time re- disciplinary, multi-faceted inputs. Significance, strictions (see Box 4.1). if it is expressed properly, addresses the fol- Project managers intending to conduct field lowing seven conditions: investigations need to consider explicitly the i) predicted exceedence of established criteria following factors: or standards; * sample station location; ii) duration of the exceedence in relation to * number of sampling locations; key species' life cycles and requirements X number of replications; for population maintenance; *use of surrogate indicators where use of op- iii) geographic extent of an effect; timal measures may not be practical; and iv) resilience of the environment in which the - seasonal variations in relation to impacts. predicted effect is to take place (i.e. capac- ity for self-repair -as with tidal flushing); Completion of the VEC exercise greatly re- v) cumulative nature of the impact; duces the guesswork needed in designing the vi) community tolerance of the impacts, and field program and, in fact, embraces much of preferences in relation to the costs and the work described in this section. benefits of the project; and vii) need for involuntary resettlement. 4.2.6 Tracking project-induced versus natural environmental changes Broadly speaking, these seven factors can be Understanding the differences between project- considered good indicators of signfficance induced enviro.nental variations and those when they are blended with competent eco- that occur naturaLly in the study area can de- logical and sociological appreciation of the af- termine whether the EA produced is valuable fected environmental component. By examin- or relatively meaningless. Tracking these dif- ing these factors, practitioners should be able to ferences requires structuring the project sam- estabLsh the importance of the effect and thus pling design in such a way that the urgency of the mitigative action. * Whatever data are collected reflect the larger 4.3.2 Impact characteristics context within which the project may take Analysis of potential environmental impacts place. should include specific discussion of the mag- nitude and duration of impacts. 36 KEY STEPS INVOLVED IN UNDERTAKING AN ENVIRONMENTAL ASSESSMENT Magnitude of impacts tions to the transportation problem (discussed It is relatively easy to quantify the magnitude in Section 3.1) and alternative designs for a se- of impacts for physical effects, such as land lected project3 cleared, trees removed, and homes affected. It is more difficult to quantify effects on the bio- 4.4.1 Altemative designs logical environment (the type of habitat lost, for Alternative designs usually involve options re- example); and it is very complex as far as the garding alignment, routing, construction meth- effects on people are concerned. For the latter, ods, materials used, landscaping, and so forth, simple indicators could include the number of while the basic project concept remains con- people affected and estimated economic losses, stant Frequently, two to three altematives are but wider effects on social and economic welfare chosen, and within these there may be several should also be analyzed. For some impacts, only a other altemative treatments for specific fea- qualitative description of the effect is possible. tures, for example, options for traversing a wetland or mangrove forest. These may also be Duration of impacts considered as separate altematives. Designs Allowance should be made for both short- and which prevent or avoid negative impacts often long-term impacts. The loss of agricultural ar- require changes to the location of the road or of eas along the alignment of a road is an imme- the off-site activities associated with construc- diate impact, whereas the retreat of a mangrove tion. The VEC consultation activity can help to swamp following modification to the water identify alternatives that are practical and sus- flow, or the modification of the saline threshold tainable and that are supported by the various in an estuary, generally becomes apparent only affected interest groups. several years after construction and usually persists from then on. This characteristic is 4.4.2 Analysis of alternatives termed the "temporal extent" or duration of an Analysis of alternatives involves comparing impact. Impacts that are sudden, such as haz- impacts that are not easily quantified, not ardous waste Spills, or cumulative, such as measured against the same criteria, and that contamination build-up in roadside soils and vary in fime, space, and vagdity. A number of crops, should also be considered. structured evaluation and comparison methods Part II of this handbook describes a wide have been developed for analyzing and pre- range of impacts for consideration, covering the henbeenvelopedanal and pre- socieconmic sentmng environmental data. The most fre- biophysical environmnent, the socoeconomcentl used is a matrix in which socio- environment, and specific issues related to the qiy ' ~~~~~~~~economic and biophysical environmental ef- construction, maintenance, and operation of fects are represented either numerically or roads. visually, using graphic indicators (such as dots or bars, as in a histogram) which vary in size 4.3.3 Impact types according to the magnitude of the impact. A The predicted impacts of a road project fall into common way of distinguishing the effects of three categories: altematives is to apply a scaling-weighting and i) direct; aggregation approach. This involves assigning ii) 'indirect;and numerical values to the expected impact on iii) cumulative. each VEC and combining them all in a single overall measure of impact for each alternative. A detailed discussion of these and other types The greater the total per altemative, the more of impacts is presented in Chapter 6. serious the impact. Clearly, not all VECs have equal impor- 4.4 CONSIDERATION OF tance; numerical weights are assigned based on ALTERNATIVES informed opinion. This is usually completed by Sound and sustainable road EAs involve the a group of people representing all stakeholders consideration of two types of alternatives (possibly the members of the workshop team (unless special restrictive conditions exist). These are usually referred to as alternative solu- more details see World Bank, 1996a. 37 ROADS AND THE ENVIRONMENT: A HANDBOOK which identified the VECs). These people vote tions taken to protect the biophysical and social first on the relative importance of each VEC environment, as well as individuals who have and then on the relative importance of the fac- been impacted adversely by a project The ex- tors affected within each VEC. From this, a tent and timing of mitigative actions should be single numerical value per alternative can be based on the significance of the predicted impacts. derived. There are a number of drawbacks to Some aspects of impact mitigation can be this approach, including over-simplification incorporated into project design (see Box 4.3), and excessive value judgement. Nevertheless, and can largely resolve the threat of impacts outputs should be valid, provided they are ap- before construction commences; examples in- plied with care (there should be at least one clude roadside drainage, noise barriers, access public information session with stakeholders). roads, and footpaths. However, many meas- Another method for comparing the effects ures require an ongoing implementation plan of various project altematives is the value to ensure that proposed actions are carried out function method, which is described in Box 4.2. at the correct times, that environmental meas- In practice, there is no technical solution ures such as planting and slope protection are which weights and ranks "correctly" the wide maintained, and that prompt remedial actions range of issues that need to be addressed. The are taken when the initial measures are not final outcomes of analyses of altematives are fully successful. usually strongly influenced by political and The principle of no net loss is a useful community-based consultative processes; how- guideline for the design of remedial measures, ever, these tend to focus on a few main con- especially those involving people. Adhering to cerns to the exclusion of others. Presentation this principle requires planning both immedi- systems should recognize this and provide in- ate measures and long-term actions to ensure formation to decision-makers and affected that former productivity and quality of life do groups, rather than seek to define solutions.4 not suffer as a result of the project Two additional factors to be kept in mind 4.5 PLANNING REMEDIAL MEASURES in the design of mitigation and compensation plans are that: 4.5.1 Avoidance i) Some measures may themselves have Avoidance of negative environmental impacts negative effects. Resettlement, for example, should be a proponent's priority. What can re- sometimes has significant impacts on resi- alistically be achieved often depends on the lo- dents or the natural environment at the cation and scale of road works and related off- host location. Social issues are the most site construction and traffic activities. Impacts challenging, since perceptions of "winners" can be avoided completely by a "no-project" and "losers" can develop quite readily. De- altemative, but it should be recognized that sign and implementation of equitable and even existing roads have impacts on their sur- balanced mitigative measures requires con- rounding environment; these impacts can in- siderable care and consultation.5 crease over time with traffic growth and land ii) Some measures may not be the exclusive development, and may be reduced by mainte- domain of the road agency. Government nance, rehabilitation, and construction actions. departments, local authorities, neighbors, nearby businesses, non-governmental or- 4.5.2 Mitigation ganizations, and the legal system may all Mitigation is the lessening of negative envi- be involved in their design and implemen- ronmental impacts through: a) changes in the tation (see Sections 2.2-2.4). Clear definition design, construction practices, maintenance, of responsibilities, funding, and reporting and operation of a road; and b) additional ac- requirements can help to ensure the success of such measures. 4 Well-supported and compelling arguments, presented in as few words as possible, can influence decision-makers. S Without adequate lead time or warning of impending EA practitioners should consider themselves decision- impacts, remedial measures designed to reduce the effects shapers whose task it is to provide dear and complete proof often fail, since people are not prepared for, or have not of the impacts of a prcoect (positive as well as negative). planned, the necessary actions. 38 BOX 4.2 THE VALUE FUNCTION METHOD AS AN EXAMPLE OF ANALYSIS OF ALTERNATIVES The value function method is applied to the analysis of the routing alternatives for an expressway. The envi- ronment is classified into four types: human environment, community life, natural environment, and cultural environment. As shown in the table below, three to five impact categories are listed for each environmental type, totalling sixteen in all. The environmental assessment of routing alternatives takes the following five steps: i) The analysis begins by estimating the values of sixteen impact categories for each route alternative. For ex- ample, the noise level is estimated in dB(A), the air pollution in ppm, and the spatial separation in kilome- ters of a given route alternative. ii) The estimated values for the respective impact categories are then converted to non-dimensional environ- mental quality values that fall in the range from 0 to -1. iii) The converted non-dimentional quality value of every impact category is then multipled by the assigned weight that indicates the significance of the impact category relative to the others. iv) The weighted environmental quality values of sixteen impact categories are then totalled to obtain a com- prehensive environmental quality value for each route alternative. v) The route alternative of the largest comprehensive environmental quality value is judged the least envi- ronmentally hazardous. The value function is used to convert the estimated values of an impact category to non-dimensional values. The figure below shows the value function used for the noise level. Zero (0) means no noise hazard, while the value of -1 indicates the marginal level of noise tolerance. The weights for the respective impact categories can be determined by informed judgment, on the basis of the surveyed opinions from road planners, local inhabitants, and relevant academics. The table below indicates an example of weight assignments. Noise Level Value Function Weights for Impact Categories (Xx) Noise Human Environment Noise 164 -1.0 Vibration 71 Air quality 108 -0.8 Sunshine 60 /___________________ Water quality 36 Community Life Community life 79 Spatial separation 45 -0.4 Radio obstruction 32 Natural Environment Geospheric 39 Hydrospheric 44 Atmospheric 43 L _ Fauna 50 0 50 60 70 75 dB(A) I Flora 71 Cultural Environment Landscape 65 Cultural heritage 53 Recreation 44 Total 1,000 Source: Mori, H. and K. Kaneyasu, 1976. 39 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 43 consultation helps to keep such negative EXAMPLES OF MITIGATIVE MEASURES impacts to a minimum and compensation INCORPORATED INTO PROJECT DESIGN costs low. Envirounmental impact study for the Guinea- iii) In developing countries, large historical Conakry Road Project (96 km road construction in databases on background conditions in a a mangrove swamp and rice-growing area) in- potential impact zone are rarely available. cludes If anything, there are usually sporadic clusters of information, collected for very . traffic management plans for public works vehi- specific reasons, yet generally they are of . redevedopment of borrow zones (revegetation little use to the EA. However, local and in- and stabilization of soils); digenous peoples are hberally waLking da- . turfing of embankments, drainage of plains, re- tabases of past conditions and can provide forestation, and regeneration of plantings; and some excellent predictive information on . compensation for property taken. future environmental trends and commu- nity dynamics. This resource can be tapped Mitigative measures from transportation EA inte- through thoughtful (and often inexpensive) grated into regional development programs in- community consultation and can add im- clude measurably to the planning of practical . mangrove swamp development and management mitigative measures. plan, covering rice cultivation, fishing, manage- ment of firewood, and protection of biodiversity, The most effective approach to involving with provision for training, supervision, and ex- local people is the slow building of confidence tension services; and trust. However, time constraints in EA of- . protection of forests and monitoring of hunting; ten require an altemative, to which Chambers . creation of a nature reserve as part of the tourism (1983) refers as the "rapid rural appraisal tech- plan; nique."6 • water supply program and improvement of Rapid rural appraisal involves seeking in- sanitary conditions, malaria alleviation; and Rapid rua apprisal ol seeking in- , agiutrldvlpetpor, formation from a variety of scientists and knowledgeable community members, and combining the results in a multidisciplinary as- sessment (see Section 5.5.7). Chambers has de- 4.5.3 Including consultation in mitigation scribed it as a "middle zone" between the planning anthropological survey and the development The development and execution of an effective cost-benefit matrix analysis, and suggests ad- public consultation program is essential to hering to two precepts for staying in the middle mitigation planning for three reasons: zone: i) Road projects often require some local in- i) Optimal ignorance (knowing which facts put, such as employment, maintenance, or are not worth knowing); and policing functions. In order for the project ii) Appropriate uncertainty (aiming for the to be accepted by the local people, and for minimum level of accuracy to get the order them to cooperate in its execution, they of magnitude and direction of change). need to be informed about its arrival. They Through consultation, proposed remedial need to be encouraged to provide input to measures can be tested for acceptance, modi- mitigation design, and made to feel that fied according to local needs, and eventually their contribution will be valued, turned into a solution crafted by the proponent ii) There is a very real danger that a project in collaboration with the stakeholders (see Sec- implemented without concerted public in- tion 5.5.7). volvement will put serious pressures on the quality of life of the local population (and frequently reduce it). There are many ex- 6 This approach, incidentally, is not limited in any way to amples of this around the world. By gener- rural settings. In urban areas it is just more difficult to ating relevant mitigative measures, proper identify those individuals who are long-time residents with valuable historical knowledge. 40 KEY STEPS INVOLVED IN UNDERTAKING AN ENVIRONMENTAL ASSESSMENT 4.5.4 Compensation diversions, materials treatment areas, access Compensation should be considered if steps to roads, and work camps. reduce impacts are not possible or sufficient. After the construction phase, environ- Compensation can be material (reconstruction mental monitoring must be continued. Some of homes or natural habitats), financial mitigative measures, such as drainage systems (compensation for loss of property), or both. and erosion-preventive plantings, require Compensatory measures for specific impact ar- regular maintenance for correct operation, and eas are discussed in Part II of this handbook. monitoring is necessary to ensure their contin- ued effectiveness. 4.6 MONITORING AND EVALUATION Implementation of mitigative measures is often 4.6.2 Effects monitoring (evaluation) the weakest link in the environmental man- After mitigative measures are implemented, ef- agement process and requires special attention fects monitoring or evaluation can test the va- from managers. The environmental assessment lidity of hypotheses formulated in the study should identify plans for works supervi- environmental impact study; they can also de- sion, future environmental monitoring, and termine if the mitigative measures have evaluation studies (see Chapter 18). This as- achieved their expected results.7 In most coun- sures continuity between design and construc- tries, such evaluation is not regulated by laws tion and helps ensure full implementation of and is therefore often neglected. the environmental management plan. It should Social and financial assistance to affected involve skillful and responsible staff in both communities and individuals may also fail to environment (biophysical and social) and address all problems fully; follow-up monitor- roads, including those concerned with work ing is generally required for a number of years. supervision during the construction phase. Evaluation is necessary not only for indi- Responsibility for undertaking monitoring, vidual projects, but also to advance methodol- as well as the reporting procedure, should be ogy, assist in designing future studies, and- specified in the EMP section of the environ- through lessons learned-contribute to the mental impact statement. relevance and cost-effectiveness of environ- mental protection measures. Governmental 4.6.1 Compliance monitoring support is usually weak in this area, but it is During construction, all mitigative measures necessary for successful evaluation of road designed to reduce the impact of the construc- projects. tion activities should be monitored and en- Responsibility for corrective action to be forced by the environmental monitoring taken in the event of mitigation failure should authorities. This requires be defined clearly. * defining the proposed mitigative and com- 4.7 THE ENVIRONMENTAL pensatory measures; MANAGEMENT PLAN (EMP) * specifying who is responsible for the moni- The EMP is probably the most important out- toring activity; put from the EA process. Variously referred to * including implementation of mitigative mea- as the environmental action plan, environ- sures in contract specifications (see Chap- mental protection plan or the environmental ter 18); construction plan, the EMP is the synthesis of * making environmental competence one of all proposed mitigative and monitoring actions, the selection criteria for contractors; and set to a timeline with specific responsibility as- * briefing, educating, and training contractors signed and follow-up actions defined. It con- in environmental protection methods (see sists of the information one would normally Chapter 2). obtain when undertaking the work described in Compliance monitoring should not be con- Sections 4.2 to 4.6, and is defined as a set of im- fined to the road right-of-way, but should cover all sites affected by the project, including 7Efects monitoring presento s the primary opportunity for borro pits quaries, isposl sits, waerwa accumulating a "lessons learned" database vis-a-vis miti- borrow pits, quarries, disposal sites, waterway gati- planning4 41 ROADS AND THE ENVIRONMENT: A HANDBOOK plementable tasks with specific assignments for construction- and operation-period monitoring the proponent, the contractor, and the regula- reports, which describe how mitigative meas- tory agency-all within a specified time period. ures have been implemented and how effective A well-designed EMP addresses issues related they are. Generally such reports are produced both to the construction and operation phases by the monitor or inspector according to a pre- of a project; it includes scribed format, and are submitted to the con- * a list of all project-related activities and im- tract managers and to the key regulatory pacts, organized by development stage agency. (planning, construction, and operation); In summary, documentation should consist (planning, construction, and operation); o * a list of regulatory agencies involved and of their responsibilities; * an EIS that includes a complete environ- * specific remedial and monitoring measures mental management plan and resettlement presented for: action plan; and - construction period activities and im- * monitoring reports covering the construction pacts; stage and facility operation stage (provided - operational period activities and im- certain measures were specified in the EIS pacts; for that period). * a clear reporting schedule, including discus- sion of what to submit, to whom, and when; 4.9 USING MAPS IN EA and Good maps are of great use to EA practitioners - cost estimates and sources of funding for and should be employed at all stages of the EA both one-time costs and recurring expenses process. They are indispensable in visualizing for EMP implementation. the spatial relationships between impact Appendix 1 offers an example of an EMP pre- sources and recipients, while comparing maps pared for a World Bank road project. of different dates can be useful in determining Preferably, the EMP should be divided into changes and trends over time. Maps may be two broad components, one dealing with the obtained from natural environment and the other with the so- * government cartographic departments; cial environment. The social component most * research departments of universities work- often addresses resettlement and economic im- ing in a specific field; or pacts, and has been prepared, traditionally, as a * development agency project offices. stand-alone document. It is known as a reset- tlement action plan or a resettlement and reha- Given their diverse origin, maps used in bilitation action plan (RAP). It is advisable, EA may vary greatly in scale, range, content, unless such is not feasible for practical reasons, detail, and precision. The year in which a map that the RAP be incorporated as a major section was produced can be important in assessing into the environmental management plan, since how reliable the map is for representing the this would further the integration of the bio- current situation. Like any source of informa- physical and social environmental actions into tion, maps are open to interpretation and bias. one project-level action plan. The form and Attention should be paid to the origin of all content of RAPs are discussed in Chapter 12. maps used in EA. 4.8 DOCUMENTATION 4.9.1 Dealing with poor availability of Without clear and complete reporting, an EA maps can become a vague and confusing set of un- Maps may not always be readily available in verifiable tasks that would be of little use to many developing counties, and this can present managers trying to integrate environmental problems for EA practitioners. In these situations, considerations into road planning and devel- the search for materials will have to be extended opment decisions. The environmental impact well past te government mapping office. statement (EIS) is the key document (see Sec- Locally-active organizations, such as agen- tion 3.5), but it needs to be supplemented by cies of the United Nations or NGOs, may pro- duce maps for their own use. Industrial map 42 KEY STEPS INVOLVED IN UNDERTAKING AN ENVIRONMENTAL ASSESSMENT producers, such as mining companies, may also In some countries, the lack of good maps be good sources of maps. Sometimes, useful may be related to government restrictions on maps can be found in reports authored by vari- map distribution for security reasons. Even in ous organizations on a variety of subjects that such a case, it is sometimes possible to photo- overlap with the area of study. copy or photograph existing maps; the copies Coverage of the earth's surface by satellite or prints can then be enlarged for use as base imagery is far more complete and current than maps. is the coverage by maps. Digitized base maps What follows is a general description of the showing major features can be produced from different types of maps available, and how satellite images; however, procuring the neces- each type can be used in conducting an envi- sary computer equipment, software, and im- ronmental assessment. Typical and desirable ages may be prohibitively expensive. Satellite map scales are provided in Table 4.1. images may be available from commercial sup- pliers, such as LANDSAT and SPOT, as well as 4.9.2 General maps the various intemational space agencies. General maps are the most widely used and Finally, reasonable maps can often be pro- readily available types of maps. They include duced fairly quickly and cheaply in the field by information on such topics as roads, buildings, members of the assessment team assigned to vegetation, and topography. Maps that convey that purpose. Maps used in EA are valued topographic information in conjunction with in- more for the general spatial relationships they formation concerning the built environment illustrate than for their precision, and a map and vegetation are especially practical for drawn carefully by hand will often be as useful placing a proposed road in its environment and as one derived from satellite imagery. pinpointing the places where conflicts are most TABLE 4.1 EXAMPLES OF THE USE OF MAPS AT VARIOUS STAGES OF EA AND SUGGESTED OPTIMAL SCALES Environmental intervention Role of information, use and optimal map scale Screening Basic maps at scale < 1:100 000 Scoping Maps presenting the main factors for environmental study. _____ ____ _____ ____ _____ ____ Scale 1:100 000 Environmental Assessment Report Detailed thematic impacts and synthesis maps showing key issues. or Environmental Impact Statement Scale <1:75 000 -1:100 000 Environmental Evaluation Updating of data, confirmation of models, confirmation of impacts. Scale < 1:50 000 Environmental Monitoring Cartographic comparison of initial state, actual and expected impacts. Scale < 1:50 000 Summary of suggested scales Type of data being mapped 1:500 000 to 1:100 000 Useful at preliminary study stage for presentation of: * main population centers * important roads and infrastructure * main relief features * main hydrological network s 1:100 000 to 1:10 000 Of interest at feasibility study stage for presentation of: * type of housing (scattered, grouped) * relief symbolized by contour lines * main and secondary hydrographic network with watering places and water supply 43 ROADS AND THE ENVIRONMENT: A HANDBOOK obvious. Such maps are useful during the ini- * political representatives at the national, re- tial scoping process, as well as throughout the gional, and local levels; or remaining EA steps. * affected commurnties and the general public. 4.9.3 Thematic maps They can be used to disseminate information and stimulate discussion during consultation Maps that focus on a specific topic or theme are sessions. of particular interest during feasibility studies The level of detail and complexity of pres- and the evaluation of a site's sensitivity to vari- entation should be suited to the needs and in- ous types of environmental impact. A vegeta- terests of each group. Impact studies are often tion map can draw attention to fragile illustrated using sensitivity maps, which high- ecosystems, such as mangroves or rain forests; light the environment's sensitivities in its initial a hydrogeology map can reveal the presence of state, and constraint maps, which identify im- vulnerable groundwater in the vicinity of a pacts on sensitivities caused by the project proposed road project Figure 4.2 shows how VECs can also be mapped and presented in this map overlays can be used to identify environ- way. mental constraints, while Figure 4.3 is an ex- ample of a map used to highlight environ- 4.9.5 Synthesis maps mental sensitivities. In areas where GIS soft- Synthesis maps, which combine key environ- ware is not readily available, a mylar overlay mental themes (Figure 4.3) are often drawn up process can be effective and does not require a for the critical phases of the environmental computer system. study; they are used to 4.9.4 Presentation maps * describe the initial state of the local envi- Presentation maps may be prepared for differ- ronment; ent groups of people, such as * describe the impacts and comparison of al- ternatives; and experts and professionals; * define compensation and resettement actions. FIGURE 4.2 THE USE OF OVERLAYS TO SHOW ENVIRONMENTAL CONSTRAINTS Composite Ecological sites Historic sites Visual Health - - Noise 4r'IF *p ~~~~~~Settlements LggZu Severance Water 44 FIGURE 4.3 MAP SHOWING ENVIRONMENTAL SENSITIVITY Dense urbanization: strong sensitivity with respect i Treee plantations: Vulnerable to alterations in to noise and changes in rights-of-way. groundwater flow. Sparse urbanization: Strong sensitivity to noise Mixed forest: Sensitive to disturbance of and changes in rights-of way. wildlife, alterations in grounwater flow, and encroachment. [m1I Industrial zone: commercial activity sensitive to ." Hunting reserve: Sensitive to disturbance of changes in access and disruptions of interaction. . wildlife. Q High-use animal corridor: Threatened by high Woodland slope: Susceptible to erosion 'm traffic volume. 3 Secondary faunal corridor: Threatened by ] Undisturbed flood plain: Valuable wildlife high trafic volume. habitat Sensitive to changes in water flow and quality. Ed Valuable spawning grounds: Very sensitive to Significant ecosystem: Harbours rare or r changes in water quality and flow. especially sensitive species, and as such is vulnerable to any modification. 1 Good fish habitat: Sensitive to changes in water quality and flow, access important for fishing. r- Valuable wildlife habitat: Sensitive to L-a encroachment and alterations in water Fjl Drinking water source and protective perimeter: flow and quality. l sensitive to contamination and alteration of groundwater flow. u:-m : Good agricultural land: Strong sensitivity LI] to severance of interactions, loss of [S1 Cultural heritage site: Sensitive to vibration, land, groundwater alterations, and erosion. uncontrolled access. 1=1 Medium grade agricultural land: Strong sensitivity to severance of interactions, loss of land, groundwater alterations, and erosion. 45 ROADS AND THE ENVIRONMENT: A HANDBOOK 4.10 REFERENCES AND BIBLIOGRAPHY Canter, L.W. 1994. Environmental Impact Assessment. McGraw-Hill: New York. CEC Ltd. 1994. IBRD - Third National Highway Project; Medium-Term Construction Projects for Expressways in India. Initial Environmental Evaluation Report, prepared for the World Bank and the Ministry of Surface Trans- port, Government of India. Chambers, R. 1983. "Environmental Assessment of Land Transport Construction and Maintenance." (Draft prepared for World Bank Infrastructure and Urban Development Department), in Sinha, K., et al. 1991. France, Ministry of Infrastructure. 1993. "Water and Roads Study Report" (in French). Bagneux, France: Roads and Highway Technical Studies Department (SETRA). Gilpin, Alan. 1986. Environmental Planning: A Condensed Encyclopedia. New Jersey: Noyes Publications. Green, R.H. 1979. Sampling Design and Statistical Methods for Environmental Biologists. New York: John Wiley and Sons. Mori H., and K. Kaneyasu. 1976. The Value Function Method Applied to the Analysis of Routing Alternatives (in Japanese). Public Works Research Institute, Ministry of Construction, Japan. Organization for Economic Cooperation and Development 1993. Environmental Impact Assessment of Roads. Paris: OECD. Overseas Development Administration. Undated. Manual of Environmental Appraisal. London: ODA. World Bank. 1991. Environmental Assessment Sourcebook. Vol. IH. Sectoral Guidelines. Washington. DC: World Bank, Enviromnent Department. World Bank. 1993. Environmental Screening, EA Update No. 2. Washington, DC: World Bank. World Bank. 1996a. Analysis of Alternatives in Environmental Assessment, EA Update No. 16. Washington, DC: World Bank. World Bank. 1996b. Environmental Assessment(EA) in Africa: A World Bank Commitment: Proceedings of the Durban, World Bank Workshop, June 25, 1995. R. Goodland, J-R Mercier and S. Muntemba, eds. World Bank. 1996c. Environmental Performance Monitoring and Supervisions, EA Update No. 14. Washington, DC: World Bank. World Bank. 1996d. Challenges to Managing the EA Process, EA Update No. 16, Washington, DC: World Bank. 46 5. Public involvement in EA HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screeniing MEMIS ~~~~~~~~~Proponuot I ui ncpt (on sultation Key regulatory agency *'CL -fea i bi lity Determining baseline conditions Other government agencies IeasibilitV Selection of preferred solution N( ( )s Engineering design Assessment of alternative designs/methods Research groups Construction = Developmc nt of cmx irotnimeuttal muii a gieiit ph ii PLub i ic/Coin inUitV ii pa oi/ tfioon Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: f When is public involvement necessary? B Who should participate in a public involvement (PI) program? El How should PI participants be chosen? * What type of consultation or participation is most appropriate for a given situation? What information should be presented and which medium should be used? ROADS AND THE ENVIRONMENT: A HANDBOOK Road projects which affect the surrounding project can serve to start the EA on a construc- biophysical and socio-economic enviromnent tive footing with the public. often impinge on the responsibilities, interests, and welfare of many individuals and organi- 5.1.2 Information solicitation zations outside of the road authority in charge Asking the local community, residents, and in- of the project. terest groups to provide input into the EA is as Throughout this handbook, consultation important as disseminating basic information. and communication with various interested Not only will such solicitation generally yield groups (known collectively as public involve- new insights, but it will also initiate construc- ment) are recommended as an integral part of tive dialogue between road proponents and the EA process. Public involvement (PI) is use- other stakeholders. ful for gathering environmental data, under- standing likely impacts, determining com- 5.1.3 Consultation munity and individual preferences, selecting Consultation involves engaging people in dia- project alternatives, and designing viable and logue, in other words, a two-way flow of in- sustainable mitigation and compensation plans. formation and ideas between the proponent Inadequate PI can result in significant in- and the stakeholders. Members of the public, formation gaps, which could midslead road after hearing and reading about a project, often planners undertaki-ng an envirounmental as- have no idea how and when they might be- sessment Lack of attention to communication come involved, and it is the responsibility of and consultation processes can generate indi- coe involved, an itis the responsibility .o the prOponent to linitate the dialogue. Consul- vidual, community, or regional opposition to a tation programs should provide information road project This can ultimately be a cause of which clearly defines substantial delays, increased costs, and unsatis- factory compromise solutions, which could * what is being asked of the public; have been avoided through earlier consulta- * when the public should contribute, i.e. when tion. input is most effective; This chapter presents some of the methods . in what form the input should be presented; which can be used to promote effective public and involvement at various stages of the project de- * whom members of the public should contact velopment cycle. if they want to participate. -3.1 GUIDING PRINCIPLES The public's input must be treated seri- ously in order for its use in the project planning Effective communication with concerned stake- process to become clearly evident. Box 5.1 pre- holders requires information dissemination, in- sents two examples of successful community formation solicitation, and consultation. involvement in EA. 5.1.1 Information dissemination 5.1.4 Application Information regarding proposed road projects The three components of public involvement quickly reaches the public. That information, listed above can be applied at various times unless it has come through a public involve- throughout the EA process and may be used ment program, is often general and frequently either one at a time or simultaneously, de- inaccurate. The organized dissemination of pending on the need. While there is no formula concise and information-rich materials' on a for determining when any one phase of PI is best applied, information dissemination and solicitation generally start very early in an EA 'A major mistake in otherwise well-orchestrated public and are often used in the initial screening of a involvement programs is the failure to provide the stake- project. Consultation usually takes place at two holders with enough information about the project, so that strategic stages in an EA process: first, during they can develop informed opinions and provide useful the analysis of alternative solutions stage, and input to the EA process. In some cases, this has been done then during the impact analysis for a preferred purposely, thereby totally eliminating the value of the PI process. 48 PUBLIC INVOLVEMENT IN EA BOX 5.1 COMMUNITY PARTICIPATION IN PROJECT DECISION MAKING In many industrial countries, community representatives are being given a more important role in road project decision-making. The following examples are indicative of a growing trend. Example 1: In South Birmingham, UK, road planners were faced with vigorous opposition to new road proposals from a number of community and environmental groups. To resolve the conflict, anti-road groups were invited to come forward with practical alternatives to resolve traffic problems. The cooperative approach led to identification of road modifications which reduced speeds but maintained capacity in built-up urban areas. Perhaps more importantly, the resulting proposals were put forward jointly by road planners and commu- nity groups. Example 2: In Sydney, Australia, polarized community views of the Botany-West Transport Study led to the formation of a Community Advisory Conunittee to assist in the preparation of briefs and management of the study. A consensus approach was adopted for decision-making, all committee members had equal status, and in- formation was shared openly. Because the study was considering very expensive infrastructure options, fi- nal decisions rested with the state government, but the committee had substantial authority and control over the process -contrary to traditional government agency decision-making procedures. Three work- shops and four newsletters (each seeking some feedback) were used to get wider public input from indus- try, unions, local government, and other interest groups not directly involved in the advisory committee. The study looked first at what sort of future people expected to live in, and then what major transport and land-use options, projects, and policies would be needed. Source: OECD 1994. design. In complex and sensitive projects, con- Thorough project scoping can go a long way sultation may occur more frequently. toward determining the type and extent of PI program that should be applied. 5.2 WHEN IS PUBLIC INVOLVEMENT NECESSARY? 5.3 DETERMINING WHO SHOULD Not all types of EA require comprehensive PARTICIPATE public involvement; for example, those which In developing plans for public involvement, the are highly localized or do not interfere with first priority should be to identify the stake- people's lives. However, the general rule holders, since their makeup will dictate the size should be "when in doubt, consult!" of the study area, as well as the type of pro- PI programs are most often triggered by gram needed. five types of projects: The first step in stakeholder identification i) projects affecting indigenous people; should be an examination of the potential im- ii) projects requiring resettlement or land ex- pacts of the project in terms of propriation; * who may be affected directly (project af- iii) projects for specific beneficiary groups fected people); such as the poor, indigenous people, * which agencies might have responsibility for women's associations, etc.; the impact management; iv) projects that depend on local initiatives to * which other organizations might have an be successful; and interest in monitoring proponent activities or v) projects that trigger economic hardships for have local knowledge to contribute; and neighboring communities, for example by * which private sector entities might face fi- increasing traffic, endangering health, or nancial and social hardships if the predicted altering the local resource base.2 impacts occur. During the second step, the EA team needs to 2 These types of projects sometimes generate severe hard- determine the enabling environment that will ships for local populations, requiring sensitive consulta- allow for the PI program's success. Political tion to find altenative sources of income. 49 ROADS AND THE ENVIRONMENT: A HANDBOOK support and official interest in the project Since most people will not participate un- should be encouraged, and any regulatory con- less they see a clear benefit for themselves or straints should be removed to ensure that the their community, EA teams need to promote process succeeds. Usually, the enabling condi- the benefits of participation in termns of the fol- tions are based on four factors: lowing ideals: i) the existence of an EA regulatory frame- * participation may lead to direct improve- work, in which some public involvement is ment of living standards; specified; * immediate short-term gains for the commu- ii) the existence of political will within the nity are often based on participation; and lead regulatory agency to undertake a PI * identification of appropriate compensation process; measures, such as the funding of alternative iii) institutional capacity (in-country) in terms livelihoods, will benefit the poor only if they of PI program planning, sociology and fa- participate in such a program's design. cilitation; and Moreover, one must go a step further and "take disvanguished from donor funds) to sup- participation to the poor" instead of simply disticnguaishedrom donor. fud) osu- calling meetings and waiting for them to show port consultation costs. up. This means meeting with them in their liv- Completing these two steps should yield a ing environment or securing for them trans- preliminary "socio-environmental profile" of portation to and from the meeting. Any the project and an initial list of PI participants. information exchange must strive to be non- It is suggested that, for the five project confrontational and relaxed, permitting ample types listed in Section 5.2, the first information time for participants to speak or ask questions. dissemination step include the entire initial list The most compelling action by a proponent of stakeholders, however long. For subsequent to demonstrate that the PI input is being con- communications, only those responding to the sidered seriously is rapid action and response dissemination should be contacted. For less to the comments and needs expressed by the sensitive projects, a process of stakeholder con- poor. solidation may be required, for instance identi- Women make up a disproportionately fying interest group representatives. large percentage of the poor in the world, yet they are often badly under-represented in the 5.3.1 Enabling the poor to participate3 PI process. Therefore it is essential that a pro- Generally, it is the poor who are most seriously active approach be taken to seek their involve- affected by road projects. Many sociological, ment (see Box 5.2). cultural, and economic factors have restricted the participation of the poor in public involve- 5.3.2 Local and conmmunity participation ment programs. The need for special efforts to At the local level, social science analysis involve the poor in PI is often overlooked by techniques can be used to examine relation- government officials. Successful involvement ships between groups and individuals in order requires an understanding of their needs and to identify those with the greatest power to in- aspirations, and of the ways in which decisions fluence decisions and outcomes. These tech- are made in their communities. This under- niques can also be used to determine which standing must be applied when determining forms of consultation are most likely to elicit which institutions and mechanisms will be the knowledge and input of people with differ- most effective in helping the poor to reap the ent interests, such as owners and renters, ex- greatest possible benefits from involvement in perts and laymen, beneficiaries and potential the planning process. losers, men and women, wealthy and poor, farmers and business people, rural and urban 3 The poor are referred to in dtis handbook as all people dwelers, and different ethnic groups. In order living at or below the documented poverty level, those to consult successfully with the full range of lacking basic life support systems, and those who are par- people who have an interest in a project, it is ticularly disadvantaged (women, minorities, physically often desirable to use several different consul- challenged people, etc.). 50 PUBLIC INVOLVEMENT IN EA tion, and distribution constraints. Other WORLD BANK EXPERIENCE WITH THE PARTICIPATION OF departments and research institutes can WOMEN IN CONSULTATION PROGRAMS provide data on the biophysical envi- Experience has made it clear that specific steps must be taken ronment In many of these areas, local to ensure that women participate in (and benefit from) PI governents have additional informa- programs. A World Bank evaluation of 120 rural water sup- tion on site-specific conditions. ply projects found that even in a sector in which women car- Government organizations also have ried the greatest share of responsibility, they benefited from a role to play in project decision-making only 17 percent of the projects-namely those which had and implementation. Decisions on land been specifically designed to involve women. There are three use, national parks, and indigenous peo- key barriers which often stand in the way of good participa- ple, for example, often involve depart- tion by women and for which compensatory mechanisms ments outside the road ministry. must be built into the PI. These three barriers are: Implementation of mitigation and com- i) beliefs and attitudes that confine women to the domestic pensation plans, as well as enforcement sphere; of regulations regarding safety and pol- ii) the burden of providing for the family, which leaves lit- lution, may also involve other groups, tie time for PI; and who should therefore be included iii) laws, customs, and other institutional constraints that through the EA process in the design of prevent women from gaining appreciable social and thesecomponents. economic independence. Source: World Bank, 1996. 5.3.4 Non-govermnental organizations (NGOs) tation activities; for example, public meetings, A wide variety of non-governmental organiza- expert seminars, interview surveys, neighbor- tions (NGOs) with different capabilities, hood displays, or small group discussions (see strengths, and interests in road and environ- Section 5.5). ment issues can be found in different countries and regions. 5.3.3 Government agencies and research NGOs may be oriented towards communi- institutions ties, ethnic groups, business interests, unions, Various government bodies can provide infor- professions, or issues such as transport, devel- mation on the potential environmental impacts opment, poverty, or the environment. In some of a project and on future policies and plans cases, they have considerable resources and that may affect its implementation and opera- contacts within their interest group and can tion (see Box 5.3). Some of these organizations represent the views of a significant segment of also have interests, responsibilities, and juris- the wider community. dictional authorities that need to be considered NGOs can bring important information and in selecting project options and designing im- skills to the environmental consultation proc- plementation plans. ess. For example: Inclusion in the assessment process at an . Community and ethnic NGOs can promote early stage enables government stakeholders to awareness of local cultural issues and the so- develop an enduring interest in seeing that cioeconomic context of project options. They mitigative measures are applied. may also provide an additional interface Apart from road and environment depart- with residents and local groups to assist the ments, useful information can be obtained from consultation process. national statistics organizations and depart- * Environmental NGOs have the advantage of ments dealing with demographic, cultural, and knowledge about a specific area and the way economic data, as well as trends that are im- in which development may affect its status. portant in evaluating social impacts. Sectoral They can often help identify fragile species agencies can provide information on direct and and contribute to the design, organization, indirect impacts of road development on agri- and implementation of protective measures. culture, mining, forestry, or water supply; this * Development-oriented NGOs may be in- might include basic data on supply, produc- volved in complementary development op- 51 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 5.3 Clear rules and DEPARTMENTS CONSULTED FOR AN IMPACT STUDY OF A ROAD IN BURUNDI assumptions com- mon to both the Ministry of Public Works and Directorate of Geology and Energy proponent and the Urban Development stakeholders are Ministry of Agriculture essential if trust Ministry of Planning and collaboration Ministry of the Environment, Burundi Geographic Institute are to become the Tourism and Development cornerstones of Environmental Counsel Office of Coffee friendly informa- Directorate of Forests tion exchange. A Directorate of National Institute solid PI framework of the Environment and Project offices and financial backers can be ensured by Preservation of Nature World Bank Counselor Project Action Fund * defining the Special Public Works Program breadth of the Integrated Breeding Program EA in terms of Burundi Institute of Agronomic Sciences National Reforestation Project issues to be ad- General Directorate European Communities Commission dressed and those Agro-Economic Research Department United Nations Development Program which should re- Cartographic Department French Aid and Cooperation Fund main outside the Source: SETRA. process; * identifying the erations, and can assist with implementation consultation issues. Measures to control water runoff, for timetable and duration; example, can be designed as part of an . defining how participants are to be selected, NGO's irrigation project. Likewise, road im- and their relevance to the EA; provements can enable an NGO to launch * identifying a suitable setting which encour- projects that have run up against obstacles, ages frank discussion; such as the marketing and distribution of . choosing an appropriate consultation fruit and vegetables. method for the community; and 0 outlining in advance how information will be Therefore, transportation agencies who manage disseminated and solicited, and how feed- or conduct EAs are urged to seek out and work back will be given. with NGOs. This framework should not be established 5.4 A FRAMEWORK FOR PUBLIC unilaterally by the proponent but should form INVOLVEMENT an important element of early interaction with Publc involvement entails a dialogue with in stakeholders. Once prepared, the framework terested parties before key project decisions are constitutes a public involvement plan. made. It should cover such issues as the choice 5.5 PUBLIC INVOLVEMENT FORMAT of alternate routes, and methods of limiting or compensating for negative environmental im- Since nations have varying policies regarding pacts. This usually requires a good communi- the public's right to speak out, the anonymity cator on the environmental team. While the of people who participate in the consultation final decisions on project options generally re- process often must be guaranteed. This can be main with the road agency, public inputs achieved by not requiring any registration, in- should be seriously considered and identified if viting unsigned written comments, and con- used in reaching road planning decisions. Par- ducting group discussions, avoiding singling ticipation does not imply complete sharing of out individuals to speak. This trust, if it can be decision-making power, but recognizes shared developed, can be broken for a very long time responsibility for both negative and positive if just one breach is discovered. aspects of the project (as in Box 5.1). 52 PUBLIC INVOLVEMENT IN EA 5.5.1 The "open house" meetings. Organizers should take account of (information displays and reports) leadership structures, decision-making proc- Public displays, newsletters and leaflets can be esses, and the presence of powerful or espe- used to disseminate information on initial con- cially vocal groups within a meeting. Meeting cepts and proposals for a project, and subse- arrangements should allow for different cul- quently on options selected and designs tural approaches to collective decision-making adopted. Displays are usually set up in public or public disagreement. The existence of sub- buildings, busy roadside areas, shopping areas, groups with substantially different interests, or or markets, especially those close to the af- groups who are unlikely to speak up in public fected areas. Where possible, project staff forums, should also be recognized. should be present to answer questions and ac- The choice of time and location of meetings cept verbal or written comments, which can be can have a big effect on attendance and partici- incorporated into project planning and envi- pation. In general, meetings which are held ronmental assessments. closer to affected communities, and in familiar buildings, are more likely to encourage local 5.5.2 Interview survey participation. Surveys are widely used in gathering sociologi- In some cases, formal notes or minutes may cal data and can also quantify opinions, priori- be recorded for public meetings, along with the ties, and concerns of people affected by road names and affiliations of participants. This can projects. A common approach is to interview a be particularly important for participatory de- representative sample of affected people and cision-making processes. ask a pre-defined set of questions, with re- Public meetings do not always result in sponses recorded on a standard form. Careful improved communications. Sometimes power- survey design is important to ensure that the ful minorities "hijack" the consultation process, sample interviewed is truly representative of vocal groups express strong opinions to the ex- the affected groups and that questions are clusion of other viewpoints, or tensions arise worded so as not to bias responses. Expert as- between different interest groups or within sistance is often requoed in the design of sur- communities. In some cases the meeting can vey procedures, training of interviewers, and end with uncertainties about project objectives, interpretation of results. scope, impacts, or options. Many of these out- Because of the time and experise required, comes can be avoided by thorough preparation surveys can be expensive and are not used in and a sound understanding of the participants all cases. involved. An experienced and respected moderator 5.5.3 Public meetings or facilitator, independent of the agency pro- posing the project, can help to ensure the effec- Formal "public hearings" are required for ma- tiveness of such discussions. It is important, for jor public projects in some countries, with spe- eape omk ueta atcpnshv cific procedures laid down by legislation. The example, to make sure that participants have methods vary from case to case and are not dis- these are properly understood, and that com- cussed further here. EA practitioners should these forefuro rel actionsaredclearlyat co- make themselves aware of any legislation per- guished from opinions and examples. taining to public hearings in the country in good communion sil arei r which they are working. ~Good communication skills are Important whchthy atere workmsg. of pub meetingare for the conduct of public meetings; they can Many other forms of public meeting are help in probing areas of uncertainty and objec- used to facilitate public participation in road project evaluations. In general, these should be tively restating information and opinions. organized around the following four steps: 5.5.4 Individual or group discussions a) establish "rules of the game," b) provide in- In addition to pubic meetings, separate discus- formation, c) seek input, and d) discuss imple- sions should be arranged with specific groups mentation. Those meed sh s een An understanding of social and community or individuals. These meetings should be seen structures is most important in the conduct of as an opportunity to improve communications 53 ROADS AND THE ENVIRONMENT: A HANDBOOK with diverse interest groups, but not as a way odology and their relationship to more formal of giving unbalanced influence over the project social science methods, and provides numerous outcomes. They have a number of objectives. examples and case studies to illustrate their In some cases, the views of minority groups practical application. The Overseas Develop- or less powerful elements of a community, such ment Administration notes five common char- as squatters, renters, women, and the poor, acteristics: may be best discussed in smaller and less for- i) greater speed compared with conventional mal settings. Arrangements for such meetings methods of analysis; should recognize social and cultural norms in ii) work done in the field; the local communities. Participants may prefer ii) emphasis on learing directly from local comments to be anonymous, in aggregate form, inhabitants; rather than being attributed to individuals. hbtns Somerthan groups ant edto individualsh iv) semi-structured, multidisciplinary approach with room for flexibility and innovation; ticular knowledge and interests which might and justify a more in-depth discussion that could v) emphasis on timely insights, hypotheses or not be accommodated at a general meeting. Ex- "best bets" rather than final truths or fixed amples include affected residents, technical recommendations. specialists, counclors or pohtical representa- tives, non-governmental organizations, specific Sketch maps are often used as part of this community groups, and specific businesses or approach, along with "transects," or diagram- occupational groups. Where appropriate, sepa- matic representations of land use accompanied rate meetings can be arranged in which infor- by notes about problems and opportunities. An mation is presented for a specific audience, and example is shown in Box 5.4. Institutional discussion can focus on clearly defined con- structures can also be represented diagramati- cerns and issues. cally, as shown in Box 5.5. 5.5.5 On-site consultation 5.5.7 Rapid rural appraisal This approach is especially suited to cases with Rapid rural appraisal is normally undertaken time or other constraints (such as the absence of by a multi-disciplinary team and lasts from one meeting facilities), or when on-site discussions to four weeks. The use of key informants4 and will be particularly helpful to either the agency strategic questions allows for a compression of or meeting participants. It is also useful for pre- data collection time. Combining individual and bid discussions with potential contractors, to group interviews is one way of cross-checking make sure that environmental issues and re- information. sponsibifities are clearly understood. The team should include at least one com- If a site inspection tour is included, the munity development specialist and one techni- number of participants may need to be limited, cal specialist (often an ecologist) with an according to the number of road project staff understanding of the systems likely to be af- available. fected by the project. The involvement of local experts and relevant organizations is crucial 5.5.6 Rapid social appraisal since they normally would have earned the As it is frequently difficult to allocate the time trust of the local people already, and would and resources necessary for detailed commu- possess knowledge and skills valuable to the nity surveys and in-depth studies, there is EA (Yap, 1990). growing interest in a range of altemative and All practitioners should give very careful less-structured methods of social data collec- consideration to public consultation but recog- tion. These are collectively referred to as rapid nize that this does not eliminate the need for appraisal techniques and include such methods well-informed data collection and analysis. as key informant interviews, focus group dis- cussions, group interviews, structured obser- vation, and informal surveys. Kumar (1993) 4 Informant is an anthropological term referring to local describes the underlying rationale and meth- people who are willing to and do provide information on historical conditions of the study area to the EA team. 54 BOX 5.4 RAPID APPRAISAL TECHNIQUES: THE VILLAGE SKETCH MAP The village sketch map is a spatial representation of the LEGEND +To Kangundo community. Rd MATETANI Process: The assistant chief W 9sr. S*A already had a 1:50,000 topog C 0- To To Kavilingunil raphical map. The team traced * __ \Kaweth. a base map, then the team, two s Cttkdtp G.WhoI village elders, and the assistant A X P & chief drove all roads and lanes e Y - . UPPER ZONE in the entire subdistrict-a trip of about two hours-recording Kangundo information and talking with KAWETHEI Kathini people, as appropriate. & - Result: The map exercise Uthini identified three micro-zones, K -r au defined largely by elevation, MEDIUM ZONE G soils, and rainfall. The upper zone had somewhat higher rainfall, generally fertile soils, and potential for growing cof- usy ni fee. The lower zone was gen- erally drier, had few water sources, and generally lower i X . . .... Kakutha agricultural potential. LOW Usefulness: Knowing about r ERZONE micro-zones, disparities in Ki wealth, differences in land use, and variations in resource ac- cess provided an opportunity for the assistant chief, women's group leaders, and the appraisal team to locate ar- MBUSYANI SUBLOCATION Kanguno Location > eas where local leaders Machakos District thought there were particular Eastern Proince, Kenya KYEVALUKI To Kathiani\ problems. Having this initial visual reference provided common ground for the team and local leaders to exchange information. Assessment: Preparing sketch maps as a first step has proven to be a dramatic and visually important way to announce to the community that something is going on. Several teams have had excellent responses in having the communities prepare their own sketch maps. The exercise is one of the most important rapid appraisal data- gathering tools. Source: Kumar, 1993. 55 ROADS AND THE ENVIRONMENT: A HANDBOOK 5.6 GUIDE TO INFORMATION 5.6.1 Written reports, newsletters, and PRESENTATION leaflets Information about the environmental aspects of Written documents for informing general audi- road development often covers a wide range of ences should be clear and concise, avoiding technical issues, which may vary in space, time, long sentences and technical terms or jargon. and degree of uncertainty about likely out- Illustrative material such as diagrams, photo- comes. For effective public involvement, key graphs, and maps can be very useful. Summa- points need to be summarized and presented in ries can highlight important points, and graphs ways which are easily understood by various or charts can simplify the communication of audiences, and provide an objective description some numerical comparisons or trends. of the main factors of interest. The presentation needs to allow comparison of impacts which 5.6.2 Graphic material are not readily quantified in common terms, Graphic materials should aim for simplicity and may provide different levels of detail when and clarity of message in order to be meaning- used for residents, experts, and decision- ful to non-technical audiences. This often makers. As a general rule, information used in means leaving out some information so that public consultation should be relevant, suffi- important issues are highlighted. Tables and cient, and credible. matrices, for example, should avoid fine print BOX 5.5 RAPID APPRAISAL TECHNIQUES: INFORMATION ABOUT VILLAGE INSTITUTIONS While the sketch map and seasonal calendar reveal important physical information, the institutional diagram has become an essential device for gathering social and institutional data. The team first compiled a list of all institutions (church groups, women's organizations, cooperatives, etc.) in the subdistrict. Meeting with clus- ters of men and women in four different sites of the subdistrict, the team asked residents to rank the impor- tance and cooperation of village institutions. To facilitate this process, the team leader brought 30 to 40 circles, cut from paper. The team leader asked group members to place names of the community's institu- tions on the labels, using large circles for the influential groups and smaller circles for less important ones. Next, the group leader asked villagers to arrange the circles to show how different institutions in the community cooperate to get things done (see figure). If two groups worked closely together, the circles would be Government placed to overlap one another. If the groups had no record of collabora- tion, circles would be placed separately from each other. While details varied, they all identified the important role of women's groups, as well as of government institu- Administratio tions in Mbusyani. For Mbusyani, they confirmed that the women's groups were the best bet to supervise follow-up work, raise and manage funds to do the work, and to co- operate with the assistant chief to plan new activities. In mess another community (not Mbusyani), the institutional analysis revealed that no village group trusted the assis- Health tant chief or would work with him. Many other examples of such insights could be cited. The point of the village ulture social analysis is the depth of understanding and the ac- tion imperatives that can be derived from a half-day Educatio discussion of the village's social and political profile, as perceived by representatives from the community. Livestoc Source: Kumar, 1993. 56 PUBLIC INVOLVEMENT IN EA and excessive detail where possible; posters 5.6.3 Audio-visual aids should emphasize only a few messages; and Aids such as slides and videos can be used to maps should limit the detail presented on op- describe the site and surrounding environment, tions or background (see Section 4.10). Aerial give an impression of the improved road and maps and satellite images, if available, are also traffic situation, or present examples of impacts valuable in describing a site and its environ- experienced elsewhere and mitigative meas- mental components. The application of GIS ures used. Text slides or transparencies should mapping has led to significant improvement in use large fonts and present only very simple graphic material presentations. messages. In meetings where dialogue is im- portant, visual presentations requiring dark- ening of the room should be used sparingly. 5.7 REFERENCES AND BIBLIOGRAPHY European Bank of Reconstruction and Development. 1995. Manual on Public Participation. London: EBRD. Federal Highway Administration. 1982. Guidance Material for Preparation of Environmental Documents. Washing- ton, DC: FHWA. Ministry for Urban Housing and Transport, Directorate of Roads, Ministry of the Environment. 1984. Voies pour la communication. Paris. Kumar, K., ed. 1993. Rapid Appraisal Methods. World Bank Regional and Sectoral Studies Series. Washington, DC: World Bank. Leitmann, J. 1993. Rapid Urban Environmental Assessment: Issuesfrom Cities in the Developing World. (2 volumes). Organization for Economic Cooperation and Development (OECD). 1994. Environmental Impact Assessment of Roads, Communication Needs and Public Involvement. Paris: OECD Overseas Development Administration. Undated. Manual of Environmental Appraisal. London: HMSO. Sinha, K et al. 1991. "Environmental Assessment of Land Transport Construction and Maintenance." Draft document prepared for the Infrastructure and Urban Development Department, World Bank. Urban Management Program, Discussion Papers 14 & 15. Washington, DC: World Bank. World Bank. 1991. How the World Bank Works with Non-governmental Organizations. Washington, DC: World Bank. World Bank, Africa Region. 1991. Local participation in environmental assessments of projects. Washington, DC: World Bank. World Bank. 1993. "Public involvement in EA: requirements opportunities and issues", in EA Sourcebook Update, No. 5. Washington, DC: World Bank. World Bank. 1996. The World Bank Participation Sourcebook. Environmentally sustainable development publica- tion. Washington, DC: World Bank. Yap, Nonita T., 1990. "Round the Peg or Square the Hole? Populists, Technocrats, and Environmental Assess- ment in Third World Countries" in R.E. Rickson, R.J. Burge and A. Armour (eds.), "Integrating Impact As- sessment into the Planning Process: International Perspectives and Experience". Bulletin of the International Associationfor Impact Assessment. 1&2:8:69-84. 57 6. Types of environmental impact HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping 1'roponient I onceEpt 'Consultation Key regulatory agency Determining baseline conditions Other governrnent agencies Feasibility Selection of preferred solution NGOs Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan Public/coiiimmunity organizations Operation & maintenance Effects and compliance monitoring AcIdv'isory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C primary target readers. KEY QUESTIONS ADDRESSED: B How are environmental impacts classified? * What are the basic criteria for defining the severity of environmental iimpacts? E What is an indirect impact? H What is a cumulative effect? ROADS AND THE ENVIRONMENT: A HANDBOOK 6.1 IMPACT TYPES pacts, since the cause-effect relationship is Environmental impacts arising from road de- usually obvious. velopment projects fall into three categories: 6.1.2 Indirect impacts i) direct imnpacts; Indirect impacts (also known as secondary, ter- ii) indirect impacts; and tiary, and chain impacts) are usually linked iii) cumulative impacts. closely with the project, and may have more These three groups can be further broken down profound consequences on the environment according to their nature, into than direct impacts. Indirect impacts are more . positive and negative impacts; difficult to measure, but can ultimately be more * random and predictable impacts; important Over time they can affect larger . local and widespread impacts; geographical areas of the environment than * temporary and permanent impacts; and anticipated. Examples include degradation of * temport ryand longermaeimpacts. and surface water quality by the erosion of land cleared as a result of a new road (Figure 6.1), and urban growth near a new road. Another common indirect impact associated with new Direct impacts are caused by the road itself- roads is increased deforestation of an area, that is to say, by road building processes such stemming from easier (more profitable) trans- as land consumption, removal of vegetation, portation of logs to market, or the influx of set- and severance of farmland. For example, the tlers. In areas where wild game is plentiful, removal of gravel material from a borrow pit, such as Africa, new roads often lead to the for use in surfacing the road, is an obvious di- rapid depletion of animals due to poaching. rect impact of road construction. In this case, Environmental impacts should be consid- the land area in which the pit site is located has ered not only as they pertain to road rights-of- been directly affected by activities associated way, but also to sites associated with the road with the road project. project, which include deposit and borrow Direct impacts are generally easier to in- sites, materials treatment areas, quarries, access ventory, assess, and control than indirect im- roads, and facilities provided for project work- FIGURE 6.1 INDIRECT IMPACTS: THE EXAMPLE OF LAND CLEARING andlearing| Increase in Increase in I o erosion { suspended matter Impairment of in waterways downstream quality of water for the fauna or for human usage 60 TYPES OF ENVIRONMENTAL IMPACT ers. These "off-ROW" areas are often where in- EA practitioners should predict and evaluate direct impacts appear (see Box 6.1). the significance of possible indirect effects by BOX 6.1 EXAMPLE OF POTENTIAL DIRECT AND INDIRECT ENVIRONMENTAL IMPACTS Environmental impact study for the Guinea-Conakry Road Project (96 km road construction in a mangrove swamp and rice-growing area). NOTE: Direct Impact (D); Indirect Impact (I). Soils Compaction of alluvial soils by earth moving equipment (D) Erosion and modification of surface relief of borrow zones (275,000 square meters) (D) Loss of topsoil (165 hectares) in the borrow areas (D) Over-exploitation of agricultural soils due to future development in a zone sensitive to erosion (I Irreversible salinization and acidification of mangrove swamp soils (I) Water Modification of flowing surface water in borrow areas, causing erosion and siltation (I) Modification of water flows during construction (stream diversion, modification of water table recharging) (D) Sedimentation near crossings of presently cultivated flood plain (D) Modification of surface and subterranean water flows and resulting drying or flooding (I) Pollution of water tables by equipment lubricants, fuels, and detergents (D) Displacement of salinity threshold into the mangrove swamp zone: effects on fauna and flora, impregnation of soils with tannin, erosion of coastline (I) Flora 260 hectares of deforestation and undergrowth clearance (D) Destruction of plantings (2,800 oil palms, 1,600 various trees) (D) Reduction of cornice forests around swamps, from modified water flow and increased agricultural use (I) Disappearance of reproduction and food zones for species of fish, aquatic and migratory birds a) Reduction of mangrove plant population (habitat for fauna, purifying microfauna, firewood) (D) Erosion of the coastline (1) Increase in farming activity, reduction of fallow times, impoverishment of the soils (I) Fauna Reduction in mangrove fauna (crabs, shrimps, egrets, herons, kingfishers, spoonbills, ibises, temns, and other species) (I) Increase in poaching during the works period, and subsequent hunting and fishing (I) Increase in tourism (Tristao Island, the center for many migratory birds) (I) People Loss of farms and homes (1,300 square meters) (D) Reduction in agricultural production per surface unit (over-exploitation, impregnation of soils with tannin) (I) Increase in consumption of wood, particularly from the mangrove swamps: erosion (I) Reduction in fishing potential (I) Increase in land tenure conflicts, and conflicts between farmers and nomad cattle breeders (I) Increase in speed of propagation of endemic disease (I) Positive Impacts Providing all weather road link for coastal population with major urban markets, institutions and goods Sale of dried fish products (90 percent of national production) increased through quicker transport and access More effective sale of rice from industrial growers (3,500 hectares) and small-scale growers Creation of jobs Improved access to medical help Source: SETRA 61 ROADS AND THE ENVIRONMENT: A HANDBOOK taking a holistic approach to impact assess- tacular views, and in the absence of designated ment. It is especially important that any syner- rest areas, motorists stop indiscriminately. getic relationships between impacts be closely Roadside vegetation is damaged by vehicle and examined, since indirect effects frequently lead foot traffic, and the soil is left unprotected. Sub- to synergetic impacts. sequent rainfall causes erosion and siltation of It is with indirect effects that impact link- nearby watercourses. The vegetation never has ages between the natural and social environ- enough time to recover (because of high traffic ment often take place. For example, the volume on the road), and the problem is exac- appropriation of land to build a road may dis- erbated over time. place farmers, and may interfere with their As this example illustrates, cumulative ef- cropping pattern and force them to use another fects assessment (CEA) is a complex process water supply. This change could result in a de- which requires extensive knowledge of ecologi- pletion of a groundwater aquifer, intensifica- cal principles and ecosystem response mecha- tion of new land clearing, erosion, water runoff nisms. contamination with added fertilizers and pesti- The success of a CEA relies heavily on the cides, etc. framework that is set up before the assessment Good documentation of the assumptions is undertaken. The evaluation can begin once used in the determination of impacts is critical. * temporal and spatial boundaries for the as- Margins of error and the quality of basic infor- semen patind; mation must be indicated when assessing any s measurable variables have been chosen; impacts that are difficult to quantify. and 6.1.3 Cumulative impacts * the relationships between the chosen vari- 6.1.3 Cumulative impacts ~~ables have been established. The process of cumulative environmental change can arise from any of the four following The cumulative effects of the proposed road types of events: project on the local environment can then be evaluated by i) single large events, i.e. a large project; ii) multiple interrelated events, i.e. road proj- . compiling a list of activities that are part of ects within a region; the proposed project; iii) catastrophic sudden events, i.e. a major * estimating the changes that will occur in landslide into a river system; and the measurable variables as a result of these iv) incremental, widespread, slow change, activities; and such as a poorly designed culvert or drain- * estimating the effects that the changes in age system along a long road extending each of the measurable variables will have through a watershed. within the area defined by the spatial and temporal boundaries. These can generate additive, multiplicative or synergetic effects, which can then result in CEA is an effective impact assessment tool, but damage to the function of one or several eco- it must be carried out properly in order to pro- systems (such as the impairment of the water duce reliable results.' regulation and filtering capacity of a wetland system by construction of a road across it), or 6.1.4 Ecosystem function impacts the structure of an ecosystem (such as place- Technically a subset or variant of cumulative ment of a new road through a forest, leading to impacts, ecosystem function impacts, which in-migration or land clearing which results in disable or destabilize whole ecosystems, are the severe structural loss to the forest) (see Figure most dangerous and often the least likely to 6.2). manifest themselves over a short period of A cumulative impact, in the context of road time. Many road-related examples deal with development, might be the de-vegetation and roads which need to traverse watersheds in eventual erosion of a roadside pullout. The sce- nario might unfold as follows: a road cutting 1 Those planning to undertake CEA as part of an EA are through a mountain range offers some spec- urged to read Preston and Bedford (1988) as well as Spal- ing and Snut (1994) and (1993). 62 TYPES OF ENVIRONMENTAL IMPACr FIGURE 6.2 CUMULATIVE IMPACTS: THE EXAMPLE OF A STREAM Before Elementary Straightening Se R Work actions of sram ofvgtio Direct effects * Increase in * Opening up * Risk of chronic, * High rate of water speed to light seasonal, suspended v Reduction of * Rise in accidental matter diversity temperature pollution * Risk of v Discontinuity pollution due to water works Synergy effect Significant Impairment of biological quality of the stream Each dernentary action produces a certain effect or a risk that can be limited, but the combination of such actions and therefore their consequences may be the source of significant effects. In this example, steps can be envisaged with reference to each elementary action, In order to avoid the synergy effect. which surface and subsurface water movement effect on the ecosystem was devastating and is complex. One striking example is the high- the impact on the local population which used way constructed across a mangrove forest the mangrove forest area was severe. Alnost (100 ha in size) along the Caribbean coast. It certainly, no sign of this impact appeared until was not fully understood at the planning stage two to three years after the road was built. A to what extent the fresh and sea water needed second example could develop in situations to mnix in order for the healthy forest to survive where roads bisect wildlife migration routes, on both sides of the road. As a result, most of which can inflict stress on the migratory popu- the forest has died off;2 on one side the waters lation for many generations, or even perma- were not saline enough, and on the other there nently, and cause instability, increased was not enough mixing with fresh water. The mortality, and possibly catastrophic decline. Finally, there is the linkage with the social 2 Once weakened, the mangrove trees, some over 20 m environment. Having had their traditional high, were destroyed by disease, etc. grazing areas cut off by new or re-constructed 63 ROADS AND THE ENVIRONMENT: A HANDBOOK roads with raised-horizontal alignments, cattle positive outcomes can be designed into a proj- farmers may be forced to move their herds onto ect, for example, improving water retention for forest or park lands, which results in a rapid local use, flood control, or providing better fa- depletion of the understory (grasses, etc.). This cilities for pedestrians and bicydes (see Box destroys the forest edge ecotone and the basic 6.2). In some cases, positive impacts can ap- forest ecosystem, as well as threatening the in- pear without having been initially foreseen by habitants with possible invasion from species the road agency, such as the use of borrow sites better adapted to the newly created "grazing- to water livestock in dry areas. forest" ecosystem. The invaded forest ecosys- tem is stressed further, users of the ecosystem 6.1.6 Random and predictable impacts are affected, and a chain reaction progresses In the preliminary analysis (Chapter 3) of an throughout the system, feeding back to the so- environmental impact assessment, it is useful to cial environment in the form of community distinguish between assured or highly probable disturbances and hardships. impacts, and more random or unpredictable ones which have a low probability of occurring 6.1.5 Positive and negative impacts but which nevertheless may have serious con- The emphasis of this handbook is primarily on sequences for the environment. For example, in avoiding and mitigating negative impacts, a country with a large, densely settled popula- which should be a high priority in all road tion, it is reasonable to predict that the con- projects. Environmental impacts sometimes struction of a road through unsettled areas will have both positive and negative effects; some result in population migration, whereas inci- impacts can positively affect some people and dents such as accidental pollution, fire, or spill- negatively affect others in the same environ- age of toxic products are, by nature, ment. For example, rechannelling streams as unpredictable. Well understood and predict- part of road construction might improve drain- able impacts can usually be mitigated with re- age for a roadside farmer, but wreak havoc on medial measures, and therefore call for minor the livelihood of others who depend on the EA requirements such as an IEE and environ- aquatic species disturbed by the rechannelling. mental summary report, as opposed to a full Positive outcomes that occur as a result of EA. project completion typically include improved access, reduced travel time and cost, and per- 6.1.7 Local and widespread impacts haps reductions in accidents or noise. Other Local impacts include effects in the immediate BOX 6.2 ENHANCING WATER MANAGEMENT THROUGH INNOVATIVE ROAD DESIGN In dry climates, millions of liters of rainwater are lost through conventional road drainage designs, which treat runoff as a nuisance, not as a resource to be captured. In a survey conducted by the World Bank, it was estab- lished that simple small-scale water retention structures along large and small rural roads could make a signifi- cant difference to water supplies during the dry periods. The study identified three basic types of structures along roads that, with minor modifications, could become retention areas, with water useable for agricultural purposes. These were: i) standard stormwater catchbasins-deepened and with controlled drainage added; ii) various forms of check-dams or fords, to slow drainage, creating ponding; and iii) various other damming devices, such as sluice gates, raised box culverts and dams. A study resulted in the preparation of a general design manual to assist engineers in planning for the inclusion of such structural modifications during the design of the roadway. An important cautionary note: such retention structures should be avoided in high use corridors, since the runoff water may be contaminated with heavy metals and oil. Such waters are not potable by people or animals, can contaminate leafy vegetables, and, if stored in deep basins, can contaminate groundwater aquifers. Source: Lantran, 1995. 64 TYPES OF ENVIRONMENTAL IMPACT vicinity of a road, such as destruction of a after a few weeks, to the point where no change building, or restricted access to a farm. Wide- from the original state is observable. Permanent spread impacts can occur many kilometers impacts are those which are irreversible - the from the project. These impacts are often linked affected system wiU not return to its previous to indirect effects that arise over the medium- state on a human timescale. It is important to or long-term existence of the project and in- note that "permanent" from the viewpoint of clude the influx of settlers, deforestation, and EA, is defined as "within one's lifetime". There- the development of new industries. While the fore the destruction of a mangrove forest would focus of most road EAs has been on relatively be permanent. narrow corridors measuring 100-500m in width, impacts can extend much further, par- 6.1.9 Short- and long-term impacts ticularly in new road projects which traverse Short-term impacts are those which appear isolated areas. Major habitat conversion can during or shortly after construction; long-term take place up to 10 km on either side of the impacts may arise during construction, but cleared ROW. Road planners and EA practitio- many of their consequences appear during the ners should be aware of this possibility and ad- operational phase, and may last for decades. dress it explicitly in the project scoping activity (see Section 3.2 and Chapter 10). 6.2 IMPACT SEVERITY To qualify environmental impacts by the type 6.1.8 Temporary and permanent impacts of effect they have on the environment is not Temporary impacts are those whose occurrence sufficient. Impacts must also be categorized ac- is not lasting, and which will eventually reverse cording to their seriousness. The most damag- themselves, the affected system having re- ing and longest lasting impacts will obviously turned to its previous state. An example of this be the first to be avoided or mitigated (see Sec- type of impact might be the trampling of road- tion 4.3.2 for further details). side vegetation during resurfacing; it recovers 6.3 REFERENCES AND BIBLIOGRAPHY Gilpin, A. 1986. Environmental Planning: A Condensed Encyclopedia. Park Ridge, NJ: Noyes Publications. Lane, P.A., R.R. Wallace, R.J. Johnson and D. Bernard. 1988. A Reference Guide to Cumulative Effects Assessment in Canada, Volume 1. Hull, Canada: Canadian Environmental Assessment Research Council. Lantran, Jean Marie. 1995. Water Management and Road Design in the Sahel Region. World Bank Transportation, Water and Urban Development Department; Infrastructure Note RD-20. Washington, DC: World Bank. Preston, E.M. and B.L. Bedford. 1988. "Evaluating Cumulative Effects on Wetland Functions: A Conceptual Overview and Generic Framework". Environmental Management. 12:5:565-583. Spaling, H. and B. Smit. 1994. "Classification and Evaluation of Methods for Cumulative Effects Assessment. Paper presented at the Conference on Cumulative Effects in Canada: From Concept to Practice. April 13-14, Calgary, Canada: Canadian Societies of Professional Biologists. Spaling, H. and B. Smit. 1993. "Cumulative Environmental Change: Conceptual Frameworks, Evaluation Ap- proaches, and Institutional Perspectives." Environmental Managemenf, 17:5:587-600. World Bank. 1991. EA Sourcebook, Volume 11. "Rural Roads" (pg. 113), and "Roads and Highways" (pg. 168). Washington, DC: World Bank, Environment Department. 65 ( Part 11 Environmental Impacts, Their Mitigation and Their Economic Valuation I 7. Impacts on soils HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping p Concept Consultation Key regulatory agency Pre-feasibility Determining baseline conditions Other government agencies Feasibilitv Selection of preferred solution NGOs Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan Public/community organizations Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: flWhat is the relationship between the characteristics of a drainage ba- sin and the potential for erosion at a road site? f How is climate linked to soil erosion problems arising from road development? | To what spatial extent should soil impacts be considered? * How are impacts on soil related to other road-related impacts? ROADS AND THE ENVIRONMENT: A HANDBOOK 7.1 IMPACTS AND SETTING sult in cumulative impacts far beyond the road Soil is an important component of the natural itself, affecting slopes, streams, rivers, and environment, and is a primary medium for dams at some distance from the initial impact. many biological and human activities, includ- ing agriculture. Its protection in relation to road Destabilization of slopes development deserves considerable attention. Slope stability can be upset by the creation of In the road itself, in borrow pits, or around road cuts or embankments. Excessive steepness rivers and streams, there are many places of cut slopes, deficiency of drainage, modifica- where damage might occur. Losses can be con- tion of water flows, and excessive slope loading siderable for the road agency and others. This can result in landslides (see Box 7.1 and Fig- includes farmers losing crops and land, fishers ure 7.1). Some sensitive soils, such as shale and losing income because of sedimentation in riv- "quick clays," are known for being difficult to ers and lakes, and road users being delayed drain and particularly unstable. when road embankments or structures col- lapse. The costs of correcting these problems FIGURE 7.1 are often many times greater than the costs of DESTABILIZATION OF SLOPES simple preventive measures. Soil-related impacts of road development are also discussed in the chapters on water (Chapter 8), flora and fauna (Chapter 10), and construction, rehabilitation, and maintenance (Chapter 18). Excessively steep cut slope 7.1.1 Loss of productive soil The most immediate and obvious effect of road Es/ development on soil is the elimination of the productive capacity of the soil covered by roads. Unfortunately, the best sites for road de- velopment (flat and stable) also tend to be ideal Slope loading with for agriculture. The narrow, linear character of spoil naterial roads makes the impact of lost land seem /lope minimal, but when the width of the right-of- way is multiplied by its length, the total area of ia Eon caused by land removed from production becomes much por slope drainage more significant. The removal of productive soil from the local economy can have socioeco- nomic implications (Chapters 11 and 19), as Side-tipping of spoil materials well as habitat implications for flora and fauna Spoil material from road cuttings can kill (Chapter 10). vegetation and add to erosion and slope stabil- Soil productivity can also be reduced sig- ity problems (as in Figure 7.1). Large amounts nificantly as a result of compaction with heavy of spoil can be generated during construction in machinery during construction. mountainous terrain. Sometimes it is difficult to design for balances between cut and fill vol- 7.1.2 Erosion umes of earth at each location, and haulage to When natural conditions are modified by the disposal sites may be expensive. This creates a construction of a road, it marks the start of a need for environmental management of tipped race between the appearance of erosion and the material. growth of vegetation. Disturbance during con- struction can upset the often delicate balance Waterflow diversions between stabilizing factors, such as vegetation, Diversion of natural surface water flows is of- and others which seek to destabilize, such as ten inevitable in road projects. Diversion results running water. In some cases erosion might re- m water flowing where it normally would 70 BOX 7.1 ROADS AND MASS MOVEMENTS Mass movements present serious challenges for road development in hilly areas. If not foreseen, mass move- ments such as flows, slides and falls can lead to frequent need for road reconstruction, and can pose a consider- able safety risk for road users. In many cases, road development in hilly areas is directly or indirectly responsible for the occurrence of mass movements. Road cuts excavated from the base of slopes can lead to collapse, with ramifications for not only the road, but far upslope as well. Building of roadways and spoil tipping at the tops of slopes can result in excessive slope loading, causing failure downslope of the road. Finally, alteration of the drainage regime of slopes, brought about by road building, can induce instability through erosion or increased pore pressure. Initial reconnaissance surveys of the proposed alignment should identify areas prone to mass movements that should be avoided where possible. When roads are built, care should be taken not to undercut or overload steep slopes, and particular attention should be paid to implementation of adequate drainage measures. Often roads are not responsible for mass movements, but because of shortsighted or unfortunate alignment choice, may fall prey to them. Alignment choice should reflect caution about possible mass movements. SOME TYPES OF MASS MOVEMENTS Movement Materials Moisture Nature Rate type in motion content of movement of movement Flows Dry flow Sand or silt very low Funneled flow down steep very rapid slopes of non-cohesive sediments Earthflow Soil containing very high Rapid collapse and lateral very rapid sensitive clays spreading of soil following disturbance, often by an initial slide Debris flow Mixture of fine high Flow usually focused into very rapid and coarse debris pre-existing drainage lines Debris Rock debris, low Catastrophic low friction extremely rapid avalanche in some cases movement of up to several with ice and snow kilometers, usually precipitated by a major rock fall and capable of overriding significant topographic features Slides Rock slide Unfractured low Shallow slide approximately very slow to rock mass parallel to ground surface of extremely rapid coherent rock mass along single fracture Rock Fractured rock low Slide approximately parallel moderate block slide to ground surface of fractured rock Debris/ Rock debris low to Shallow slide of deformed very slow to rapid earth slide or soil moderate masses of soil Rock slump Rock low Rotational movement along extremely slow to concave failure plane moderate Falls Rock fall Detached rock low Fall of individual blocks extremely rapid joint blocks from vertical faces Debris/ Detached low Toppling of cohesive units of very rapid earth fall cohesive units soil from near-vertical faces (topple) of soil such as river banks or road cuts Source: Adapted from Summerfield, 1991. 71 ROADS AND THE ENVIRONMENT: A HANDBOOK not-such as over vulnerable soils-and in affected by such factors as degree of paving concentration of flows; in both cases, the po- (or any other "impermeable" development), tential for erosion increases. Erosive flows can extent of deforestation, and amount of water also arise from blocked ditches and damaged stored and used for irrigation. Attempts or inadequate water control structures. Water should be made to foresee any future devel- flow diversions are also discussed in Chapter 8. opments which may affect runoff dynamics. 7.1.3 Contamination of soil Potential erosion problems can often be Soil contamination can arise from daily traffic predicted by observing local stream water operation on very busy roads (typically over flow during and immediately after storm 20,000 vehicles per day). Metals such as chro- events. Very rapid rises in volume and tur- mium, lead, and zinc remain in the soil for bidity can suggest poor watershed conditions. hundreds of years. Pollutants settling in road- Problems are most likely to arise where side soil can impair the growth of vegetation a) water flows are more concentrated than be- and the success of soil organisms, thus in- fore the existence of the road project, b) the creasing the likelihood of erosion. These ef- road crosses watercourses, c) cut or fil slopes fects are usualy very localized, affecting only are steeper than previous natural slopes, and a narrow band on either side of the road. d) cleared areas are left unplanted. In colder climates, salting of roads can Evidence of soil problems on previous or lead to soil contamination and subsequent de- similar works is a useful indicator for antici- creases in fertility. Polution risks also arise pating the impacts of the current project. The from transportation of hazardous products type and extent of past erosion are important during road construction and subsequent traf- factors to consider in this context An aware- fic operations. These are discussed further in ness of previous land use on the road site can Chapter 18. pinpoint related problem areas, such as soil contaminated by mine tailings or heavy in- 7.1.4 Cumulative impacts dustry, which, if disturbed, could create pol- Cumulative impacts involving soil damage lution problems downstream. may affect many aspects of the environment. Consultation with the local population is For example, development of a road could en- also a vital part of assessing existing and im- courage bush fires and deforestation, which, minent erosion problems. Adapting local ero- in turn, could lead to erosion of bare slopes, sion control techniques used in agriculture can re-channeling of rivers and streams, and pos- be helpful to the road agency, as can learning sibly minor landslides. This is discussed fur- the most suitable plant varieties for controlling ther in Chapters 4, 6, and 10 (see Section erosion in the area. 10.1.2) of this handbook. Much of the information necessary for the identification of potential impacts can be ob- 7.2 DETERMINING THE NATURE AND tained from maps (geological, hydrological, SCALE OF IMPACTS pedological and topographic) as weUl as aerial Wheeare indications of potential photographs. Geographic information systems Whenever theree mdicahof of potent, can be extremely useful in bringing together, soil problems at the outset of the assessment, and considering spatially, information from a an initial reconnaissance survey of the site vreyo ra.Freape hmtcmp with road engineers and soil scientists should varlety of areas. For example, thematic maps be carried out. ~~~~~of soil type distribution, rainfall, vegetative be carred out. cover, slope aspect, and drainage basin ing soil surveiys area v betolf in assess-d boundaries could all be overlaid on a repre- ing soil erodibility, which itself is affected by sentation of the projected road alignment to soil properties such as particle size, structural highlight potential problem areas for soil ero- stability, organic matter content, clay content, sion.gt usenof ps in eonucin s is and chemical makeup.~~~~~~~ sion. The use of maps in conducting EAs is and chemical makeup. ~~~~discussed in Section 4.9. Consideration should be given to the wa- tershed as a whole. Runoff dynamics are 72 IMPACIS ON SOILS 7.3 REMEDIAL MEASURES * armor the surface against erosion and abra- sion by intercepting raindrops (leaves); 7.3.1 Prevention - support the slope by propping from the The likelihood of serious enviromnental im- base (tree and shrub boles and roots); pacts on soil as a result of road projects can be * reinforce the soil profile by increasing its reduced by shear resistance (roots); * drain the soil profile by drawing water out . minimizing the area of ground clearance; through the roots and releasing it to the air * avoiding sensitive alignments, such as those by transpiration; and which include steep hillsides; * facilitate infiltration of water through the * balancing filling and cutting requirements soil profile, thereby reducing the proportion through route choice, so as to avoid the of water flowing over the soil surface production of excess spoil material and re- (roots). duce the need for borrow pits; . avoiding previously. contaminated sites; Grassesm (herbaceos pn can ffec- * avoiding the creation of cut slopes and em- tively limit surface erosion. In order for sow- bankments which are of an angle greater ing or transplanting to be successful, it is than the natural angle of repose for the local necessary to soil type; and * Store and reuse topsoil. This requires that * replanting disturbed areas immediately af- topsoil be separated from subsoil during the ter disturbance has stopped, not after con- initial excavation. The more fertile topsoil struction has been completed. can later be deposited on the slopes to form a superficial layer conducive to seedling 7.3.2 Mitigation establishment. There is a wide range of techniques designed * Shape the slope surface for maximum seed- to reduce the risk of damaging the soil and to ling survivability (see Figure 7.3). fit the project into its environment with mini- * Choose the right varieties, according to soil mal adverse effects. Simple techniques such as type, climate, ease of maintenance, and de- replanting will be effective in many situations, sired engineering function. Whenever pos- whereas more sophisticated techniques, such sible, use local varieties. Vetiver grass as retaining walls, are used only in the most (Vetiveria zizanioides) is one particularly ef- difficult cases. fective variety for protecting against soil erosion (Box 7.2). Replanting * Choose the right time of the year (for exam- Replanting cleared areas and slopes is the ple, take advantage of the rainy season). most effective action to be taken in reducing Sowing can be performed manually or erosion and stability problems. It should be mechanically, with farm machinery, for in- undertaken as early as possible in the con- stance. Hydroseeders (which use solutions of struction process, before erosion becomes too water, fertilizer, binder, and seeds) are of in- advanced; to be most effective, it should be terest i areas where access is difficult, or as a done immediately after the disturbance takes laborsaving practice where labor costs are place. Vegetation should be selected to serve a high. Other products can also be applied to specific engineering function. In some cases, a compensate for sterile soil and to promote short-lived engineering structure, such as a seed germination. These may include mulch to woven wattle fence, is installed, along with protect the seed, covers, binders, and soil sta- vegetation that can take over the function of bilizers. the structure in time (see Figure 7.2). Eni Shrubs and trees (ligneous or woody neering functions of vegetation include its plants) control erosion on slopes that are gen- abilities to erally steeper; over 30 to 40 percent, for instance. * catch and retain material moving over the Examples are shown in Figures 7.2 and 7.4. surface (stems); 73 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 7.2 PROTECTION OF SLOPES WITH PLANTS AND PLANT MATERIALS Isolated cuttings Fascine work 4 # i ~~~~Branches and soil Plant cover 72 Hard~~ar y plants vAth deep roots Hedges Engineerng Measures BOX 7.2 In many cases, vegetation alone may VETIVER GRASS (Vetiveria zizanioides) not be enough to prevent erosive dam- Vetiver grass is receiving growing international attention age to slopes, and various engmieering for its special properties in stabilizing slopes and resisting measures may be needed to comple- soil erosion. Its roots can reach as deep as 3 meters below ment or replace it. The use of slope re- the surface, probing into rock fissures and tying soil layers tainig techniques may be necessary firmly to their base, thus resisting slope slippage. The when leaves and stems have a remarkable ability to slow water flows and trap sediment, creating a terracing effect on * slopes are unstable because they are slopes and preventing siltation of creeks and drains. too high and steep; Vetiver grass is typically planted as a hedge and, un- * climatic conditions are such that es- der most conditions, will not spread to crowd out other tablishment of vegetation is slow or plant life. It can be grown in a wide range of climates, from impossible; heavy rainfall to low-rain areas, and can survive fires and . there is a risk of internal erosion or long droughts. It is not known for its tolerance of cold ex- tremes, but it has survived considerable cold in a few cases. localized rupture because of drainage Vetiver rootstock is grown in nurseries in several difficulties; and countries. See "Other Sources of Information" at the end of * it is necessary to decrease the amount this handbook for a relevant publication. of earthwork because the road width is limited. 74 IMPACTS ON SOILS FIGURE 7.3 SIMPLE TECHNIQUES FOR IMPROVING THE SUCCESS OF SEEDING ON MODERATE SLOPES Notching Blazing Pocking FIGURE7.4 steepness of a slope. EXAMPLES OF COMBINED TECHNIQUES FOR SLOPE PROTECTION A berm (or risberm) is the level section be- Planting over riprap tween slope faces (Figure 7.4); Soil and gravel Deeprooted lants * riprap, or rock mate- rial embedded in a slope face, sometimes combined with planting (Figures 7.4 and 7.5); Rocks-0 retaining structures, such as gabions Pavrnnt (rectangular wire Pigedo savmnt pbaskets of rocks), cribs (interlocking grid of wood or con- crete beams, filled with earth or rock), or other types of wooden barricades and gridwork, usu- ally battered back work terraagainst the slope; Rod fill 7 retaining walls, more q ~~substantial engineer- ing structures able to resist bending, and with a footing de- signed to withstand pressures at the base of Well-established engineering measures for the slope; slope protection include: * reinforced earth, embankment walls built up as the earth fill is placed, with anchors * intercepting ditches at the tops and bottoms compacted into the fill material; and of slopes. Gutters and spillways are used to * shotcreting and geotextiles, generally more control the flow of water down a slope; expensive options with specific applications * terraced or stepped slopes to reduce the (Figure 7.6). 75 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 7.5 avoid excessive concentration of STANDARD DETAIL FOR ROCK FACING ON A SLOPE flow (see Figure 7.7); * concrete dissipation structures de- Roadway surface signed to slow fast-running storm water in drains, and hence reduce its downstream erosive potential; * natural materials for energy dssipa- tion m drains, mcludmg various Ground line combinations of sticks, hay bales, Double row may be rocks, and plantings. Most of these Dreqroi at bomyom require ongoing maintenance; and * settlement basins, which allow silt, pollutants and road rubbish to settle out of runoff water before it flows into downstream watercourses. Table 7.1 presents indicative comparisons These are discussed further in of some of these alternatives. Chapter 8 of this handbook. For many regions, specific measures and procedures are needed to deal with particu- 7.3.3 Compensation larly prevalent environmental concerns. Where it proves impossible to avoid negative Problems associated with drifting sand in des- impacts on the soil, compensatory measures ert and coastal areas are discussed in Box 7.3. that aim to make up for losses or damage are (Refer to Box 7.1 for a discussion of mass considered. Some examples are: movements.) - transformation of quarries into lakes for rec- Drainage improvements reation, aquaculture, or wildlife habitat, A major factor in the prevention of soil erosion * terracing of nearby marginal farmland to and siltation of watercourses is the control of make it more productive on the long term; the volume, location, and speed of water flows a conversion of borrow pits and spoil dump in the vicinity of exposed soils and slopes. sites into roadside picnic areas and scenic Some important drainage mitigative measures lookouts; include: * remediation of soils whose productive ca- pacity has been reduced during the con- e cutoff drains to catch water before it reaches struction phase; for example, using a critical areas, and diverging drains, which subsoiler to break up hardpan produced by compaction with heavy equipment; or FIGURE 7.6 SOME APPLICATIONS OF GEOTEXTILES Rectification of alignments over compressible soil Road subgrades Erosion protection Decrease in amount of Preserves the sub-base from any Acts as filter by retaining earthwok contamination (proximity of the finest partides groundwater) 76 IMPACTS ON SOILS TABLE 7.1 INDICATIVE COMPARISON OF VARIOUS EROSION MITIGATIVE MEASURES Measures Effectiveness Comparative costs Grass seeding Only surface effective, avoids start of Least expensive erosion Vetiver grass Excellent, even at depth Inexpensive Shrubs Excellent Two to three times cost of grass Stepped slopes Excellent Substantially raise the volume of earth- works -dependent on the distance from quarries Riprap Excellent for embankment protection Depends on distance from source Crib walls Good One-quarter the cost of a retaining wall Gridwork, Fairly good Five times the cost of vegetation wooden barri- cades, etc. Geotextiles Excellent; good mechanical and Ten to twenty times the cost of vegetation chemical resistance Retaining wall Good Most expensive FIGURE 7.7 CUTOFF DRAINS The receiving area should be suitable for runoff, not Receiving -::' :.,7 , erosion prone, and not a area d field where crops are being Manyc-of diches(B)prevent the accumulation of runoff in one ditch (A) and any subsequent erosion risks. * incorporating phytoremediation into road- 7.4 REDUCING IMPACTS ON SOILS: side planting strategies to control soil con- AN ACTION CHECKLIST tamination problems. Some plant species The more important steps of the EA process render common road-derived contaminants relative to the incorporation of soil considera- harmless, while other species accumulate tions into the road development and planning them in their tissues, making cutting plants process are as follows: and removing the debris for proper disposal an effective way to get rid of soil contami- nants. 77 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 7.3 CONTROL OF SAND ENCROACHMENT ON ROADS In desert regions and coastal zones, where there is little organic matter or vegetation to hold sands in place, the movement of sand can present a problem for road maintenance. An understanding of dune formation and movement is crucial to successful avoidance of sand encroachment problems (see diagram). Future position Wind dhiection Areas where dunes are likely to form or migrate to can be avoided completely through proper choice of align- ment. Where this is not possible, mitigation measures may be necessary. These might include: * encouraging dune development immediately upwind from the road, using structures designed to lower wind velocity; and * stabilizing existing dunes, with native vegetation where possible. Source: Adapted from Keller, 1985. Determine baseline conditions Prepare mitigation plans Collect relevant data to identify the sensitivity Soil-sensitive mitigation plans should include of the road and surrounding areas works to measures to maintain and repair soil- erosion, instability and contamination. Soil protective plantings, as well as drainage and type, vegetation and land use are particularly slope-retaining structures. important points to consider. Environmental specifications for contractors Examine alternative routes Contractors' responsibilities regarding con- Make informed route choices, thereby avoid- struction and maintenance activities should ing areas with a high risk of erosion or slope cover such issues as erosion control, preven- instability, or which are particularly sensitive tion of fuel spills during construction, and to contamination, where feasible. planting as well as timely watering of plant- ings. Select preferred design Choose the design which best limits potential Consider legislation for impacts and gives priority to mitigative Legislation dealing with soil conservation measures that are easy to implement and re- should be considered. This might include quire only local materials. Consider form and limits on land use along the road (for example, incline of slopes, design of the drainage net- restrictions on grazing and harvesting of work, replanting methods and schedule, as vegetation) and requirements for erosion con- well as ease of future maintenance. trol (especially in mountainous regions). 7.5 REFERENCES AND BIBLIOGRAPHY Bache, D.H. and I.A. MacAskill. 1984. Vegetation in Civil and Landscape Engineering. London: Granada Publishing. Coppin, N.J. and I.G. Richards, eds. 1990. Use of Vegetation in Civil Engineering. London: Construction Industries Research and Information Association. Enviromnental Protection Authority, Victoria. 1991. Construction Techniques ftr Sediment Pollution Control. Publication No. 275. Melboume, Australia. 78 IMPACTS ON SOILS France, Ministry of Infrastructure. 1944. "Natural Environment Valuation Techniques" (in French). Excerpts from file N 514-515. Antony, France: National Center for Farm Machinery, Rural Engineering, Water and Forests (CEMAGREF). France, Ministry of Infrastructure. 1980. "Revegetation of Slopes in the Mediterranean Zone" (in French). Road and Highway Technical Studies Department (SETRA). Paris: Mediterranean Technology Research and Development Center, SETRA. Gray, D.H. and A.T. Leiser. 1982. Biotechnical Slope Protection and Erosion Control. New York, NY: Van Nostrand Reinhold Company. Grimshaw, R.G. and L. Helfer, eds. 1995. Vetiver Grass for Soil and Water Conservation, Land Rehabilitation, and Embankment Stabilization. World Bank Technical Paper Number 273. Washington, DC: World Bank. Japan International Cooperation Agency. 1992. Feasibility Study on the Restoration of Rural Roads. Department of Public Works and Highways, Report No. 66, Republic of the Philippines, Manila. Jensen, Axel Martin, 1993. Protection of Roads in Mauritania Against Sand Encroachment. United Nations Development Programme, United Nations Sudano-Sahelian Office. Keller, Edward A. 1985. Environmental Geology, 4th edition. Columbus, OH: Charles E. Merrill Publishing Company. Lawrance, C.J., P.J. Beaven and R.J. Byard. 1993. Terrain Evaluation Manual. Transport Research Laboratory, State of the Art Review 7. London: HMSO. National Research Council. 1993. Vetiver Grass: A Thin Green Line Against Erosion. Board on Science and Technology for International Development. Washington, DC: National Academy Press. Ruza, F. et al. 1993. Tratado del medio ambiente. Madrid: Aglo Ediciones. Repuiblica de Colombia, Ministerio de Transporte. 1996. Politicas y Practicas Ambientales, Segunda edici6n. Summerfield, M.A. 1991. Global Geomorphology. New York: Longman Scientific and Technical. Switzerland, Federal Office of Water Conservation. 1982. "River Flood Protection" (in French). Bern: Directive of the Federal Department of Transportation, Communication and Energy. United Kingdom, Road Engineering Division. 1993. Design Manualfor Roads and Bridges. London. 79 8. Impacts on water resources HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping l'roponent Concept Consultation Key regulatory agency Pie-feasibility Determining baseline conditions Other government agencies Feasibility Selection of preferred solution NGOs Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan Public/community organizations Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: , How can road development affect flows of surface and groundwater and why is it important? | How does road development affect water quality? B What is the relevance of soil type and geologic structure to the prevention and control of impacts on water resources? H To what spatial extent should road-related hydrologic impacts be considered? ROADS AND THE ENVIRONMENT: A HANDBOOK 8.1 IMPACTS AND SETTING water for drinking as well as agricultural use, No matter where a proposed road may lie, it and habitat changes for fish and wildlife. must intersect a drainage basin, and where this intersection occurs, alteration of the local hy- 8.1.3 Water quality degradation drology is inevitable. Road development can (surface and groundwater) lead to three types of modification to the natu- Sedimentation, changes in biological activity in ral hydrological environment; these are dis- streams and on their banks, uncontrolled con- cussed below. struction activities, and spills of chemicals and poDlutants can all have adverse effects on road- 8.1.1 Surface water flow modification side water quality. Chronic pollution of surface Roads that intersect drainage basins generally runoff from exhaust emissions, pavement and modify the natural flow of surface water by tire wear, petroleum product drippage, and concentrating flows at certain points and, in corrosion of metals may be issues on some very many cases, increasing the speed of flow, as il- busy roads. Where oil or lignin is applied to lustrated in Figure 8.1. Depending on local gravel roads to keep dust down, the likelihood conditions, these changes can contribute to of contamination is quite high. Seasonal pollu- flooding, soil erosion, channel modification, tion issues arise during salting of roads for and siltation of streams. These effects are often winter maintenance and during periods of low felt well beyond the immediate vicinity of the stream flow. Impacts of road works and acci- road. dental spils are discussed in Chapter 18. 8.1.2 Groundwater flow modification 8.2 DETERMINING THE NATURE AND Road drainage and excavation can lower the SCALE OF IMPACTS water table in surrounding areas, while em- bankments and structures can raise the water 8.2.1 Drainage modifications table by restricting flow (Figure 8.2). The po- Significant hydraulic characteristics to be con- tential effects include deterioration of vegeta- sidered include water speed and flow, turbid- tion, increased susceptibility to erosion, loss of ity, and water level. Where required, further basic data on boundaries of floodable zones FIGURE 8.1 CONCENTRATION OF SURFACE WATER FLOW and makeup of riverbeds can be obtained from responsible government agencies and local residents. Changes in the volume and speed of flow that deviate significantly from normal conditions should be considered as far down- stream as they are observed, taking into ac- count seasonal variations. These factors are considered in drainage design of road pave- ___________________________________ M-ments but should be checked in an environ- mental assessment. nCoedi A The use of the road drainage system to re- \\erosivepotAiwalI% tain more water in dry areas (see Figure 8.3) or to take away unhealthy standing water is a potential environmental benefit of road devel- % ' opment Note: Vidth of arrows denotesm,ohoe of flow 82 IMPACTS ON WATER RESOURCES FIGURE 8.2 MODIFICATIONS IN WATER TABLE AS A RESULT OF ROAD CONSTRUCTION 1. A fill road that causes a drop in the water table downstream (in black on the drawing) Ground water e level Before After 2. A cut road that lowers the water table. Ground cover disappears in second phase. Grounddsu water level v Before ~ ^ _ ........ _ Water table Atr _ tion and extent of aquifers, local geological structure, typical groundwater flow speed, and FIGURE 8.3 variations in water levels in local wells are all RECHARGED AQUIFER, RESERVOIR SURFACE potentially useful points of reference. Geographic information systems can be es- . , . . : . - 6 pecially useful in relating the spatial extent of -.-- k'- ,{ 2 groundwater resources to land and water use. II-), Another tool used to predict impacts on groundwater flow is computer modeling. The application of modeling to water flows is dis- cussed in Box 8.1. 8.2.3 Water quality degradation In this site, there is a real opportunity to create a water reservoir: Water pollution problems arise most often on ' cut-off ditches channel runoff * a former borrow site Is put to use roads with high traffic flows, but they should * these reservoirs can be used by inhabitants to water their also be considered for projects that are livestock In both cases, a check must be made to ascertain that traffic is sufficiently K near drinking water intake points low to cause lttle or no pollution of drainage water (Figure 8.5); a bordering areas of great biological value; 8.2.2 Water table modification * near rivers with low mninimurm flows; and Changes in the water table should be consid- * crossing soils with limited filtering power- ered carefully, especially where groundwater is limestone and karstic dolomite, for example, important*for human or agricultural uses and have negligible filtering power, while sand in dry regions where groundwater is important and sandstone actively filter suspended to natural flora and fauna. Where substantial matter and clays greatly limit the rate at changes in groundwater flow are expected, the which pollutants are spread. dynamics of the hydrographic network should Parameters used to measure water quality be analyzed carefully, since they can be subject include: organoleptic conditions such as color to extensive chain reactions (Figure 8.4). Loca- and odor; physical and chemical characteristics 83 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 8.4 ILLUSTRATION OF A CHAIN REACTION Creation of a paved road 1. Regressive erosion in excavated areas 2. Undermining of highway structure foundations 3. Drop In water table dcwnstream 4. Decrease in farming areas downstream from the structure 5. Degradation of vegetation up- DAtbvo. stream due to regressive erosion 6. Increase in water turbidity 7. Deposit of sediment in calm zones 8. Modification in vegetation due to J iS J> ~~~~~~~~~~~~~a lower water table BOX 8.1 COMPUTER MODELING IN HYDROLOGY Road design usually requires an analysis of rainfall, runoff, the volume and speed of water in drains, and sometimes stream flows and flood levels. This analysis is used to minimize erosion, flooding, and down- stream flow impacts. Environmental hydrology models use similar methods, with additional attention to pol- lutant patterns. The Storm Water Management Model (SWMM)l distributed by the US Environmental Protection Agency is a typical example. This model includes three main calculation methods: a) calculation of flows based on rainfall; b) calculation of pollutants conveyed by runoff as a function of deposit time (interval between two rainfalls) and incorporating the characteristics of the catchment basin (land use and slopes); and c) analysis of the impact of buffer volumes on these pollutant flows by simulating the settling and recircula- tion of the pollutants. The main data to be entered into the model are rainfall, hydraulics (essentially slopes), and land use. The result is a simulation of flow and pollutant concentrations. The impact of these pollutants on the environment is not analyzed by the model and must subsequently be deduced on the basis of flows and pollutants. such as turbidity, conductivity, sulfate and FIGURE 8.5 aluminum content; undesirable substances GROUNDWATER CONTAMINATION FROM ROADS such as nitrates and hydrocarbons; toxic sub- stances such as chromium, lead, and pesti- DrAnage cides; and microbiological contaminants such as total coliforms and streptococci. It is cus- tomary for water quality to be classified ac- Wat cording to the least favorable parameter table measured. Polluted discharge from road sur- sprd of Pau r faces (Table 8.1) can be assessed either by heavy metal content or suspended matter, ngon whichever is the least restrictive to measure. pi Sediment problems are particularly preva- largest amount of soil is disturbed and exposed lent during the construction stage, when the to erosive forces. Particular problem areas in- clude water-crossing sites, such as bridges and 1 See "Other Sources of Information" at the end of culverts, and tunnel drilling sites. Sediment this handbook for a relevant address. 84 IMPACrS ON WATER RESOURCES loading of surface water can create problems 8.3.2 Mitigation well downstream of the original erosion source. Some common mitigative measures are dis- cussed below. 8.2.4 Sensitive habitat intrusion Sensitivity to changes in water flows may be Flow speed control Water speed reduction measures can substan- physical (effects on hydrology), biological talyrdcpoeilimcs.Emlsin (habitat of flora and fauna), and human (water tiauly reduce potenral pmpacts. Examples in- ' ~~~~~clude grasses, riprap, and other devices in water channels, as well as dispersal structures TABLE 8.1 in main drains (see Chapter 7). POLLUTANT DEPOSITS FROM ROAD TRAFFIC Settling basins 1,000 1,000 Settling basins are sometimes used to remove vehicles vehicles silt, pollutants, and debris from road runoff per day per dav water before it is discharged to adjacent Dust kg/day/km 5-10 50-100 streams or rivers. They are most appropriate Lead: gm/day/km 8-14 80-140 where the downstream environment is par- Zinc: gm/day/km 4 40 ticularly sensitive or where the levels of silt or Hydrocarbons: pollutants are particularly high (see Figure 8.6). kg/day/km 0.1-0.5 1-5 Ongoing maintenance may be required where Note: Typical quantities deposited on the pave- large amounts of silt are deposited. ment in Western European countries. Actual values vary with vehicle maintenance, road conditions, Paving and loads carried. Sections of dirt and gravel roads prone to ero- sion and likely to be a source of sediment can for recreatonal, economic, and domestc uses). be paved to reduce the amount of sediment Whrerevertpossble, senicv areasmshouldsbe produced. This is especially relevant near water VWherever possible, sensitive areas should be c avoided by the use of alternative routes, and rossmgs. where this is not feasible, priority should be given to route alternatives which interfere the Infiltration ditches least with VECs. Mitigative measures that raonditches (Figure 8.7) can be used to might be considered unfeasible under normal reduce overland flow by encouraging the circumstances ma be jutfe frueinsi movement of runoff down through the soil pro- file. The volume of flow in downstream drain- hive areas. tive areas. age structures is reduced, the flow of pollutants 8.3 REMEDIAL MEASURES is localized, and groundwater is recharged. Oxidating macrophytes (wetland treatnent fa- 8.3.1 Prevention cilities) Measures used to avoid severe impacts on local Oxidating macrophytes, such as cattails in hydrological environment may include: temperate climates, can be used to remove * avoiding alignments which are susceptible to some pollutants naturally from settling basins erosion, such as those crossing steep slopes; (see Hammer, 1988). . minimizing the number of water crossings Water collection, control, and treatment wherever possible; This is a relatively expensive option for pol- * using only "clean" fill materials around wa- luted runoff fo pp p tercourses, such as quarried rock containing may be called for in particularly sensilve areas no fine soil; and maybSelected mitifative measures are compared * leaving buffer zones of undisturbed vegeta- Table 8 2s tion (width increased in proportion to slope) i a .2. between road sites and bodies of water. 85 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 8.6 8.3.3 Compensation PROGRESSION IN RUNOFF TREATMENT Compensatory measures should be considered if they prove more cost-effective than mitigation, or if mitigation proves impossible. Examples are: * moving a bore hole away from an adversely affected site, provided the local ground wa- ter distribution permits this; Soluion : No MY mifie enonmel. Dnd* drilling wells for local residents who previ- Solu?iom 1: Nat vary sendiJvc alimD Ditct wae o evaccum ofwsta fim pavemea ously relied on surface waer for drnking; * creating a replacement habitat for wildlife; and * incorporating environmental enhancements A , ' 8 Y7 in the project (see below). 8.3.4 Enhancement Road projects often provide an opportunity to ^Sohioo2 Notwiyum~tivc ThIchezIuiedwutI- improve some aspects of the hydrological envi- ronment (Box 8.2). In very dry areas, road drainage can be de- signed to retain water in small dams or main- tain a high water table-for example, by raising ff 4.,'!'+j>X,aif tF ,2 t we,,.'............ w*the inlets to drainage culverts -which increases the availability of drinking water and the vi- ~~'%.. ~~ability of many species of flora and fauna, and recharges local aquifers (see Figures 8.3 and Sohiim~~~~~ 3 Sau M ~~~~~ 8.8). Sob .n 3: Sasive envi nMe" complete * r"uw, using In areas prone to flooding, road works can either incorporate retarding basins that reduce runoff peaks (and potentially save on drainage structures), or they can improve drainage in residential or farming areas that are excessively sensitive to flood damage. In some cases, a sec- tion of the road itself can be constructed as a dam, perhaps designed to operate as a spillway during peak floods. Solution4: His* senitireserviAdvtmstme_t 8.4 MINIMIZING IMPACTS ON WATER of moc liReqregulamat ce. RESOURCES: AN ACTION CHECKLIST FIGURE 8.7 The more important steps in the EA process EXAMPLE OF AN INFILTRATION DITCH relative to the incorporation of hydrological considerations into the road planning and de- velopment process are highlighted below. Collect relevant data Determine the sensitivity of the study zone and identify the main potential impacts, working from basic data on the drainage basin, nature and frequency of flooding, water quality, water use, fauna species and habitats. Assess likely modification of baseline conditions arising Inflftratlon ditch from te project 86 IMPACIS ON WATER RESOURCES TABLE 8.2 INDICATIVE COMPARISON OF WATER IMPACT MITIGATIVE MEASURES Measure Effectiveness Comparative costs Flow limitation Intercepting ditch Highly effective if properly Economical; cost of an earthen maintained ditch Cascade flow slowdown Good but perpetuates flow Negligible for a concreted ditch unit (dissipator) linearity Flood basin Very good if properly situated 100 times the cost of an outfall Pollution limitation Direct drainage For very limited volumes, Equivalent to cost of an earthen proportional to total discharge ditch Grass For limited volumes Equivalent to fascine work combined with grass seeding Oxidating macrophytes For long retention periods 20 times the cost of an outfall Settling basin Highly effective if maintained; 200 times the cost of an outfall requires space BOX 8.2 FIGURE 8.8 ENVIRONMENTAL ENHANCEMENTS IN ROAD REDUCED EROSION, RECHARGED AQUIFER PROJECTS IN AFRICA Sahelian Region Many small dams storing seasonal rainfall are built in the Sahel to fight drought. Additional water storage can be created through the replacement of a bridge or box culvert with a spillway or a raised structure to ac- cumulate water upstream from the road. This makes it possible to reduce construction costs for the road and, at the same time, to store water for the local popula- tion. Where standing water is unhealthy or attracts mosquitoes, water management techniques can im- prove drainage and absorption. Lantran et al (1994) The creation of cut-off ditches along contour lines recharges the aquifer in describes a number of specific design alternatives this location and eliminates ditches with excessive flow and risks of erosion (also see Box 6.2, page 64). Burkina Faso The rehabilitation of 275 km of rural road in south- Make informed alignment choices west Burkina Faso included provision of 20 percent of Miniimize water crossings and avoid sensitive the $40 million budget for construction wells to be re- areas wherever possible. tained for permanent village use, along with dam con- struction, land drainage, terracing for rice fields, and Select preferred design which limits erosion tree planting set back from the road. Water retention Take account of design changes which con- along road embankments was achieved by high centrate or speed up water flows, lower the placement of cross-culverts, and borrow pits were water table, or increase flood risks. Factors to landscaped for running-water ponds and other uses. be considered include horizontal and vertical Villagers began working on the improved roadside ab consecross section, hopes, drainalof fields and positive impacts on local agriculture were lignIent, slopes, drainage experienced even before roadwork was completed. subgrade and surrounding area, as well as restoration of natural surface and underground Source: Baillon et al., 1994. flow. 87 ROADS AND THE ENVIRONMENT: A HANDBOOK Undertake careful planning and design at Water resources mnanagement specifications in water crossings contract documents Planning and construction of water crossings Environmental specifications for contractors needs to be coordinated with local aquatic con- should cover road design, bridge and tunnel ditions such as flow regimes, fish movement, construction, drainage installation, and any and human use. Lack of planning can have se- work-site plans which may affect water flows vere long-term effects; for example, an improp- and quality. erly sized bridge culvert could cause flooding, leading, in turn, to interruption of fish migra- Invoke laws, regulations and guidelines on tion, erosion, and siltation. water quantity and quality Legislation and regulations should be consid- Water resources-sensitive mitigation plans ered as they affect drinking water intakes, irri- Mitigation plans should include proposals for gation water supply, and wildlife habitat, specific technical measures, such as planting of possibly with the definition of protection pe- cleared areas, installation of flow-speed dissi- rimeters; constructions in floodable zones; and paters in drains, and recommendations for sub- discharge capable of changing the quality of sequent maintenance. surface water or ground water. 8.5 REFERENCES AND BIBLIOGRAPHY AMV and Associates. 1979. "Guidelines for Assessing the Environmental Impact of Public Mass Transportation Projects." Washington, DC. Baillon, J., J.M. Lantran and J.M. Pages. 1994. "Road Maintenance and the Environment," in Contracting Out Road Maintenance Activities, Vol. V. Sub-Saharan Africa Transport Program, Africa Technical Department Washington, DC: World Bank. Bernard, J.M. 1987. "Roads and water pollution: Memorandum" (in French). Bagneux, France: Ministry of Infra- structure, Road and Highway Technical Studies Department (SETRA). France, Ministry of Infrastructure. 1993. "Water and Roads: Study Report" (in French). Bagneux, France: Road and Highway Technical Studies Department (SETRA). Hamilton, H.R. 1988. Identification and Ranking of Environmental Impacts Associated with the United States Interstate Highway Systems. Washington, DC: Transportation Research Board. Hammer, D.A., ed. 1988. Construction of Wetlands for Wastewater Treatment; Municipal, Industrial and Agricultural. Chelsea, MI: Lewis Publication Co. Kramme, A.D. et al. 1985. Reference Manual for Assessing Water Quality Impacts from Highway Maintenance Prac- tices. Washington, DC: US Department of Transportation, Federal Highway Administration. Lantran, J.M., J.L.Frejacques and J. Perrin. 1994. Water Management and Road Design in Sahelian Countries. Informnation note. World Bank, Africa Region, Sahel Department. Ontario, Ministry of Natural Resources. 1990. Environmental Guidelines for Access Roads and Water Crossings. To- ronto, Canada: Queens Printer. Rexnord Inc, 1985. Effects of Highway Runoffon Receiving Water Volume III. A Resource Documentfor Environmental Assessments. Washington, DC: US Department of Transportation, Federal Highway Administration. Spain, Ministry of Public Works. 1988. "Erosion" (in Spanish). Madrid: Directorate General of the Environment United Nations, Food and Agricultural Organization. Systems of Farming Which Conserve Soil and Water. 88 9. Impacts on air quality HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping 't'll.t Concept ( onII tItatit)I iey rgulaty agency Pre-tcfjsibilit% Dlctrinioinig basulin colnditlions Oter government agencies I iaIl)hilitv Sclection of preferrcrd solution NCOs Engineering design Asse,inwnt of alternatix e dhi gn/nwtlthods Research groups Construction Dercilopment of cx ironmental nianagencont p.lan Public/community organizations Operation & maintenance I ffects and comiiiplianice monitoring Advisory experts Evaluation Reporting IShaded (A) Stages targeted by this chapter, (B) focu of this chapter and (C) which users benefit the nwst from readin this chapter. KEY QUESTIONS ADDRESSED: * What are the factors influencing the propagation of airborne vehicular pollutants? H How are regional industrial pollution issues and project-level consideration of vehicle emissions linked? , To what spatial extent should vehicular air pollution impacts be con- sidered? H What is the relevance of national and regional air quality standards to project-level impact assessment? ROADS AND THE ENVIRONMENT: A HANDBOOK 9.1 IMPACTS AND SETTING The causes of pollution within the traffic The emission of pollutants by vehicles has stream should be clearly identified, since these worldwide impacts and contributes greatly to have a large effect, especially at the regional the total atmospheric pollution generated by level, on the choice of mitigation strategy. It is people. The use of passenger cars alone is re- important to determine whether pollution sponsible for 60 percent of carbon monoxide arises mainly from gasoline or diesel vehicles, emissions, 60 percent of hydrocarbon emnis- whether it can be traced largely to a specific sions, and more than one-third of the nitrogen vehicle type, and whether it is produced by all released into the atmosphere. Clearly, pollution vehicles of a given type or disproportionately by motor vehicles plays a significant role in a from a small percentage of badly maintained serious global problem. vehicles. Reduction of air pollution on a global scale requires national policy initiatives and interna- 9.1.1 Airmass Contaminants tional cooperation, subjects which are well be- The main products of the combustion of motor yond the scope of this chapter; they are fuels are carbon dioxide and water, but ineffi- addressed more appropriately in a discussion ciencies and high temperatures inherent in en- of sectoral assessments. In this chapter, atmos- gine operation encourage the production of pheric pollution produced by motor vehicles is many other pollutants of varying effect. The considered primarily on a local level and for major pollutants of significance to roadside air specific road projects. quality in vehicle emissions are discussed be- Air pollution from road traffic should be low. considered for all projects in which a new road, * Nitrogen oxides (NOx). Most of the NOx in or a change in capacity of an existing road, is etroge oxions arex) t of NO proposed. As well, construction-related ai vehicle emissions are in the form of NO polluton needs to be evaluated for every proj- (nitric oxide), which is a by-product of fuel combustion under conditions of extreme ect undertaken. The level of effort and degree heat and pressure, typical of combustion of urgency for air quality assessment should be chambers. Once released from the tailpipe, related to host-country standards' and local NO is oxidized to NO2. In conjunction with conditions. Where motor vehicles are a major 0 N play a major role in the formation source of the problem, or are lkely to be one, of acids in the atmosphere. NOx also react air qualty assessment is essentiaL with hydrocarbons in the presence of sun- Emissions stem not only from the use of light to produce photochemical smog. intemal combustion engines, but also from e Hydrocarbons (HC). These are produced by * industrial plant operation; the incomplete combustion of fuel and by * power generation; its evaporation. Their production is . heating; and strongly influenced by fuel composition. * natural events, such as volcanic eruptions. Hydrocarbons include hundreds of organic chemical substances, the most notorious of These emittors must all be accounted for in a .. . . .,. ,............which are benzene and ethylene. Hydro- road emissions assessment; the significance of rcarbon combine withyNO net prod the total pollutant load associated with road carbons combine with NOx to produce traffic cannot be determined, nor can cumula- photochemical smog. . Carbon monoxide (CO). Carbon monoxide is tive impacts be assessed, wthout full aware- one result of incomplete combustion. Diesel Project-level assessment should identify the engines produce far lower emissions of porutants of greatest concemn as weni as the lo- both CO and HC than do gasoline engines. cations where pollutants might exceed accept- . Sulfur dioxide (SO2). The emission rate of catole wherels pollutant might exceed accept-S02 is directly linked to the sulfur content of the fuel. Diesel engines produce more SO2 than do gasoline engines. In conjunc- hIn those cases where national air quality standards have tion with NOx, S02 is involved in the for- not been dceveloped, international standards, such as those developed by the World Health Organization, should be mahon of acids in the atmosphere. used. 90 IMPACIS ON AIR QUALITY * Particulates. This diverse group consists of air quality. This is especially true in the case of carbon nuclei onto which various com- unpaved roads, which make up a large pro- pounds are adsorbed. Typical particulates portion of roads in less-developed regions. include suspended airborne particles from diesel fuel combustion, materials produced 9.1.2 Movement of pollutants by tire, brake and road wear, and dust. A three-part process describes the mechanism * Lead (Pb). Added to gasoline to raise the by which the use of motor vehicles affects the octane rate and help lubricate engine com- lives of humans through the air (see Figure 9.2). ponents, lead enters the atmosphere as a The three steps in the process are a) emisson, b) fine dust which is easily dispersed and set- dispersion, and c) reception. tles on any available surface. * Aldehydes. The aldehydes, including for- Emission maldehyde, are a major pollutant group as- The volume and composition of individual ve- sociated especially with engines burning hicle emissions are determined by the following alcohol. They are also produced by diesel factors: engines and, to a lesser degree, by gasoline combustion. . Fuel composition. Sulfur content of diesel * Secondary pollutants. Many primary pollut- fuel, as well as lead content and benzene ants are transformed into secondary and levels in gasoline, has a significant influ- tertiary pollutants (Figure 9.1) through ence on the concentration of those pollut- various chemical reactions linked to mete- ants in the emissions. orological factors, air temperature, humid- * Level of engine maintenance. Poorly adjusted ity, and the topography of the site. One timing, dirty and malfunctioning fuel sys- example of this is the reaction of NOx and tems, dirty air cleaners, and tampering HC in the presence of sunlight to produce with pollution control devices are just a few ozone (03) which, although beneficial in the of the maintenance factors which can in- stratosphere, is a well-documented nui- crease emissions, primarily through in- sance at ground level. complete combustion. * Vehicle age. Emissions control technology In addition to emissions from vehicle exhaust, has improved over the years, and there is a dust can also have major impacts on roadside FIGURE 9.1 SIMPLIFIED DIAGRAM OF INTERACTIONS BETWEEN VARIOUS AIR POLLUTANTS _acid rain acid aini 91 ROADS AND THE ENVIRONMENT: A HANDBOOK close relationship be- FIGURE 9.2 tween the age of engine THE EMISSION PROPAGATION PROCESS and exhaust technology in a vehicle fleet and the total air emissions pro- _ (2 duced. Fleets with pre- dominantly older vehides _ ¶s produce much higher V _ \Lceptff levels of emissions than do newer fleets of the Mspers * same size. * Engine temperature. Cold engines run inefficiently, s and catalytic converters T on gasoline engines do f-t, not function at all until normal operating tem- peratures are attained. • Road geometry. Engines produce higher . Type of vehicle. Heavy vehicles with large emissions while decelerating, accelerating, engines emit more pollutants than do and climbing grades, so any road features lighter, less powerful ones. Diesel engines which encourage these actions also encour- produce large amounts of SOx, NOx, and age higher emissions. particulates, while gasoline engines are FIGURE 9.3 RELATIONSHIP BETWEEN VEHICLE SPEED AND EMISSIONS Data are for gasoline powered light duty engines without catalytic converters installed. Emission rate (g/km) Emission rate (glkm) 600 100 500 \Carbondioxidel 80 Carbonm 400 - 60- 300- 200 - 40 100- 20 0 01 0 20 40 60 80 100 120 0 2:0 40 60 80 100 120 Average speed (km/hr) Average speed (kn/hr) Emission rate (g/km) Emission rate (g/km) 10 12 68 \| - Hydrocarbonsj |0 8 | -Oxides of nitrogen 6 4 I4 2 2 0 0 0 20 40 60 80 100 12 0 20 40 60 80 100 120 Average speed (km/hr) Average speed (km/hr) Source: United Kingdom Highway Agency, 1993. 92 IMPACTS ON AIR QUALITY larger producers of CO and hydrocarbons. tion are difficult to quantify and, hence, diffi- Speed and congestion. The majority of vehi- cult to value in economic terms. In many cases, cles operate most efficiently at constant establishment of direct cause-and-effect link- cruising speeds of between 80 and 100 ages between localized automotive air pollu- km/hr (see Figure 9.3). tion and specific illnesses is problematic. However, evidence does strongly suggest that Dispersion exposure to several of the major emission con- Dispersion of pollutants is dictated by the fol- stituents is responsible for certain health condi- lowing factors: tions (see Table 17.1, page 167). * Prevailing wind direction. Concentration of Flora pollutants is greatest downwind of the Pla rod Polltio souce upidofara Plants, domesticated and wild alike, are af- soud . beucon sidred an asme ro fected both physically and chemically by air phoullutants fob e odrod site. anassessmenpollutants. Dust settles on leaves and can inter- pollutants for the road s pte. fere with pollination and photosynthetic func- * Weather conditions. Wind speed, rainfalL tion if the accumulation is significant. humidity and temperature al have an ef- Acidification of surface water can interfere with fect on rates of pollutant dispersion. utrient uptake by roots, thus affecting growth. * Roadside vegetation. The height and density nEtrient a hydroon, has affetimental of roadside plants determines their ability Ehln,ahdoabn a ermna to fditer pollants fothe ar , . hormonal influence on plant growth, while to fiteolutnsro heai.NO,,, SO2 and ozone can all cause localized v Topography. Roadside landforms can affect death of leaf tissue (leaf necrosis). Finally, dispersal in any number of ways, from be- dingsphysial bn arrinumberstomodifyingmbe- plants can absorb toxic pollutants such as lead ingpeeand direction, from the air, making the consumption of these speed . plants hazardous. * Distance from road. All other factors being equal, pollutant concentration decreases Fauna with increasing distance from the road. Although most of the research efforts concern- Reception ing pollutants' effects on animals have focused ceptin on human health, some faunal health problems have been connected to air pollution. As in * intercepted by buildings, monuments, and humans, the problems are mostly respiratory in cultural heritage sites, which are generally nature. Acidification of aquatic ecosystems has stained and dirtied as a result; definite implications for the health of aquatic * inhaled directly from the air; species. * ingested when humans eat food crops grown near busy roads and which have had par- Built environment ticulates settle on them; Objects in use by humans are vulnerable to air . ingested when humans touch surfaces in pollution on two fronts: staining and corrosion. their environment and then make contact Particulates are responsible for dirtying all with their mouths while eating or playing. manner of structures, including modern build- Lead commonly finds its way into children's ings, monuments, and cultural heritage sites. bodies in this way; and Acid deposition associated with NOx and SO2 * washed out of the air by falling raindrops is especially destructive of limestone, marble, and deposited as acid precipitation. or lime mortar structures. Acidity originating in vehicle emissions is also blamed for deteriora- 9.1.3 Impacts tion of paints and accelerated corrosion of metals. Human health The health impacts of motor vehicle air pollu- 93 ROADS AND THE ENVIRONMENT: A HANDBOOK 9.2 DETERMINING THE NATURE AND * CO by infrared absorption units or ecolyzers; SCALE OF IMPACTS * hydrocarbons by flame photoionization units; 9.2.1 Assessment at the project level * NOx by chemiluminescence; and Assessment of the potential air pollution im- * dust and particulate matter by beta gauge pacts of a proposed road development requires (passage through f-ray), by aspiration the determination of pollution levels: a) before (deposit on filter, weighing), and by gravity the proposed development, i.e. for the existing (deposit on lubricated panel). conditions; b) in the future, assuming the proj- ect does not go ahead; and c) in the future, as- Computer modeling of pollutants suming the project does go ahead. In all three Air pollution models can be used at several cases, the assessment relies on the following in- levels of detail. Some predict emissions based formation, current or projected: on detailed vehicle parameters and second-by- second speed data (drive cycles) which show * Traffic volume. The key factor i air emis- the frequency of acceleration, deceleration, sions is the traffic volume (measured as ye- braking, and idling. These can be used to hicle-kilometers per hour by vehicle type). evaluate changes in vehicle technology, vehicle Often an understanding of traffic peaks maintenance, traffic management, or fuel qual- and their duration will be required in order ity. Other models operate with aggregate traffic to make meaningful projections of enis- statistics and consider the dispersion of pollut- sions levels. ants. Examples of this type include Caline 4 - Traffic composition. A percentage break- and Mobile 5, available from the U.S. Environ- down of the number of vehicles by type. mental Protection Agency (EPA.). These mod- Heavy trucks and buses are distinguished els determine the air pollution produced by from light passenger vehicles, newer vehi- road projects and calculate the propagation cles from older ones, and diesel-powered (direction and speed, transport and deposit, vehicles from those that are gasoline- etc.) of atmospheric pollutants. The data to be powered. entered are traffic statistics (percentage of * Speed of traffic. Average speed of vehicles, heavy vehicles), road geometry and topogra- with some indication of the consistency of phy, general climatology, and the initial con- speed (degree of traffic congestion). centration of pollutants in the air. Mobile 5 has • Dispersion dynamics. These are described in the added advantage of being able to test air Section 9.1.1. emission mitigation strategies, such as modi- * Vehicle emission levels, by major pollutan. fying fuel mnixtures, fleet servicing, and instal- Useful indicators might be mean annual lation of certain pollution control devices. emissions; hourly concentration peaks, and daily value exceeded once a year. 9.3 REMEDIAL MEASURES * Road surface. Whether the road is paved or not makes a difference to the amount of 9.3.1 Prevention dust generated. Impacts of motor vehicle air pollution can be Once the current and projected pollution prevented by routing traffic away from popu- levels have been determined, comparisons can lated areas and reducing traffic congestion. By- be made with industrial, regional, and national pass roads can keep long-distance traffic out of standards for air quality.2 settlements, preserving the commercial and so- cial integrity of thoroughfares while still al- 9.2.2 Measurement of roadside pollutants lowing access to the highway. As a general Actual measurement of current emission levels rule, avoiding densely populated sites means is accomplished at the roadside with the help of fewer potential impacts and reduced need for exhaust gas analyzers; these measure traffic management measures. 2 Air quality standards for several countries are included in Sinha et al., 1989. 94 IMPACTS ON AIR QUALITY 9.3.2 Mitigation * vehicle emissions standards as well as in- Project-specific design improvements to limit spection and maintenance requirements; motor vehicle air pollution impacts include * retirement or retrofitting of high-consump- tion and high-polluting vehicles; . selecting road alignments which avoid * fuel technology and quality; passing close to housing, schools, and work- . pricing of motor vehicle purchase and use; places; . management of demand for motor vehicle * providing sufficient capacity to avoid traffic travel; congestion, even with projected increases in * management of traffic efficiency; and traffic flow. Traffic management provisions * investment in better mass transport, such as should ensure that vehicles operate at peak buses and trains. efficiency in populated areas; * avoiding placement of busy intersections, 9.3.3 Compensation and tunnel vents and openings near housing, Where impacts are inevitable, compensation schools or workplaces; measures are caled for. These might include . taking account of prevailing wind direction when siting roads and road features, includ- . provision of local access roads where access to ing refueling stations, near population centers; main arteries has been restricted for the pur- * avoiding steep grades and sharp curves pose of promoting traffic efficiency and safety; which would promote deceleration, accel- . replacement of land expropriated for bypass eration and shifting wherever possible; roads, interchanges, and route widening; . sealing high-use dirt roads, where they pass * provision of replacement market space for through populated areas, to control dust; and roadside vendors for whom access has been * planting tall, leafy, and dense vegetation restricted in order to facilitate more efficient between roads and human settlements to traffic flow; filter pollutants (Figure 9.4). . provision of farmland improvements or more economic space for farmners whose crop National and regional strategic and regulatory options have been restricted, or whose soil measures related to air pollution may form part has been contmin ted, irease taic of an environmental action plan or an air qual- vlen cons emi ssins; ity strategy for a major city. They can have supply of funds to be used in additional some influence on the baseline conditions at the cle and te b uildinan project level, and so are relevant to individual monuments; or projects. Measures could include policies,mou r improvement of local health care facilhties regulations, charges, and enforcement pro- which will aid in treatment of pollution- grams covering related ailments. FIGURE 9.4 FILTERING ROLE OF VEGETATION < 10-20 m > 95 ROADS AND THE ENVIRONMENT: A HANDBOOK 9.4 MINIMIZING IMPACTS ON AIR the need for elaborate and costly mitigative and QUALITY: AN ACTION CHECKLIST compensatory measures, while still retaining a Road development has tremendous potential project that fully addresses the original need. for degrading the quality of nearby airsheds if proper planning is not implemented. The more Define mitigative measures important steps in the EA process, relative to Define air quality mitigative measures for in- considering and incorporating air quality con- clusion in the EMP (see Chapter 4) if the project cerns into road planning and development, are requires a full EA, or as part of a mitigation highlighted below. plan if the project's impacts are well under- stood and a good body of knowledge exists on Establish baseline conditions the effectiveness of standard mitigative meas- Five key steps are recommended: ures. i) define study area according to the size of Prepare environmental specifications for con- the airshed; tractors and operators ii) determine existing air quality levels; Prepare environmental specifications for con- iii) identify the contributors (and their nature) tractors and operators which incorporate the to air quality degradation; proposed mitigative measures into the project iv) identify the characteristics of the existing as distinct tasks linked to a timetable. These traffic streams; and clauses should address how environmentally v) describe the sensitive VECs and the most sensitive construction work should be under- applicable indicators of emissions impacts. taken, and which follow-up measures will be required. A similar format should be used for Predict future air quality conditions the operators or proponents, but with a focus Predict future air quality conditions for both on maintenance, enforcement, and reporting to no-project and project-completion scenarios, the regulatory agency. considering a number of alternative designs. Invoke legislation Select preferred alignment and design Invoke existing laws, regulations and guide- Select a preferred alignment and design by as- lines on vehicle emissions or propose some to sessing air emnissions for the no-project option fill identified gaps. Legislation and regulations in relation to the net emissions (i.e. emissions are an important component of an integrated with mitigative measures factored in) for each air quality strategy and should, in time, become proposed alignment and design alternative. the principal means used to control air pollu- Such a process should help to avoid serious tion. impacts to sensitive VECs and should preclude 9.5 REFERENCES AND BIBLIOGRAPHY Bellomo, S.J. and S.D. Liff. 1984. Fundamentals of Air Qualityfor Highway Planning and Project Development. Train- ing manual, US Department of Transportation. Washington, DC: Federal Highway Administration Clapham, W.B., Jr. 1981. Human Ecosystems. New York: MacMillan. Committee of European Ministers of Transport (CEMT). 1990. 'Policy on Transport and the Environment' (in French). Paris: OECD. Economopolous, A.P. 1993. Assessment of Sources of Air, Water and Land Pollution: A guide to rapid source inventory techniques and their use in formulating environmental control strategies. Part 1 and 2. Geneva: World Health Or- ganization. Faiz, A. 1991. "A Look at Atmospheric Pollution Caused by Automobiles," Roads, No. 274. Paris: Permanent In- ternational Association of Road Congresses (PIARC). Faiz, A. et al. 1990. Automobile Air Pollution: Issues and Options for Developing Countries., Washington, DC: Infra- structure Department, World Bank 96 IMPACTS ON AIR QUALITY Faiz, A., C.S. Weaver and M.P. Walsh. 1996. Air Pollution from Motor Vehicles: Standards and Technologies for Con- trolling Emissions. Washington, DC: World Bank. Faiz, A. and J. Carbajo. 1991. Automotive Air Pollution -An Overview. Washington, DC: World Bank, hnfrastruc- ture Department. France, Ministry of Equipment. 1991. "Air Pollution Created by Automobile Traffic-Transportation Nuisance" (in French). Les dossiers du CETUR, No. 29. Paris: Urban Transport Study Center (CETUR), Lee, James A. 1985. The Environment, Public Health, and Human Ecology: Considerations for Economic Development. Baltimore: Johns Hopkins University Press, for The World Bank Maunell, R., P. Callen, K. Bentley, S. McPhail and T. Smith. 1993. "International Workshop on Human Health and Environmental Effects of Motor Vehicle Fuels and their Exhaust Emissions". Proceedings of a Confer- ence 1992. New York, NY: United Nations Environment Program. Sinha, K., A. Varma, J. Souba and A. Faiz. 1989. Environmental and Ecological Considerations in Land Transport: A Resource Guide. World Bank Technical Report INU 41. Washington, DC: World Bank. Sinha, K. et al. 1991. "Environmental Assessment of Land Transport Construction and Maintenance." (Draft prepared for World Bank Infrastructure and Urban Development Department). Spain, Ministry of Public Works. 1985. "Air Pollution" (in Spanish). Madrid: Directorate General of the Envi- ronment. Szwarc, A. and G.M. Branco. 1987. Automotive Emissions: The Brazilian Control Program. Brazil: CETESB, Com- panhia de Tecnologia de Saneamiento Ambiental. United Kingdom Highway Agency, Road Engineering Division. 1993. Design Manual for Roads and Bridges, Vol- ume 11: Environmental Assessment. London, England: UK Highway Agency. Watkins, L.H. 1991. Air Pollution from Road Vehicles. Transport Research Laboratory, State of the Art Review 1. London: HMSO. 97 10. Impacts on flora and fauna HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Concept Consutltation Key regulatory agency l'-e-feasibility lDetermining baseline conditions Other government agencies Feasibility Selection of preferred solution NG(s Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan Public/comnunnity organi/ations Operation & mnaintenance Effects and compliance monitoring Advisory experts kvaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: H How are road projects related to global concern for biodiversity? , What are the common ecosystem types and their sensitivity to per- turbations? | What are the common direct and indirect impacts affecting these ecosystems? * What methods can be used for ecosystem evaluation in situations where time and data are limited? , How are indicators, VECs, and rapid appraisal applied to EA? | What role can local expertise play in assessing potential impacts on flora and fauna? ROADS AND THE ENVIRONMENT: A HANDBOOK 10.1 IMPACTS AND SETTING pits, and quarries is subtracted from the total Previous chapters have examined the relation- habitat area available to flora and fauna. ship between road development and various abiotic components of the environment, such as Habitatfragmentation soil, water, and air. This chapter will look at the When a road cuts through an ecosystem, the effects on some of the biotic inhabitants of the sum of the two parts created by the cut is less physical environment, namely flora and fauna. than the value of the initial whole, even when The issue of impacts on flora and fauna is the habitat loss is ignored. Ecosystems are much broader than a concern for individual characterized by complex, interdependent re- specimens, and any useful discussion in this lations between component species and their area must be considered in the larger context of physical environment, and the integrity of the biodiversity conservation. ecosystem relies on the maintenance of those Biodiversity refers to the wealth of species interactions. By slicing through habitat, roads and ecosystems in a given area and of genetic affect an ecosystem's stability and health. information within populations. It is of great Roads tend to fragment an area into weaker importance at global and local levels. Areas of ecological sub-units, thus making the whole high biodiversity are prized as storehouses of more vulnerable to invasions and degradation. genetic material which form the basis of untold Nevertheless, roads and natural ecosystems can numbers and quantities of foods, drugs, and co-exist if the relationship is built on careful other useful products. The more species there planning.' are, the greater the resource available for ad- aptation and use by humankind. Species which Corridor restrictions are pushed to extinction are gone forever; they Most animal species tend to follow established are never again available for use. patterns in their daily and seasonal move- At the ecosystem level, biodiversity pro- ments. The areas through which they travel on vides flexibility for adaptation to changing their way to and from feeding, breeding and conditions, such as those induced by human birthing grounds, and between their seasonal activity. Diverse systems are better able to ranges, are known as corridors. When a road adapt because their high degree of species re- intersects or blocks a wildlife corridor, the re- dundancy allows for substitutions, thus facili- sult is either cessation of use of the corridor be- tating the return to a state of equilibrium. cause animals are reluctant to cross the road Populations which are genetically highly di- (see Box 10.1), an increase in mortality because verse are better able to cope with induced re- of collisions with vehicles, or a delay in migra- ductions in population size and are therefore tion which may result in the weakening or dis- not as vulnerable to extinction as are less di- appearance of an entire generation of the verse populations. population. Unfortunately, some animals are Preservation of biodiversity is of global attracted to roads for various reasons, includ- concern, but the causes of loss and their solu- ing protection from predators, good food sup- tions are very often local in scale. Road devel- plies, better travel conditions, and so forth. opment continues to be a major player in the This often leads to accidental death and overall reduction of biodiversity, and proper poaching. On busy roads, the death rate for the planning at the project level can go a long way local amphibian or other slow-moving animal in limiting the loss, while still serving the populations can be as high as one in ten. transport need. Aquatic habitat damage 10.1.1 Direct impacts Road development has perhaps its most serious effects on aquatic ecosystems. Erosion from Habitat loss poorly constructed and rehabilitated sites can The consumption of land, and the consequent lead to downstream siltation, ruining spawning loss of natural habitat, is inherent in road de- beds for fish. Constriction of flows at water velopment. Where new roads intersect habitat, the area occupied by the road itself, borrow 1 This is demonstrated in the Government of Queensland's (Australia) Manual for Planning Roads in the Wet Tropics. 100 IMPACTS ON FLORA AND FAUNA crossings can make the current too fast for it through alteration of flows of surface and some species. Alterations of flood cycles, tidal groundwater, removal of biomass, and reloca- flows, and water levels can upset trophic dy- tion of topsoil. Also, human activity can be a namics by affecting the life cycle of plankton, major source of nutrients (sewage, animal and have corresponding effects on the rest of dung, and eroded topsoil) which, provided the food chain. they are allowed to get into the surface water, Rechanneling of waterways is often un- can raise turbidity and biological oxygen de- dertaken as part of road construction to avoid mand (BOD) of the water to the point where flooding and make crossing structures simpler. certain aquatic species simply cannot survive. In the process, natural streambeds are dug up The potential impacts that alteration of the and useful obstructions, including large boul- biogeochemical cycle may have on an ecosys- ders, are removed. The same applies to shade tem can be very roughly estimated once the trees on the banks. Frequently, the result is a nature of the alteration has been established, straight, featureless channel, which may be an based on data on soil erodibility, soil fertility, efficient evacuator of water, but has little in the and anticipated human activity, among other way of the eddies, shaded areas, sheltering things. An understanding of the nutrient re- ledges, and turbulence essential to the health gime and energy flow of the affected ecosystem and existence of so many aquatic species (see is essential. Figure 10.1). Roads may serve as barriers to movement 10.1.2 Indirect impacts of some aquatic species, especially where cul- In many cases, indirect impacts are more dam- FIGURE 10.1 aging than direct ones, and EFFECTS OF STREAM RECHANNELIZATION their effects can be felt far- ther, sometimes several dozen kilometers, from the Benthos road (see also Section 6.1.2). Miom.sss: High ltw Where the road provides Density: High LoW access to areas which were 11 i111 1! Fish previously relatively un- Cover: Extensive Limited touched by human activi- u S ! > 1 s Food supply: Diverse} Reduced J1ties, the environmental assessment should take ac- count of these frequently far-reaching effects. Some vp 7indirect impacts encoun- tered commonly are: BEFORE CHANNELIZATION AFTER CHANNELIZATION Source: Simpson et al, 1982 Accessibility Roads increase contact be- tween humans and the verts are used. The issue of blockage or restatc- natural environment, which in most cases leads tion of fish migration is extremely important to ecosystem modification. Penetration of pre- and needisto be assessed for each relevant proj- viously unmodified areas makes them available ect This is critical in areas of the world where for a host of human activities of varying effect, streams are dry for part of the year, but during from recreation, forest and mineral exploitation the monsoon season are active fish spawning to colonization and urbanization. Upgrading of waters, for example the Tonle Sap Lake water- existmg roads generally facilitates an increase shed in Cambodia. in the number of people having access and is accompanied by an increase in the likelihood of Interruption of biogeocheinical cycle impacts. A classic example of the accessibility The flow of nutrients and materials is a major impact is the widespread land degradation oc- determinant in ecosystem structure and func- cumpact is the widespre Amadlan dgadaono tion, and road development can easily disrupt 101 ROADS AND THE ENVIRONMENT: A HANDBOOK induced in large part by road-building initia- BOX10.1 tives (see also Box 10.1). ACCESSIBILITY AND HABITAT FRAGMENTATION: Ecological disequilibrium A CASE STUDY The importation of new plant and animal spe- Mount Leuser National Park on Sumatra, Indonesia, cies along the right-of-way can upset the dy- has experienced serious encroachment and defores- namic balance which exists in ecosystems. tation problems as a result of improved road access. for resources The Kutacane to Blangkejeren road, which crosses Naomivew speies ace peton ethe park, underwent improvements in the late 1970s, from new arrivals, and predator-prey relation- and the greater ease of access which resulted has at- ships can be altered, often to the detriment of tracted many new settlers, especially to the areas the native species. Non-native species can gain along the northern section of the road. Subsistence a competitive advantage because of a lack of agriculture and illegal logging are producing a wid- natural controls and become dominant. The re- ening strip of deforested land along the road corri- sult is usually a simplified ecosystem which is dor. The road has become a barrier to many species more vulnerable to further impacts. of wildlife, and what was once one park is now es- In some cases, road development may ac- sentially two. tually alter the ecological equilibrium in a posi- Source: Republic of Indonesia, 1992. tive way by providing for the creation of new ecotones, which tend to be relatively biodi- contamination in Chapter 7. Contamination is- verse. This will only apply if the total area of sues associated with the operation and mainte- the existing system is relatively large compared nance of roads are dealt with in Chapter 18. to the newly created ecotone. Also, the poten- tially positive effect will often be negated by Fires the impacts discussed above. Increases in human activity are often associated with more frequent incidents of fires, which Contamination of the biota can obviously have sudden, severe, and wide- The presence of motor vehicles introduces the ranging impacts. potential for contamination of the soil, air, and water adjacent to the road (see Figure 10.2), Transmission of disease and in the case of surface water, well beyond Roads are effective vectors for the spread of the immediate surroundings. Chronic contami- diseases, which can have marked impacts on nation can become a serious problem for ani- populations of plant and animal species. Carri- mal species, especially those at the top of the ers of diseases, both floral and faunal, can gain food chain, because of bioaccumulation of pol- easy access to wilderness areas along new road lutants. corridors. Transportation of livestock and pLant Water contamination risks are discussed in products, such as firewood, animal feed, and Chapter 8, air pollution in Chapter 9, and soil fruit, may also aid in spreading disease. FIGURE 10.2 10.1.3 Ecosystem types and sensitivity RISK OF CONTAMINATION FROM ACCIDENTS The biophysical environment is made up of a I myriad of ecosystems of different types. Differ- ent ecosystem types experience impacts in dif- ferent ways and display variable levels of resilience in the face of change, depending on factors such as biodiversity, climate, soil type, the similarity of adjacent ecosystems, and size. \*! I Some of the major ecosystem types are de- - } scribed briefly below: Surface w a t e r :7 Forest ecosystems are highly variable. The S Water tab variability is determined mostly by climate \ / and altitude. Tropical rain forests, at one Risks of pollution end of the spectrum, are extremely biodi- 102 IMPACIS ON FLORA AND FAUNA verse and productive, and are character- weather conditions, tend not to be espe- ized by intense nutrient cycling. Boreal for- cially rich in species (often highly en- ests, at the other end, are subject to long demic). They are characterized by steep winters, have relatively few species, and slopes and are therefore prone to erosion are neither especially dynamic nor par- when disturbed. Alpine vegetation, in par- ticularly productive. The boreal forests ex- ticular, tends to be very fragile, and recov- hibit slow nutrient cycling and represent ery of damaged areas can take decades. massive stores of carbon. Deforestation is a Desert ecosystems are characterized by ex- frequent consequence of road develop- treme temperature fluctuations, low annual ment, and poses a threat to forest ecosys- rainfall, and high evaporation. As a result, tems worldwide, their species diversity tends to be low (also Aquatic ecosystems, such as swamps, ponds, endemic) and vegetation is usually sparse. marshes, lakes, rivers, and streams, are What rainfall they do receive often comes habitats for important food sources and are in brief but very intense episodes; these characterized by a great wealth of flora and have tremendous erosive potential, given fauna, and high productivity. In general, that the soils are generally sparsely covered these ecosystems are important because of and low in organic matter. For climatic rea- their role in regulating the flow in water- sons, recovery or recolonization of dam- ways, in filtering water, and in serving as aged areas tend to be slow. habitats for migratory birds and fish. These Coastal and riparian ecosystems are found at environments have regressed sharply over the boundaries between aquatic and ter- the last few decades and now merit signffi- restrial ecosystems. They tend to be dy- cant protective measures. namic, diverse, and productive. This Island ecosystems, depending on their size and applies more to wet climates than it does to distance from the mainland, tend not to be dry ones. These systems usually exhibit a especially biodiverse,2 and generally have a large number of species because they con- high incidence of endemic species. Interac- tain species from both bordering systems. tion between island ecosystems and other Many species which inhabit these systems terrestrial systems is very limited, or even are living at the extremes of their ranges non-existent, because of the expanse of and are therefore especially vulnerable to open water between them. Forces tending changes in environmental conditions. to encourage species extinction have Coastal ecosystems include mangrove greater influence than do those encourag- swamps, salt marshes, dunes, beaches, and ing colonization. The result is that the nearshore islands, while riparian zones are number of species is usually lower than it found at the intersection of terrestrial and would be for a terrestrial ecosystem of the freshwater systems such as swamps, rivers, same area on a continental landmass. Is- lakes, and estuaries. Coastal and riparian land ecosystems are particularly vulnerable ecosystems are important habitat areas for to changes that reduce habitat area and migrating waterfowl. Unfortunately, these population size, because these populations systems are also preferred human settle- * have few choices once their habitat is de- ment areas and are being lost rapidly to graded or lost, or their food sources have development become extinct. They are also vulnerable to Savannah ecosystetns occur at a variety of the introduction of non-native species, latitudes and are characterized by semi- which normally do not have any local arid climatic conditions. Their vegetation predators, and quickly get out of control. consists mainly of widely spaced drought- Mountain and alpine ecosystetns, because of resistant tree species, interspersed with their relatively high altitudes and extreme herbaceous plants. Seasonal fluctuations in rainfall are very great, and erosion of dis- 2Exceptionswould be the largerIndonesian islaturbed soil can be a serious threat during 2Exceptions wol etelarger Idnsailns,Sithe wet season. Lanka, Madagascar, and New Zealand. 103 ROADS AND THE ENVIRONMENT: A HANDBOOK Grassland ecosystems are dominated by herba- sert ecosystems, climatic extremes make re- ceous species and generally occur in areas covery from disturbances very slow. experiencing relatively low rainfall, large amounts of sunshine, and plentiful winds. 10.2 DETERMINING THE NATURE AND Grasslands are major carbon dioxide proc- SCALE OF IMPACTS essors, and are thus important to global Assessment of potential environmental impacts climate regulation. The sod layer operates should take into account a) the extent of the as a highly effective protector of the soil proposed road development, b) the duration of against the elements, and its removal dur- the construction period, and c) the characteris- ing road construction introduces an erosion tics of the local natural environment through risk. which the road will pass. The use of VECs as a Cave, limestone, and karst ecosystems often starting point can be very useful in focusing harbor rare species and display a high de- this activity (see Section 3.2.3). gree of endemism. Because of their relative inaccessibility, cave ecosystems have not 10.2.1 Extent of the project been explored very extensively, and it is The design specifications for the proposed road thought that they may contain many un- project can furnish details as to the width of the known species; this is especially true of road and right-of-way, amount of cutting and water-filled cave systems. The systems filling, number and location of water crossings, provide habitat for highly specialized spe- type of water crossing structures, and degree of cies which often have very limited distri- expected groundwater flow disturbance, as butions (some species have population well as any expected raising or lowering of sur- sizes of less than one-hundred individuals, face water levels. Generally, the larger the area and are confined to single caves).3 In some affected, the more significant the impact areas, cave bats are essential pollinators of economically important tree crops, while 10.2.2 Duration of the construction period other species consume enormous quantities Intense, focused construction activities lasting of pest insects. Cave ecosystems are par- for a short period of time generally have far ticularly vulnerable to interruptions in less effect than those which may be less intense groundwater flow, which can result from but are spread over long periods. As a general deep road cuts. Karst features are often the rule, construction periods which do not exceed sources of limestone for cement production the annual reproduction cycle of key organisms and are therefore constantly being de- (a fish species, for example) usually have less pleted. Each time a karst formation or cave impact than projects which stretch over gen- is mined or otherwise disturbed, biodiver- erations. sity may be permanently reduced. Tundra ecosystems occur at high latitudes and 10.2.3 Evaluation of the affected systems are characterized by permafrost (perma- An evaluation of the ecosystem or ecosystems nently frozen ground) and highly adapted, to be intersected by a road should have two very fragile plant species. Although annual objectives: a) to take stock of the existing or- precipitation is low, the frozen subsurface ganisms in relation to how their function might means that surface water tends to accu- be changed by a road, and b) to determine the mulate. Road building in tundra areas in- area's sensitivity to the magnitude and types of vites a host of problems related to the change that are expected. Whenever possible, melting of the permafrost and sinking of these evaluations should be completed in the the roadbed. Most roads are only negotia- context of the local watershed or drainage basin ble during the lengthy winters. As with de- in which the project is to be located. 3 See Culver, 1986. 104 IMPACTS ON FLORA AND FAUNA Characterization * likely effects on species which are instru- The descriptive component of the evaluation mental in the formation and maintenance of should comprise4 habitat, offer crucial links in the food chain, .. .. ~~~~~~are particularly vulnerable (i.e. rare, or de- * an inventory of biotic and abiotic resources, as well as their geographic distribution. his pendent on a single resource), whose corri- can be aided by working with local natural dors are intersected by the proposed road, scientists and scientific institutions,5 and by and whose resource use wdll be affected by making use of computer databases and bio- the development. logical inventories that may be available 10.2.4 Use of indicator species or groups from national and international agencies; Given the of plata n species * an estimation of productivity (soil fertility Given the variety of plant and animal species for terrestrial ecosystems, density for aquatic present in most ecosystems, as well as the com- ones); plexity of their relationships, it is almost im- . a description of species associations, rela- possible to evaluate susceptibility to damage tionships, keystone species, biodiversity, and from a road development without extensive the food chain; data gathering. The small species are particu- * a listing of rare or vulnerable species; larly difficult to itemize. A practical solution is * an estimation of ecological significance, to use indicators.7 Indicators are physical, which implies importance in the workings of chemical, or biological attributes which provide nature on a grander scale - an ecologically some indication of the health of an ecological significant species, population, or ecosystem system (see Appendix 3). Rather than identify may not in itself be rare or extremely sensi- and study every component of an ecosystem or tive, but its impairment or removal could VEC to determine ecosystem function and have effects on other species, populations, or health quantitatively, the presence, absence, or ecosystems; and state of chosen indicators is used to extrapolate . a description of the resource needs of spe- a qualitative impression. Indicators fall into cies-biogeochemical cycling and the food four groups: chain should be considered. i) response indicators, which provide evidence of the biological condition at the organism, SeOnsthvtty population, community, ecosystem, or Once the extent of the project is known, and the landscape level, e.g. biodiversity; characterization of the affected area's VECS6 is ii) exposure indicators, which indicate the pres- complete, the sensitivity of the ecosystem to the ence of a stressor, e.g. algal blooms; proposed changes (or, conversely, its resilience) iii) habitat indicators, which are used to char- can be evaluated by considering acterize conditions necessary to support an . environmental variables which are likely to organism, population, community, or eco- experience changes of a magnitude greater system; and than that of natural variations; iv) stressor indicators, which are natural proc- * previous experience with change (evidence esses, environmental hazards, or manage- of soil erosion, invasion by non-native spe- ment actions that produce changes in cies, ecosystem simplification); and exposure and habitat, e.g. water quality. Proper evaluation of the state of an entire eco- system relies on the monitoring of indicators 4 Such detaied information is required only for full EAs from each group. Indicators should also be se- For IEEs, secondary data would be the primary source. Iected to represent several levels of organiza- 5 Most freqently this is not the case, and outside technical tion within an ecosystem. expertise is needed. In these situations, the work should Indicators are of limited use in predicting be turned into a capacity-building activity, with local ex- impacts directly, but can be used to describe perts working side-by-side with outside specialists, under- taking studies, preparing field guides, etc. 6 The VEC concept is effective in focussing the study area 7 This is a complex topic and users are urged to read other more efficiently; the concept is described in Chapters 3 and sources such as Knapp et al. (1991), Victor, Kay and 4, and should be initiated during the EA scoping stage. Ruitenbeek (1991), and Kelly and Harwell (1990). 105 ROADS AND THE ENVIRONMENT: A HANDBOOK conditions as well as show trends and envi- Computers are often used in environmental ronmental response; they can therefore con- modeling, and the development of new com- tribute to baseline studies and monitoring. puter models is ongoing. Some computer mod- eling applications which may be relevant to the 10.2.5 Rapid appraisal assessment of ecological impacts are discussed Rapid appraisal is a useful tool for assessments in Chapter 8 (hydrological), Chapter 9 in which the complexity of the environment is (atmospheric), and Chapter 16 (noise). so great, or the time available so limited, that a full-scale study is not feasible. Rapid appraisal 10.2.7 Useful sources of information allows a great deal of varied information to be Every assessment should make use of the vari- brought together and synthesized in a ous documents available, including topo- relatively short period of time. The method graphic, pedological (soil), vegetation, and blends modem scientific with traditional climate maps; scientific and technical studies; knowledge instead of relying soley on research reports; aerial or satellite photographs quantitative research and empirical results. (Box 10.2); biological inventories and computer Beginning with baseline studies, experts in databases. This information may be available fields such as ecology, geology, and hydrology, from research centers, specialized institutions, as well as traditional users of the local natural universities, government departments, and environment, who may have extremely other project offices8. valuable first-hand information and knowledge Geographic information systems may also of their surroundings, provide input about be very useful in visualizing the spatial rela- species inventory and ecosystem structure, as tionships between ecosystems, the distributions well as their function and sensitivity. Surveys, of their component species, and a proposed interviews, and meetings of varying degrees of road alignment They may also have applica- formality are common appraisal components. tions in monitoring the effects of road devel- By using VECs, the appraisal can be even more opment (Box 10.2). focused. The wealth of information thus amassed is 10.3 REMEDIAL MEASURES considered in the context of the road design specifications and the initial impact appraisal is 10.3.1 Prevention produced. In the final stage, the appraisal is When planning new roads or changes in width made available for comment from all con- or alignment, sensitive natural environments tributors and adjusted if necessary. The result should be identified earl in the lannin roc- is a relatively quick and accurate assessment ess so that alternate routes and designs may be based on multidisciplinary consensus. considered. Wherever possible, road develop- 10.2.6 Modeling ments should be located more than one kilo- meter away from sensitive areas to avoid While ecological systems are not as well under- severe impacts on flora and fauna. Water stood as those described by the physical sci- crossings should be minimized, and buffer ences, modeling can nevertheless have zones of undisturbed vegetation should be left applications in assessment of potential impacts between roads and watercourses. Groundwater on them. Modeling of complex ecosystems may recharge areas should be avoided, and major involve combining several models from differ- roads should not be constructed through na- ent disciplines. Thus, the impact resulting from tional parks or other protected areas. Advan- the introduction of a pollutant to groundwater tage should be taken of opportunities to twin on a certain fish species might be assessed us- new road corridors with previously established ing hydrological models to simulate the deliv- transport rights-of-way, such as railway lines. ery of the pollutant to the fish, and a biological model to determine the long-term conse- quences of the resulting mortality on the fish population. 8 A few of the many basic sources are: the World Conser- vation Monitoring Center Web Site and the GEMS data- base of the World Health OrganizatiorL 106 IMPACTS ON FLORA AND FAUNA 10.3.2 Mitigation BOX 10.2 Re-engineering road cross-section designs MONITORING LONG-TERM CHANGES IN A ROAD'S Road cross-section can be modified to re- ENVIRONMENT duce the impact on the enviromnent, for example, by using narrower widths, lower In Ethiopia, aerial photographs and satellite images were vertical alignments, smaller cuts and fills, used to monitor and analyze changes in the environment of flatter side slopes, and less clearing of ex- a highway between 1980 and 1993. The road under study isting vegetation. Narrower rights-of-way crossed an area previously untouched by modem devel- and lower vertical alignment may make opment and quite isolated from the outside world. It was crossing easier for animals that find roads anticipated that population and land use changes would begin immediately after construction of the new road, while a physical or psychological barrier. Also, traffic flows would increase only gradually. providing longer sight lines for drivers can In the study period, the population of the study area reduce collisions with animals by allowing increased from 92,000 to 211,000 people, in part for reasons more reaction time. not related to the road. The number and size of smaller vil- lages increased, and major villages doubled in number. Past Planting aerial photographs and more recent Landsat and Spot data Planting in road rights-of-way and adja- were used to establish four situation maps, and the data cent areas can help to support local flora were stored in a geographic information system (GIS). and fauna. In some cases, planting may A comparison of the land use maps over this period provide additional habitats and migration shows the growth of human settlements and land under provdes additional animals, while alsoguard- moderate and intensive cultivation. A large bamboo forest routes for local animals, while also guard- has been cleared, and the remainting forest is threatened. ing against erosion. Border plant species While the area has a high potential for agricultural devel- may need to be chosen for resistance to opment, there is a need to take measures to prevent erosion, wind or fire in some areas. Planting should loss of soil fertility, and further reduction in forest areas. be done wherever possible with native species, which are likely to require little Source: Asplan Viak, 1994. maintenance and may prove beneficial in maintaining ecosystem integrity.9 In cases In forested areas, especially tropical ones, re- where non-native species are deemed essential, ducing the width of vegetation clearance in se- careful monitoring should be planned, to en- lected areas may allow trees to touch over the sure that they do not compete too successfully roadway, providing a means of crossing for with native species and spread uncontrollably. canopy dwellers. Animal crossings Fencing Animal crossings can be used to assist the mi- Fencing or plant barriers can reduce the risk of gration of animals. At important crossing collisions between animals and vehicles. In points, animal tunnels or bridges have some- some cases, semi-permeable fencing is used, times been used to reduce collision rates, espe- which excludes species that are more likely to cially for protected or endangered species. be involved in collisions while letting less Tunnels are sometimes combined with culverts problematic species through. Fences may inter- or other hydraulic structures (Figure 10.3). fere with the migratory patterns of animals, or These measures are expensive and used only at may simply shift the points where migratory a few locations where they are both justified patterns conflict with traffic patterns along the (by the importance of the animal population route. Fencing may also, in some cases, inter- and the crossing route) and affordable (relative fere in predator-prey relationships, allowing to the cost of the project and the funds avail- predators to gain significant advantage because able). prey escape routes are restricted. 9 Harper-Lore (1996) discusses successful experiences with this approach in the United States. 107 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 10.3 diversity. Careful attention WILDLIFE UNDERPASS AND HYDRAULIC STRUCTURE should be paid to erosion control techniques near watercourses (see Chapters 7 and 8). Culverted crossings should be designed with the needs of migratory aquatic species in mind. Baffles night be installed to slow the C *s U 7r t ; ~~~~~~~flow enough to allow fish and others to swim against the cur- rent, and culvert bottoms should be set below the level of the stream bed. Pre-development streambed gradients should be . . ~~maintained wherever possible. 2m - - 3m -_. Traffic control measures Reduction of the speed limit may reduce the rate of collisions be- tween vehicles and animals. Some jurisdictions Water crossings apply lower speed limits, particularly at night Aquatic ecosystems are particularly sensitive to and in areas of frequent animal crossings. Signs road development, and there are a number of warning motorists of the presence of aniimals in ways in which the impacts can be lessened. places where animal corridors cross the road Standing water can be bridged instead of filled. may also help to reduce collisions. Roadside re- Stream rechanneling should be avoided as flectors may be used to scare animals away much as possible, but where it must be done, from the roadway when vehicles approach at efforts should be made to recreate lost channel night. Some of these options are compared in Table 10.1. TABLE 10.1 INDICATIVE COMPARISON OF MITIGATIVE MEASURES FOR PROTECTING FLORA AND FAUNA Measure Effectiveness Compared costs Vegetative protection Medium protection, excellent Low cost, requires maintenance fence integration into the landscape Artificial fence Good protection of animals Comparable to vegetation fence and drivers, but can inhibit animal movements Animal overpass Very effective where Expensive; same as normal warranted overpass Animal underpass Less effective than overpasses Same as a culvert for most species, but more common for cost reasons Speed reducing devices Effective if well enforced Relatively low cost Developing of forest Complements the above devices, Low cost for relatively good borders, planting preferably using local species results 108 IMPACTS ON FLORA AND FAUNA BOX 10.3 MITIGATIVE MEASURES FOR ROADS WHICH TRAVERSE NATIONAL PARKS Most national parks are designated as such because of their ecological significance or recreational value, and are set aside for their protection and preservation. It is always preferable to avoid the construction of a road for through traffic across a national park or other protected area. In cases where major roads must cross parks and conflicts between road users and the natural environrent are anticipated, various mitigative measures which might not ordinarily be justified may be implemented. These could include * enactment and enforcement of laws prohibiting hunting, transport of hazardous substances, and removal of plant materials from the park; * inspection of the contents of vehicles entering the park, in order to discourage importation of potentially hazardous cargoes, such as livestock, when there is reason to believe that disease spread may be an issue; and inspection of vehicles leaving the park, for poached animals and plant materials; * educational measures aimed at informing the travelling public about the reasons for not feeding wildlife, removing plants, littering, etc., and to instill a general appreciation of the desirability of conservation; * application of the standard mitigative measures, as discussed in Section 10.3.2, to a greater extent or with greater frequency than in less sensitive situations; * implementation of traffic control measures such as volume restrictions, lower speed limits (especially at night), and forbidding vehicles to stop while crossing the park; * provision of rest areas with garbage cans and toilet facilities to discourage indiscriminate stopping along the roadside and littering; and * use of design features such as deep ditches, narrow shoulders, and barriers to discourage roadside stops and removal of plant materials. In sensitive areas, such as national parks, Collect relevant data additional measures may be needed (Box 10.3). Baseline data should identify areas of ecologi- cal interest within the study area. The identifi- 10.3.3 Compensation cation criteria, adapted to the scope of the One common compensatory measure is to re- investigations, will be those commonly used in place damaged or lost biotopes with others of ecology: biodiversity, rarity and vulnerability equal or similar characteristics and ecological of species, wildlife corridors, and so forth. significance. Environments damaged by a road Make informed alignment choices project can be restored, and nearby biotopes of Identify potential impacts of road development the same significance can be protected as parks propotenharry of coarativelysis or~~ rsre . Thi isol .esbewe h proposals and carry out a comparative analysis or reserves. This isoryfeasblewhentheaf- of the various route alternatives in terms of fected area is not unique, their respective consequences for the natural Environmental resource 'banking' is a term enviro.nent (for details on the analysis of al- used to describe the preservation, restoration, teratives, see Chapters 3 and 4). Choose enhancement, or even creation of valuable habitat areas to compensate for unavoidable loss of similar resources elsewhere. Reppert Select preferred design (1992) describes the application of this tech- Select the design that interferes the least with nique to wetland areas in the United States. wildlife movements and creates the least dis- turbance to nutrient cycling, especially as re- 10.4 MINIMIZING IMPACTS ON FLORA lated to water movement AND FAUNA: AN ACTION CHECKLIST Prepare mitigation plan Mitigation plans should be suited to the scope The more important steps in the EA process of the project, the extent of environmental im- relative to the incorporation of concerns about pacts, and the means available. All measures conserving biodiversity in the road develop- ment process are highlighted below. 109 ROADS AND THE ENVIRONMENT: A HANDBOOK proposed should balance cost with effective- vention of erosion and contamination during ness. construction. Environmental specifications in contract Legislation and regulations documents Laws pertaining to plant and animal species, Environmental specifications for contractors protected areas, hunting, fishing, and forestry should cover management of work forces should be used where available and developed (control of poaching and firewood collection), as a more permanent means of impact minimi- machinery (speed, noise, and traffic), and pre- zation. 10.5 REFERENCES AND BIBLIOGRAPHY American Association of State Highway and Transportation Officials. 1976. A Design Guidefor WtZdlife Protection and Conservationfor Transportation Facilities. Washington, DC. Aramburu, P Y. and R. Escribano. 1987. "Ecological Impacts: The Practice of Estimating Impact" (in Spanish). Madrid: Fondacion Conde del Valle de Salazar (ETSIM). Beanlands, G.E. and P.N. Duinker. 1983. An Ecological Frameworkfor Environmental Impact Assessment in Canada. Halifax, Canada: Institute for Resource and Environmental Studies. Cofiroute. 1990. "Living Together in Sologne." Film. Paris. Culver, David C. 1986. "Cave Faunas", in Conservation Biology: The Science of Scarcity and Diversity, Michael E. Soule, ed. Summerland, MA: Sinamer Associates, Inc. Federal Highway Administration. 1986. Highways and Wetlands: Compensating Wetland Losses. Washington, DC: US Department of Transportation. France, Ministry of Infrastructure. 1993. "Road Crossings for Wild Animals" (in French). Bagneux, France: Roads and Highways Technical Studies Department (SETRA). France, Ministry of Infrastructure. 1987. "Ecological Observations on the Lower Valley of the Doller, Listings and Perspectives" (in French). Mulhouse, France: Roads and Highways Technical Studies Department (SETRA), Eastern Technology Research & Development Center. France, Ministry of Infrastructure. 1987. "Road Management for Wildlife." Information Note (in French). Bag- neux, France: Roads and Highways Technical Studies Department (SETRA). France, Ministry of Infrastructure. 1986. "Protection of Fauna and Road Traffic" (in French). Bagneux, France: Roads and Highways Technical Studies Department (SETRA). Gonzales Bernaldez, F. 1981. "Ecology and Landscape" (in Spanish). Madrid: Blume. GHD Ltd (Guttridge, Haskins & Davey Ltd). 1997. Roads in Wet Tropics: Planning Design Constnction Maintenance and Operation: Best Practice Manual (final draft), 4870. Cairns, Queensland Australia: Department of Main Roads. Harper-Lore, B.L. 1996. "Using Native Plants as Problem-Solvers". Environmental Management. 20:6:827-830. Holdgate, Martin. 1996. "The Ecological Significance of Biodiversity". Ambio. 25:6:409-416. Kelly, John R. and M.A. Harwell. 1991. "Indicators of Ecosystem Recovery". Environmental Management. 14(5):527-545 Knapp, C.M. et al. 1991. The Indicator Development Strategyfor the Environmental Monitoring and Assessment Pro- gram. Corvallis, OR: US Environmental Protection Agency. Kottelat, M. and T. Whitten. 1996. Freshwater biodiversity in Asia. Washington, DC: The World Bank. Krawetz, Natalia. 1991. Social Impact Assessment; An Introductory Handbook. Halifax, Canada: EMDI Project Publi- cation, Dalhousie University. McNeely, J.A. et al. 1990. Conserving the World's Biological Diversity. Gland (Switzerland) and Washington, DC: World Bank, World Resources Institute, IUCN, Conservation International, and WWG. 110 IMPACTS ON FLORA AND FAUNA Mahar, D.J. 1989. Government Policies and Deforestation in Brazil's Amazon Region. Washington, DC: World Bank. Misra, P.N. and P.D. Agravals. 1982. Ecology and Roads in U.P. Hinalays Indian Highways. New Delhi, India. New England Research Inc. 1978. Highways and Ecology: Impact Assessment and Mitigation. Washington, DC: US Departmnent of Transportation, Federal Highway administration. Reppert, R. 1992. Wetlands Mitigation Banking Concepts. Institute for Water Resources, IWR Report No. 92-WMB- 1. Washington, DC: US Army Corps of Engineers. Republic of Indonesia, Ministry of State for Population and Environment. 1992. Indonesian Country Study on Bio- logical Diversity. Jakarta. Secrett, C. and V.C. Hodges. 1986. Motorway Madness: Roads and Their Impact on the Natural Environment. London: Friends of the Earth. Simnpson, et al. 1982. Manual of Stream Channelization Impacts on Fish and Wildlife. US Department of Interior. Urban Wildlife Research Center. 1982. Wildlife Considerations in Planning and Managing Highway Corridors: User's Manual. Washington, DC: US Department of Transportation, Federal Highway Administration. Victor, Peter, J.J. Kay and H.J. Ruitenbeek. 1991. Indicators of Ecological Sustainable Development. Canadian Environmental Advisory Council. Ottawa, Canada: Ministry of Supply and Services. Ward, Janet C. 1990. Environmental Indicators for State of the Environment Reporting. Canterbury, New Zealand: Center for Resource Management. World Bank. 1992. Guidelines for Monitoring and Evaluation of GEF Biodiversity Projects. Washington, DC: World Bank. 111 \ 11. Impacts on communities and their economic activity HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Proponent Consultation Key regulatory agency Determining baseline conditions Other government *quAgiz Ieasibility Selection of preferred solution NGOs Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan Public/community organizations Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: B What is it about community life that is so vulnerable to disruption by road projects? | What are some of the more common manifestations of disrupted community life that arise from poorly planned road projects, and how can they be avoided or minimized? | What are some of the key features of an approach to the planning of road projects that should ensure that community benefits will outweigh disruptions? ROADS AND THE ENVIRONMENT: A HANDBOOK 11.1 IMPACTS AND SETTING tlement, while Chapter 18 addresses impacts Communities owe much of their vitality to the associated with construction, rehabilitation, ease with which economic and social interac- and maintenance work. tions take place. Ironically, while roads are central to this continuing interaction, the intro- 11.1.1 The split community duction of a new road, or the widening of an Both new roads and significant widening can existing road, may well cause disruptions to lo- split a community. The introduction of faster cal interactions which outweigh the benefits. traffic, access controls, and median barriers With poor planning, this can be as true of the generally cuts traditional lines of travel or local road improvement as it is of the new communication (see Figure 11.1). The altema- highway. Properly planned, however, both tive routes for local movements are sometimes should bring benefits to surrounding commu- substantially longer, directly affecting busi- nities; for example through lower transport nesses, pedestrians, and users of non- costs, better access to markets, goods, jobs, or motorized transport. The burden of accommo- services such as health and education. Admit- dating the changes is generally greater for the tedly, in the case of some major highways and poor. freeways, the benefits may accrue mainly to In rural areas, the normal links between long-distance travelers and haulage companies villagers and their farmlands (i.e., their eco- and their customers, while benefits to the local nomic space) may be cut by a new road or in- community may be minimal. Proper planning creased traffic. On the scale of the individual calls for recognition that road projects can lead farm, the same phenomenon may disrupt ex- to modifications in the community environ- isting farming patterns and connections be- ment surrounding the road, influencing various tween fields (see Figure 11.2). The ensuing aspects of lifestyles, travel patterns, and social impact on economic activity could be a loss of as well as economic activities. Recognizing and agricultural productivity or increased travel planning for the management of these impacts costs. is an important aspect of the environmental as- In both urban and rural locations, every ef- sessment of roads. fort should be made to facilitate the mainte- This chapter focuses on the more signifi- nance of existing patterns of movement and the cant impacts that affect the community as an continued use of existing modes of transporta- economic and social entity. Closely related im- tion and communication. Indeed, on those pacts, which may have community-wide effects roads which are already difficult to cross, a but tend to acquire their significance from their proposed road improvement has the potential effects on individuals, are addressed elsewhere of introducing considerable improvements to in this handbook. Chapter 12 discusses the im- community interaction through such simple pacts arising from land acquisition and reset- devices as pedestrian bridges, underpasses, FIGURE 11.1 CHANGES IN COMMUNITY INTERACTIONS DUE TO WIDENING OR INCREASED USE OF MAJOR ROAD Residential zone Commercial zone Commeraal esdenia zone Relations after road project x _~~~~~~~~~~ W~~~eore road Commerdal zone prqect schools, sevices 114 IMPACTS ON COMMUNITIES AND THEIR ECONOMIC ACTIVITY FIGURE 11.2 MODIFICATIONS OF TRAVEL ROUTES DUE TO ROAD CONSTRUCTION Fields - Route betwe the various fields of a farm ,_x_______ Abandoned due to the lproject Before After . ....... and traffic signals. In urban areas, both the business and social activities are often found in built-up areas and 11.1.2 The loss of roadside commnunity near busy intersections, where traffic conges- business and social activity tion is already heaviest. As traffic flows in- Permanent occupancy of the open space of a crease, conflicts increase between these local pubhdcy owned right-of-way quite commorly activities and the efficiency and safety of traffic invites encroachment of local community ac- functions of the road. Further confficts and tivities onto the roadside, the footpaths, the bus safety concerns arise when road improvement stops, and even the road surface itself. These plans call for widening the road and reducing activities take many forms, including encroachments and accesses. Road planners • th selng o gods, hethr fom idiviual need to recognize that some of these activities *kthesksin or gooreexas,iweter markets; viua may play an important part in the social and .iosks or more *.xpansive markets; economic life of the com.runity. Economic im- *rsmair bshops;e uha ae n eil pacts could include loss of businesses and cus- •runconrole sostos; ue,txs n n tomers, induced need for capital investment, f nonrmal puIi tasport; ues ai, n n and high opportunity cost losses. Very under- formal public hransport;standably, changes which might lead to such * unregulated parking, often associated with imnpacts may be resisted. business activities; • the production of bricks on the road surface, and 11.1.3 The by-passed community * the growing of crops and the drying of farm Whileby-passroadscanovercomesomepro produc wifi-n the oad reerve.lems of conflict between road use and commu- Added to this list of activities are social activi- nity welfare, they may create other problems. ties associated with the roadside which are far On the positive side, by-pass roads reduce the from illegal. In rural areas, in particular, but immediate impacts of traffic on the community, also in urban areas and at entrances to towns and local commercial activities sometimes and villages, the roadside provides a social flourish as a result. On the negative side, com- venue. People congregate along the roads to munities may fear a loss of business talk, smoke, drink or watch the traffic go by. .. ~~~~~~~~~~~~~~~~~.~~1 ROADS AND THE ENVIRONMENT: A HANDBOOK from the diversion of traffic, and some com- 11.1.7 The gentrification effect munity activities may "migrate" to the new Gentrification is a term sometimes applied to route, potentially changing existing land use situations in which the value of land in a par- patterns and possibly undermining the objec- ticular area is increased by infra-structural im- tive of greater control of access on the new provements, leading to higher rental values, a route. Environmental assessments for by-pass turnover in occupancy, and a replacement of routes need to compare the effects of providing lower-income tenants and residents by those the new route with the effects of not providing who can afford the higher rents. This is a dis- it, (for instance, by analyzing the effects of in- tributional issue, in that, overall, development creasing traffic on existing roads through built- projects can harm some segments of the com- up areas). munity. By-passes, like other road projects, can also AU of these factors give rise to justifiable cause changes in vehicle flow on the secondary concerns on the part of local communities network, possibly creating nuisances if traffic about the effects of proposed road projects on should increase at some locations. their lifestyles and welfare. It is always prefer- able to identify and discuss these concerns at 11.1.4 The reduced convenience of an early stage in the road planning process, so traditional modes of transport that the magnitude of likely effects can be un- Traditional modes of transport may be dis- derstood more fully and designs can be modi- rupted by changes accompanying a road proj- fied accordingly. ect. Measures which impede road crossings, control bus stopping points, and restrict park- 11.2 DETERMINING THE NATURE AND ing of informal public transport vehicles near SCALE OF IMPACTS busy markets and intersections may reduce the In broad terms, the assessment of the potential attractiveness of these modes. The barrier effect impacts a road project may have on a commu- of widened or new roads can increase travel nity is a two-step process involving: time and distances for short local trips, espe- cially affecting access by foot, bicycle, and other i) a preliminary assessment; and non-motorized transport. These potential r) a complete social assessment (only if war- changes need to be assessed alongside the ranted). benefits of improved access and transport services provided by an improved road. 11.2.1 The preliminary assessment The purpose of this is to determine the need 11.1.5 The dilemma for tourism for, and the scope of, further investigations. In Tourism can be affected both positively and this sense, it is part of the scoping phase (see negatively by road improvements. For exam- Chapters 3 and 4). In essence, it is an examina- ple, while improved access may benefit the lo- tion of the project and the roadside activities. cal tourist industry in the short run, increased activity may damage tourist attractions and The initial assessment of project activities lead to a declne in tourists and revenues, if not In this assessment, key questions to be asked of managed properly. the project activities are: * Do they involve new or modified align- 11.1.6 The "culture shock" effect ments, road widening or roadside works, The "culture shock" effect can arise when substantially increased traffic flows, faster somewhat isolated communities are exposed speeds, new traffic patterns, or any other relatively rapidly to increased communication changes which could affect the surrounding with the outside world. This is especially rele- social and economic environment and the vant to indigenous peoples, as discussed in VECs? Chapter 13. 116 IMPACTS ON COMMUNITIES AND THEIR ECONOMIC ACTIVITY Urban road space often serves pedestrians and * Will they generate substantial construction roadside stalls in addition to motorized traffic traffic or temporary traffic arrangements af- fecting the interactions within nearby com- munities? The initial assessment of existing roadside activities Here, key questions to be asked of the roadside activities are * Are there significant social and economic ac- tivities within the road corridor? * What are the main local travel patterns (including walking, cycling, and informal >v public transport), which may be affected by road changes? For simple rehabilitation and maintenance projects on roads with little roadside activity, Consultation the preliminary assessment may determine that Insulation the impacts will be minimal, and no further as- In Chapter 5, methods of providing informa- sessment is required. Where there is a possibil- tion, offering consultation and inviting partici- ity of wider impacts, a complete social pahion were discussed. These included the assessment is required, as discussed below, holding of public meetings and expert semi- nars, the use of interview surveys, the organi- 11.2.2 The social assessment1 zation of neighborhood displays or discussions, on-site consultation, and rapid appraisal tech- There are three components to the assessment niques. It is often desirable to use several dif- of impacts on community life which warrant ferent con te aes to commuev cate attention here ~~~~~ferent consultafive activities to communicate attention here successfully with the full range of people who i) the identification of the stakeholders; have an interest in a project. ii) the consultation process; and Procedures for consultative meetings need iii) the social surveys. to be established through the collaborative ef- fort of both the biophysical and socioeconomic Identification of the stakeholders components of the project. The types of infor- The intent here is to identify the individuals mation that need to be solicited, and the proce- and groups who should be involved in consul- dures for making decisions, need to be tations. Typically, they include established. This information can help to focus * beneficiaries of the project; meetings on issues most relevant to the envi- • poeta osr,ie hoeaikfepr- ronmental analysis of a project (see Section 5.1). . potenial losers, i.e. those at risk of exper- Potential pitfalls of community consulta- encing disadvantages; tion should also be considered carefully. Poorly * other stakeholders or parties with an interest planned consultations can be dominated by vo- inthe project, such as governments and elec- cal or powerful minorities, they can generate toffaicatials, ept tensions within communities or between inter- Orgnztos; .an . est groups, and they may create uncertainties ideothersngwhoselocal knowl e may assesist about project objectives, scope, impacts, or op- identifying potential impacts and assessing tions. the viability of alternatives. tos The consultation process may take place on more than one occasion in the development of a project. For larger projects, it is common for initial meetings to provide and solicit informa- l While social assessment is recognized as a distinct tion, while later meetings discuss solutions and activity, it needs to be applied within EA as an integral component. 117 ROADS AND THE ENVIRONMENT: A HANDBOOK their implementation,, perhaps after more 11.3.2 Mitigation analysis and investigation. The splitting of a community can be minimized by taking account of local movements at the Social surveys road design stage and by making provision for For major projects, extensive interdisciplinary improved crossings or alternative access routes. studies may be needed in order to establish The latter can be achieved through the use of baseline data and forecast the likely effects of signals, intersections, pedestian underpasses, alternative actions. Depending on the issues overpasses, service roads, and alternate ar- identified in preliminary assessment, further rangements for local traffic circulation. As dis- study may be required of cussed in Section 11.3.3 below, the quality of . social factors; for example: customs, value different access arrangements can affect prop- systems, social classes, hierarchical relation- erty values and the amount of financial com- ships, and kinship structures; organizations, pensation that may be called for. leadership structures, and decision-making Minimizing the loss of roadside business processes; social activities and facilities, such activity is best dealt with through on-going as health, education, and sources of energy; collaboration between the road agency and * anthropological factors; for example: the vari- those local agencies responsible for the en- ous ethnic groups concemed with the project forcement of encroachment regulations. The and their living habits; populations vulner- intent should be to ensure that the interests of able to any confrontation with other cultures; both the road users and the community are * economic activities; for example: their reliance served. In this way, far less disturbance of ac- on transport; their potential for growth; and tivities on the publicly owned right-of-way * transport factors; for example: existing roads should ensue. Yet, this may require more en- and communications; travel patterns, in- forcement personnel than are available. cluding those by foot and non-motorized Where road improvements require removal transport; data on traffic and its daily or sea- of some local activities from the right-of-way, a sonal variations. common mitigative measure is to provide al- ternative space for these activities nearby. The While maps can be particularly useful for iden- covering of drains or the purchase of additional tifying key activities, vulnerable locations, and roadside land, for example, can permit contin- constraints, the linear nature of road projects ued operation of roadside stalls, customer unfortunately means that secondary sources of parking, or pick-up areas for informal public information (such as community surveys) are transport services. An example is shown in unlikely to exist. Thus, field surveys are re- Figure 11.3. quired. This issue is discussed further in The effects of bypassing local businesses Chapter 12. can sometimes be mitigated by providing Rapid appraisal techniques offer a range of service areas adjacent to the new routes and by methods for obtaining social data with limited encouraging local communities to make use of resources -and in a shorter time than is usually the new opportunities provided. However, care required for more extensive surveys. These are should be taken to discourage the migration of discussed further in Chapter 5 and in the works businesses that are not essential for the passing referenced at the end of this chapter. traveler since such movement can drain the existing roadside community of much of its vi- 11.3 REMEDIAL MEASURES tality. In other cases, roads can be designed to encourage long-distance travelers to continue 11.3.1 Prevention to use local businesses. Disruptions to social and economic interactions Residential and business areas should be that make for community vitality can be identified early in project planning and consid- avoided if a road project follows a route far ered as constraints in the choice of alternative from any human settlement or if changes made routes, the planning of temporary traffic diver- to existing roads are minimal. sions, and the location of work-site camps. 118 IMPACIS ON COMMUNITIES AND THEIR ECONOMIC ACTIVITY 11.3.3 Compensation More comprehensive compensation for loss Resettlement and compensation may need to be of community amenity can often be provided considered for those whose housing, land, through small landscaping and roadside im- welfare or livelihood is directly affected by a provement measures which take advantage of project. This is discussed further in the the changes in road layout and operation to following chapter on land acquisition and provide alternative spaces and facilities. Serv- resettlement. ice roads, roadside markets, and bus parks are Compensation may also be provided examples of facilities frequently included in through the restructuring of property layout road projects in order to provide for commer- and access arrangements disturbed by road cial or social activities that are important to construction. community life. FIGURE 11.3 CREATION OF REST AREA: IMPROVED FACILITIES FOR ROADSIDE ACTIVITIES Present: Allowing vehicle to stop on the road is Incompatible with the traffic speeds expected of the new road _,|n _ ~~~~~~~shade trees planted 4* -.s "1---2.1 ~.: '' . * ,: , * . Future: Providing roadside market area and parkinglnd wreserving the traditional "conference tree"-protects local commun hy activitres and Incomes and Improves safety 119 ROADS AND THE ENVIRONMENT: A HANDBOOK 11.4 MINIMIZING IMPACTS ON Analysis of alternatives COMMUNITIES AND THEIR Information on each alternative should include ECONOMIC ACTIVITY: AN ACTION socioeconomic as well as biophysical environ- CHECKLIST mental impacts, including possible secondary Road projects should be planned to maintain effects on lifestyles, travel patterns, and land the social and economic interactions that are use. Where community impacts are significant, vital to commuunity life. This section highlights the final choice of alternatives may depend not the more important steps in the EA process only on technical criteria, but also on the pri- relative to the incorporation of this principle orities and perceptions of those affected. Thus into the social development process. consultation is crucial. Baseline data and potential environmental Mitigation plan impacts Many options are available to mitigate the ef- Basic information on the nature of the project fects of road development on the surrounding and roadside activity will indicate whether communities (see Section 11.3). Technical, fi- potential impacts are significant (see Sec- nancial, and institutional aspects should be tion 11.2.1). Where a complete social assess- considered to ensure that chosen measures are ment is required, quantitative data may cover feasible, effective, and sustainable in the par- land use, demographics, economic activities, ticular social environment. traffic counts, and travel pattems (see Sec- tion 11.2.2). These may be supplemented with Environmental specificationsfor contractors sociological data on community cultures, or- The main requirement relevant to this section is ganization, and social activities. Many details to ensure that work camps, temporary works, of the current situation can only be obtained and the lifestyles of construction workers do through community consultation; this involves not have any negative impacts on the social surveys, questionnaires, and meetings. The im- and economic welfare of nearby communities. pact assessment may include maps of con- straints, sensitivity to changes, and forecasts of Legislation changes to baseline conditions, with and with- Legislation on property rights, expropriation out the project procedures, and compensation requirements should be considered; this should also involve public participation and include appeal proc- esses. 11.5 REFERENCES AND BIBLIOGRAPHY Burdge, R.J. and R.A. Robertson. 1990. "Social Impact Assessment and the Public Evaluation Process." Environmental Impact Assessment Review, 10. New York. Cernea, M.M. 1988. Involuntary Displacement and Resettlement of Populations by Development Projects. Washington, DC: World Bank. France, Ministry of Transport. 1982. "Agriculture in Road Projects-Technical Guidelines, Documents and Maps." (in French). Bagneux, France: Roads and Highways Technical Studies Department (SETRA). Inter-American Development Bank. 1990. Strategies and Procedures on Sociocultural Issues as Related to the Environment. Washington, DC: IADB. Kumar, K., ed. 1993. Rapid Appraisal Methods. World Bank Regional and Sectoral Studies. Washington, DC: World Bank Spain, Ministry of Public Works. 1988. "Agriculture and Environment" (in Spanish). Madrid: Directorate General of the Environment. Spain, Ministry of Public Works. 1988. Contaminacion agraria difusa. Madrid: Directorate General of the Environment. World Bank. 1991. Environmental Assessment Sourcebook. Environment Department. Washington, DC: World Bank. 120 12. Impacts arising from land acquisition and resettlement HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA acivity Involvement in addition to EA team (A) (B) (C) Screening Scoping l'oponllejit Fr (icept (Consultatioin KeNy re('glator agenc P're-feasibility Determinfing baseline con ditionis (W)hTer gol\ emr[illetit ae glicie Ieasibility 'Selection oif pireferred solitioni NG( ), ngineering design Assessimnt of alternative designs/miuthiids Research groups r (istruction - l)euelopment of Liet ironinental manarement plan 'zl-l /i-ou lou,nxrOiga I,'ItiOis 1 YTlT,,io &a mainteniance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: H What is the measure of a government's success in minrnizing ad- verse social, psychological and economic impacts arising from land acquisition and resettlement? A Who is affected by land acquisition and resettlement, and how? What are the major difficulties facing road planners in ensuring minimal disruption to the lives of persons affected by road projects, and how can they be overcome? f What is the approach to be taken to squatters occupying the gov- ermnent-owned right-of-way and privately owned lands that are to be expropriated? ROADS AND THE ENVIRONMENT: A HANDBOOK 12.1 IMPACTS AND SETTING and economic changes often find personal ex- Road development often requires the procure- pression in a variety of physical or psychologi- ment of privately owned land. This land has to cal disorders. be acquired by the government from its current The manifestation of these impacts is heav- owners. While it is sometimes possible to ne- ily influenced by the linear nature of road proj- gotiate a price for voluntary sale of a property, ects and, in the case of road upgradings, by the govermments often have to use their rights to existence of what may be a sizeable, but often compulsory acquisition (expropriation) of well-established, right-of-way. Typically, road properties for public projects. By its nature, ex- projects propriation causes economic loss, and social * cut across conununities (as opposed to af- and psychological disruption for the affected fecting the entire community equally); individuals and their families. Naturally, the * run through many governmental jurisdic- greater the number of people involved, the tions; and greater the disruption and loss. * in the case of upgrading projects, tend to A government's right to expropriate carries displace a disproportionately large number with it a responsibility to ensure that those af- of squatters who have occupied the gove- fected do not bear an unfair share of the costs ment-owned right-of-way. of a project which will bring benefits to others. In the simplest terms, this responsibility should In reality, many road projects consist of be to ensure that the standard of living of all af- some stretches of new highway along with the fected persons is restored to the level enjoyed upgrading of link roads to nearby communi- before the commencement of the road project. ties. It is important that such projects be con- To the extent that a government is successful in ceived of and planned holistically. If they are restoring those living standards for all affected, not, there is a danger that many people occu- the adverse impacts will have been minimized pying the link roads, for example, may be sub- and possibly obviated. The mitigation plan of- jected quite abruptly to a major increase in ten involves resettlement. Depending on how traffic generated by the new highway to which well the resettlement is planned, it may go a the link roads connect long way in compensating for the loss and dis- The presence of squatters on the right-of- ruption, or it may exacerbate the suffering. way poses particular challenges. There are The economic impacts of expropriation many reasons why the poor, the homeless, may include the loss of houses or businesses, or those pursuing informal economic activities, the loss of business income, either temporary or and small-scale farmers encroach upon the permanent. These can be estimated and costed. publicly owned right-of-way and, in many However, the actual valuation of these losses cases, the existing road surface. More often often proves to be a difficult and protracted than not, road projects tend to displace these process (see Chapter 19). persons whose very presence signifies their The social and psychological impacts and need for special attention. National legislation, associated costs are more complex, and they which determines the categories of land owner- are often much more devastating. Neighbor- ship, often recognizes only formal, registered hoods can be disrupted and, in the worst in- title. However, in many countries there are stances, broken up completely by large various forms of informal or unregistered title, construction projects. People who meet on a including usufruct rights (permanent or tempo- daily basis and who constantly do each other rary use), seasonal use rights, rights of access to small but important favors may be left de- commons, and others. In short, lack of legal prived when separated by physical barriers or tenure of land or assets should not be regarded long travel distances. There are also social and as a criterion for withholding financial com- psychological costs associated with disruptions pensation or assistance in relocation. However, to businesses. Business people may find their it is important to distinguish those who were established clientele cut off from their shops or living in the project area prior to project ap- experience changes in business practices they proval from those who have invaded the area neither anticipate nor like. These kinds of social simply to benefit from the relocation. 122 IMPACTS ARISING FROM LAND ACQUISITION AND RESETTLEMENT The above-mentioned scenario implies that type of impact on land (e.g., farm size reduced, the teams conducting the assessments and im- house or shop acquired, access limited); and plementing the land acquisition and resettle- the type of impact on people (e.g., reduced ment programs will have to invest considerable livelihood, lost house). Table 12.1 provides an time and effort in example of the categories of project-affected .inter-jurisdictional coordination of studies people that could be used. Modifications may and mitigation activities; be required for specific situations. .establishment and management of field sur- Assessing the scale of impacts requires veys toobanatwhchaeotaaiamore detailed analysis. For residences, impact veys to obtain data (which are not available assmn eursa netr fhue f from censuses or secondary sources) on the fected and the extent of property acquisition strips of affected lands and their all-too-often from each. It also requires a determination of unregistered occupants;tromteach.fItcalsoncyqforeeachdresidention of * prevention of invasions onto the right-of- the type of occupancy for each resident and an way; and indication of length of residence. The potential way; and l a l u for local resistance to change often increases in then"host" community. proportion to length of residence. Owners, ten- the 'host" community. ants, and squatters are distinct categories of Keeping in mind these broader considera- residents under most national laws. As ex- tions pertaining to the impacts arising from plained in Section 12.1, however, only the first land acquisition and resettlement, as well as the category - owners - are usually entitled under setting within which they are carried out, the the law to compensation for expropriated implications for determining the nature and property, even though the latter categories - scale of the potential impacts must now be ex- tenants and squatters -will also have to resettle amined. and may enjoy some rights. It is advisable to plan to compensate or assist all affected per- 12.2 DETERMINING THE NATURE AND sons. SCALE OF IMPACTS Assessment of impacts on businesses re- In the preliminary planning of a road project, quires a slightly different approach. An esti- the approximate number of properties, houses, mate of temporary financial loss and of businesses, and roadside activities likely to be temporary relocation costs, if any, will be re- affected by land acquisition should be identi- quired for businesses that will be able to relo- fied for each option under consideration. In cate within the immediate area. By contrast, for addition, it is necessary to identify the number businesses that will have to move out of the of squatters, their kiosks, and other informal area, or that will suffer a major loss of clientele, activities affected by road proposals. This pro- it will be necessary to estimate the minimal vides a first indication of the potential need to costs of relocation and re-establishment. Al- investigate land acquisition and resettlement lowance should also be made for technical and issues more closely. financial assistance to modify and adapt busi- Where no land acquisition would be re- nesses to new circumstances. For farmers, eco- quired, and where only very minor impacts are nomic losses can include the value of crops in likely to be experienced, simple measures to the ground and the loss of earnings due to un- avoid or mitigate these effects should explored. familiarity with the new land (see Chapter 19). Where land acquisition or a change of land Land acquisition and resettlement actions use is required, a table of project-affected per- also have impacts on the remaining residents sons should be developed. This table may be and businesses, who may be faced with dimin- somewhat inexact in the early stages of project ished family and community structures and planning, but the details should become precise business clientele, and reduced property val- as options are defined more clearly and as the ues. land surveys (and ultimately the final design) In addition to site inspection and land sur- are completed. At each stage, the table should veys, household and business interview sur- identify the types of people affected (e.g., as veys are often required to establish the extent owners, tenants, employees, squatters); the of impacts. Because of the lack of secondary 123 ROADS AND THE ENVIRONMENT: A HANDBOOK TABLE 12.1 EXAMPLE OF CATEGORIES OF PROJECT-AFFECTED PEOPLE AND PROPOSED ACTIONS Categoru of Person by Effect Action 1. Owner: loses house and all land Replace house and lands in new area 2. Owner: loses house and some land Replace house and all lands in new area (land left not viable) 3. Owner: loses house and some land Replace house, as proprietor wishes; either on (land left is viable) remaining land, with compensation for land lost, or on new plot 4. Owner: loses house but no land lost Replace house either on remaining land or on new plot 5. Landless owner: loses house Replace house on new plot in original or new area, as proprietor wishes 6. Tenant loses house Assist with housing in old or new area, depending upon tenant's wishes 7. Squatter: loses house Assist with housing in old or new area, depending upon squatter's wishes 8. Owner: loses all land but not house Either replace lands within a reasonable distance of house, or replace house and lands in new area, as proprietor wishes 9. Owner: loses some land (land left not As with #8 viable), but not house 10. Owner: loses some land (land left is Compensate for lost lands viable), but not house 11. Owner: loses home-based business Compensate for lost income income (temporary), but not home 12. Owner: loses home-based business Replace house in original or new area, as and home proprietor wishes, and compensate for lost income during relocation process 13. Tenant, squatter or street vendor: Provide alternative location with equal or better loses effective use of business site access, services and business potential 14. All categories: lose neither land nor No action house 15. Host community/area Strengthen resource base and social services stressed by influx of resettled people sources of data, as emphasized in Section 12.1, kiosks and small workshops, are not formally this type of individual consultation with af- organized and have few, if any, records of fected persons and communities should play an ownership, tenancy, income, or length of occu- important role in identifying potential impacts, pancy. Tax collectors or unofficial market ad- possible alternatives, and mitigative measures. ministrators may have detailed knowledge, This is discussed further in Chapters 5 and 11. which can be supplemented by other forms of In some informal sectors it is not easy to local consultation. A related problem is that the determine exactly who is affected or what the benefits of compensatory and mitigative meas- long-term impacts are likely to be. Many mar- ures may not go to those most affected and in kets and 'squatter businesses', such as roadside need, especially if alternative facilities are of a 124 IMPACTS ARISING FROM LAND ACQUISITION AND RESETTLEMENT higher quality than those lost and thus become trespassers taking up resources in short supply, attractive to other, more influential, groups in or in areas which are totally foreign to them. In the community. Similarly, the survey team the former case, the resettlement can become a should be looking for signs of recent invaders major source of tension within the community who may have moved into the area once it has and may end up being the basis for enduring become public that some assistance with im- conflict. In the latter case, people who are re- proved housing may be available. Community- settled in unfamiliar environments may have based organizations and other interested non- considerable difficulty adjusting, e.g. having to governmental agencies can frequently be en- learn new agricultural methods to apply on dif- listed to help prevent such invasions. ferent soils. Resettlement may condemn these In some cases, property ownership or de- people to lasting poverty. velopment rights are not clearly defined under the law. These should be identified as early as 12.3 REMEDIAL MEASURES possible, since they can take many years to re- solve. Examples of problematic situations in- 12.3.1 Prevention clude the possible rights of long-term squatters Impacts on roadside land users can be avoided who have established homes and rental ar- by choosing route locations away from built-up rangements as well as property development areas and by restricting the extent of road rights 'allocated' to individuals or companies works to avoid interference with existing ac- without clear legal documentation. tivities. In some cases, the adoption of a re- duced-speed design, reduced right-of-way land 12.2.1 Stresses in the "host" community requirements, or design changes (underground While most resettlement planning concentrates drainage, for instance) can avoid impacts on on those people who need to be resettled, the properties and activities. community or communities that receive and It should also be noted that the impacts as- absorb the resettlers must also be taken into sociated with not acquiring land can also be consideration. significant. Many road improvement projects, In regions where arable land is scarce, or for example, follow existing alignments and where other basic resources such as fuel wood seek to minimize the extent (and cost) of land and water are in short supply, the impacts on expropriation. This approach can result in the the host community from the influx of a new widening of roads through villages, towns, and group of "users" can be severe. major urban centers. In these locations, the ex- EA planners should always investigate the isting roads are sometimes so narrow that road host areas' ability to sustain a resettled popula- widening eliminates sidewalks and pedestrian tion without serious resource depletion. Im- access-with negative effects on the safety of portant factors to consider include pedestrians, on informal modes of transport, * availability of clean water (in all seasons); and on the quality of community life as a whole * amount and productivity of agricultural (see Chapters 11 and 17). As a second example, land; adoption of a narrow road reserve can sub- * health services; stantially limit options for controlling water * school system; flows and soil erosion-with potentially nega- • sewage disposal and water delvery systems; tive effects on the environment. In short, seri- * road network; and ous consideration should also be given to the * utilities, social and environmental costs of non- displacement of people and business activities. Planners should determine which resources will not be able to support the influx of dis- 12.3.2 Mitigation placed people in a sustainable way. Mitigative As with prevention, mitigation of land acquisi- measures should then be planned to fill any tion impacts is achieved primarily by modify- gaps. ing the route or design of a road to minimize its Great care must be taken to avoid resettling effects on nearby properties and land uses. The people in areas where they will be viewed as design of altemative access to affected proper- 125 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 12.1 Rehabilitation is a term often used CONSULTATION AND PARTICIPATION IN RESETTLEMENT by environmental specialists to describe PLANNING AND IMPLEMENTATION the process of reestablishing lifestyles and livelihoods following resettlement, Local consultation and participation are essential to the success recognizing that this process involves of compensation plans. Family-by-family consultations and, in more than just replacing lost property squatter communities, informal groupings, should often be used in preference to the more formal, larger community asset. The teris sing when meetings in order to ensure satisfactory outcomes. A typical ex- applied to road projects, since it is also ample is the issue of replacement housing provided by a road used by transportation engineers and agency. Dissatisfaction can arise for a variety of reasons, in- planners to describe construction works cluding basic disgruntlement over being moved, discontent that bring a deteriorated road back to over the style of architecture, the construction materials, the its original condition. "Social and com- number of rooms, or the cost of additional services. Through a mercial rehabilitation" may prove to be process of local consultation and participation, it may be agreed a more precise term. Such rehabilitation that the agency will install the basic public infrastructure may require additional financial, tech- (electricity, water supply, for example) and provide either a nicaL and organizational assistance, choice of house types or a house frame. In this latter approach, which is rarely provided for in legisla- the agency allows the resettlers to salvage as much of their for- mer houses as possible, supplies other needed construction tion or administrative arrangements. materials, and provides funds to enable the prospective reset- Legislated compensation proce- tlers to complete the houses. The agency will have to complete dures generally provide only for the the home for those resettlers who are unable, for whatever rea- owners of property and make no allow- son, to finish the house themselves. ances for tenants, employees, or squat- ters. Additional arrangements must be ties and the management of temporary works defined to ensure that these affected groups are and traffic diversion can also reduce the mag- not substantially disadvantaged by land use nitude of impacts on property and welfare. changes, and that they are assisted in relocating Consultation with affected people and and re-establishing their homes and sources of other interested parties (Box 12.1) can assist incomes. These additional arrangements are planners in mitigating the impacts of land ac- provided in a resettlement and rehabilitation quisition and resettlement actions by providing action plan (see Box 12.2) clear and timely information as well as oppor- For landowners, assistance provided under tunities for a complete discussion of options, existing legal statutes - in addition to provi- preferences, and likely outcomes. Thus, by sions laid out in the environmental manage- taking full account of the needs of those af- ment plan-will be sufficient to generate fected, the design of implementation arrange- appropriate compensatory action. However, for ments should be based on more solid other persons without legal title to land, such information (see Chapter 5). additional assistance will be the major means of In the event that displacement is necessary, compensation and mitigation of losses. or that disruptions to livelihoods will occur, a Monetary compensation poses a number of comprehensive assistance strategy is required. concerns in resettlement and rehabilitation This should go beyond financial compensation programs. Most notable are the following: to include social and commercial rehabilitation or replacement. Valuation of assets is usually significantly lower than present market value, especially since 12.3.3 Compensation book (or tax) value of properties is com- Manycoun shave laws and regulations monly employed in such valuations. Even govemany c rountrie rights, compensation, andpresent market value can leave people less governng property rights, compensation, and well off than before (see Chapter 19). If, for appeal procedures for land expropriation. Road example, there are many resettled people planning should make allowances for the con- eeking ae land, resemay re,pan siderable time and money which are commonly resetclers may have to pay more than the involved in these processes. rstlr a aet a oeta h previous market rate just to replace their 126 IMPACTS ARISING FROM LAND ACQUISITION AND RESETTLEMENT former assets. In anticipation of the prob- offering displaced street vendors access to lems that may arise, the road planners markets. Continuation of their economic activi- should acquire a clear understanding of ties would thus be ensured under safe condi- expropriation and valuation procedures, tions for both customers and vendors. and ensure that negotiation and arbitration Wherever possible, restoration or replace- procedures are in place and operating ef- ment should be provided at a minimum dis- fectively. tance from the previous location. Property markets do not always exist in a form The recovery of the costs of resettlement which allows ready replacement of land can sometimes be achieved through the use of and livelihoods. In densely populated areas toll systems. Since such direct systems are not it may be especially difficult to buy prop- always available, however, the costs of reset- erty with an agricultural, housing, or com- tlement may have to be incorporated into the munity environment similar to that project's budget. There should be no reason associated with the property expropriated why the displaced persons should have to bear for road development the costs of their displacement.' Timing of payments can be critical. When prop- erties are valued, but payment is delayed BOX 12.2 for several years, the ultimate monetary THE RESETTLEMENT AND REHABILITATION ACTION compensation may not reflect market rates PLAN (RAP): CHECKLIST OF TYPICAL CONTENTS at the time of payment. This consideration is especially important when high inflation 1. Objectives and principles characterizes the national economy, and 2. Project description delayed payments may result in depreci- 3. Project benefits delayed pympentsat may resus,inflation de - 4. Project losses and impacts ated compensation. Thus, inflation should 5. Linkages with existing laws and guidelines be taken into account. 6. Entitlement framework (title holders; squatters The manner in which compensation is paid can be and encroachers; loss of land and assets; loss of significant for the long-term welfare of the income; other impacts) recipients. People not used to money - or 7. Replacement cost for losses with insufficient resources to meet current 8. Rehabilitation and income restoration expenses-will typically spend the com- 9. Choices and option pensation payment on other articles of con- 10. Consultation and participation sumption, thus becoming vulnerable to 12 Targeting of vulnerable groups Therefre, in 12. Resolution of grievances landlessness or homelessness. Therefore, in 13. Development of resettlement sites many instances it is useful to pay most of 14. Integration with host communities the compensation into a blocked bank ac- 15. Institutional arrangements count, from which the funds are released 16. Guidelines for implementation when the resettler has identified a new home, business or land, and signed all relevant contracts. A small amount-up to 12.4 MINIMIZING IMPACTS OF LAND 20 percent of the funds-can be paid in ACQUISITION AND cash to the resettler so that he or she can RESETILEMENT: take care of other domestic needs. AN ACTION CHECKLIST Restoration or replacement of any assets The specifications for land acquisition and re- expropriated may be preferable to financial settlement in road projects are guided by the compensation; it may prove to be a better way basic notion that the conditions of life, includ- to replace, in full, the source of the owners' ing income, must be restored at least to those livelihoods. However, these assets must be re- levels that existed before the project was un- placed at the new site before displacement and dertaken. These specifications must be written relocation occur. This may require considerable front-end investment In urban areas, for ex- ample, it may be desirable to incorporate com- I A well prepared resettlement and rehabilitation action mercial arcades and other similar arrangements plan addresses all the above considerations and is con- tained within the overall EMP. 127 ROADS AND THE ENVIRONMENT: A HANDBOOK down in a resettlement and rehabilitation ac- * expropriation and valuation procedures be tion plan (RAP). Box 12.2 provides a checklist investigated to determine: a) their basis and of the major points to be covered in an RAP. accuracy; b) the effectiveness and fairness of This section highlights the more important any existing negotiation and arbitration pro- steps in the EA process relative to the incorpo- cedures; and c) the arrangements for the ration of this basic notion in the road develop- making of payments (see Section 12.3.3); ment process and their formulation in an RAP. * relocation assistance arrangements be re- viewed, to determine: a) what assistance Baseline data and potential environmental im- people will be afforded in the search for new pacts locations; b) what follow-up support will be Given the linear nature of road projects and provided; and c) what help is available to their potential for disrupting people's lives, it is those who, for whatever reason, fail to re- important that establish their homes or businesses; * project-affected persons and properties for folow-up remedial procedures be intro- both the displaced population and the host duced to monitor the effectiveness of com- area should be identified at the earliest pensation, relocation, and assistance stages of the road planning process; programs, and to provide additional assis- . impacts should be categorized in terms of tance to those who have not been sufficiently the types of land, persons, and activities af- protected by the untial arrangements. Re- fected, and whether the effects are tempo- sponsibilities, entitlements, and finances for rary or permanent; and these remedial procedures need to be clearly rary or permanent; and eie nteabnpln hl aigit * land surveys-as well as household and defined in the action plan, while takng into business interview surveys.-should be used account the overlapping responsibilities of to provide detailed information, especially different govenmental agencies; where initial analyses identify possible ef- institutional capabilities to carry out the relo- fects on land use, social interactions and psy- cation and rehabiltation operation be as- chological well-being (see Section 12.2). sessed and, if necessary, strengthened. Road construction agencies rarely have the in- Analysis of alternatives house capacity to manage resettlement op- Given the social, psychological and economic erations. Thus, they look either to other gov- costs i . einrrtent agencies or to private sector agencies. The goals in this context are to de- * each alternative under consideration be fully fine responsibilities clearly and to establish costed (see Section 12.2 and Chapter 19); whether the agency or organization selected * the valuation of each impact recognize the has the charter to deal with all the affected full costs experienced by those faced with parties (small shops and enterprises, for ex- relocation of homes and businesses, as well ample), the legal right to acquire and transfer as those affected in the host community; land title, and the administrative capacity to . tenants, squatters, and employees be in- carry out the operation required. These cluded as well as property owners; and measures are generally defined in an EMP. * consultation be used in the comparison of options, since their impacts will depend on Environmental specifrcations for contractors the priorities and perceptions of those affected. These should ensure, first of all, that temporary works and traffic management do not disrupt Mitigative and compensatory measures unduly nearby land users, and that remedial To ensure the effectiveness of these measures, it measures for resettled persons are imple- is important that mented in ways that take account of their social individual entitlements and other rights, and economic concerns (defined in the RAP). whether legally recognized or not, be cata- Secondly, contractors should participate in the logued and awarded if considerable impov- preparation of the host areas (in terms of either erishment is to be avoided for many, if not constructing or upgrading of infrastructure) to most, of those affected (see Section 12.3.2); accommodate the increased use. 128 IMPACTS ARISING FROM LAND ACQUISMON AND RESETITLEMENT Legislation * property rights, expropriation procedures, Legislation on the following issues should be and compensation requirements; and considered: * public participation and appeal processes. 12.5 REFERENCES AND BIBLIOGRAPHY Cemea, M. 1988. Involuntary Resettlement in Development Projects: Policy Guidelines in World Bank-financed Projects. World Bank Technical Paper No. 80. Washington DC: World Bank. Cernea, M.M. and S.E. Guggenheim, eds. 1993. Anthropological Approaches to Resettlement: Policy, Practice and The- ory. Boulder, CO: Westview Press. Cernea, M.M. 1993. The Urban Environment and Population Relocation. World Bank Discussion Paper 152. Wash- ington, DC: World Bank. World Bank. 1990. "Involuntary Resettlement." Operational Directive No. 4.30, The World Bank Operational Man- ual. Washington, DC: World Bank. 129 N 13. Impacts on indigenous peoples HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Proponent Concept Consultation Key regtulatory agency PI-e-feasibility Determining baseline conditions Other government agenicies Feasibility Selection of preferred solution NG0cs Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan P'ublic/community orgaoi/atioo, Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: H -ow can we account for the fact that the lives of indigenous peoples are profoundly vulnerable to disruption by road projects? * What are some of the more common negative effects that road projects have on indigenous peoples and how can they be avoided or minimized? * What are some of the key principles which must be observed when planning and executing a road project to ensure that indigenous peoples continue to lead self-directed lives and continue to earn their livelihood from sustainable sources? H How can road projects assist indigenous peoples to enjoy the potential opportunities to participate in a process of development that they will control? ROADS AND THE ENVIRONMENT: A HANDBOOK 13.1 IMPACTS AND SETTING serve as a useful backdrop against which to Roads are very crude instruments of economic identify potential impacts. They suggest that as and social change. Nowhere is this more evi- a result of a poorly planned road project, in- dent than in areas inhabited by indigenous digenous people could suffer the following im- peoples. The cultural, social, political, and eco- pacts. nomic integrity that characterizes indigenous peoples renders their lives extremely vulner- 13.1.1 Loss of traditional sense of identity able to disruptions from outside. Whether a For many traditional peoples, the land is a sa- road is being planned to cross an area inhab- cred, inextricable part of themselves, their ILfe- ited by indigenous peoples or to open up that style, and their livelihood. Indeed, the flora and same area, it will have a marked effect on their fauna are typically considered beings, which lives. are integral parts of the cosmos. Thus the very Road planners have to realize that while a definition of self is bound up with the land, and road will create some opportunities, it will its flora and fauna, in a manner wholly alien to more likely thrust indigenous people into an most outside economists, planners, developers, artificially accelerated development stream. and settlers. This situation will affect social cohesion, pro- Roads can too easily disrupt this sense of duce physiological effects on the individual, identity. By opening up areas settled by in- and have a negative impact on individual per- digenous or traditional peoples to development ceptions of self-worth. Road planners, working and settlement by other peoples, road devel- closely with indigenous community represen- opments initiate a process that involves not just tatives and sociologists, must attempt to enable a loss of ecological balance between people and indigenous people to adapt at a pace and in the land but the loss of that people's traditional ways that they can manage and control. sense of self-identity. The definition of indigenous peoples has been the subject of much debate over the last 13.1.2 Loss of livelihoods and violation of several decades. Box 13.1 provides a useful traditionally-exercised land rights summary of one approach to identifying such New and improved roads bring increased people. For purposes of this discussion, the five contact with outside peoples, who either oc- characteristics proposed by the World Bank cupy the land for farming or exploit other re- BOX 13.1 CHARACTERISTICS OF INDIGENOUS PEOPLES In 1991, the World Bank produced Operational Directive 4.20 for the guidance of its staff. It describes Bank policies and processing procedures for projects that affect indigenous peoples. The Bank's policy recognizes the many different ways in which national legislation identifies and defines indigenous peoples and the dif- fering social and economic contexts within which they are found. As the Bank notes, "indigenous people are commonly among the poorest segments of a population. They engage in economic activities that range from shifting agriculture in or near forests to wage labor or even small-scale market-oriented activities." The Bank suggests, therefore, that rather than proposing a formal definition of who these groups are, it is more helpful to recognize five characteristics which can be used to identify indigenous peoples within particular geo- graphical areas. These characteristics, which may be present in varying degrees, are . a close attachment to ancestral territories and to the natural resources in these areas; . self-identification and identification by others as members of a distinct cultural group; • an indigenous language, often different from the national language; . presence of customary social and political institutions; and . primarily subsistence-oriented production. Obviously, project managers must exercise judgment in using these characteristics to identify indigenous peoples and should make use of specialized anthropological and sociological experts throughout the project. Source: World Bank, 1991. 132 IMPACTS ON INDIGENOUS PEOPLES sources such as minerals, forests, or wildlife. 13.1.4 Violation of rights to participate in The increased competition for existing re- development sources can put the indigenous peoples at a The physical and cultural stresses placed upon disadvantage, especially when settlers intro- indigenous peoples by road development can duce ecologically inappropriate, and unsus- lead to major disruptions to their culture, life- tainable, production systems. styles, and welfare. While these pressures are Often, indigenous peoples have no recog- not due to the road alone, the road is generally nized land ownership, and they are not com- a major instrument of any externally initiated pensated for the land that is taken from them. development project. Road planning must Rather than fight for their rights in an alien na- therefore take careful account of the delicate tional legal system, they may withdraw from situation of many indigenous peoples in iso- the new population centers, thus increasing the lated areas. Beyond providing the indigenous population pressures on other, already tradi- peoples with the necessary protection for the tionally occupied lands. In extreme instances, continuation of their current mode of develop- physical conflict can break out between settlers ment, road planners must also be sensitive to and the indigenous peoples, as the latter try to their desire to participate in their further de- reclaim their heritage. velopment-at a pace and in a way which they In response to the many violations of in- control (see Box 13.2). digenous peoples' traditional land rights and their rights to participate in development, sev- eral international legal conventions, declara- tions, and other legal instruments have spelled out these rights. Box 13.2 summarizes key points from BOX 13.2 the Intermational Labor Or- INDIGENOUS PEOPLES' RIGHTS TO LAND AND TO PARTICIPATION IN ganization's Convention no. DEVELOPMENT 169. The rights of indigenous peoples to land and to participation in develop- ment are emphasized in several international legal instruments, declara- 13.1.3 Health and social tions, and conventions. These documents establish basic principles for problems relating to indigenous peoples, and define minimal standards for the rela- The new arrivals, as well as tions between them and nation states. One such convention is ILO Conven- the road construction crews, tion no. 169. The Convention concerning Indigenous and Tribal Peoples in often bring with them serious Independent Countries (1989) includes the following relevant articles: health and social problems, in- 'The peoples concerned shall have the right to decide their own priorities cluding disease, alcohol abuse, for the process of development as it affects their lives, beliefs, institutions and unemployment (see and spiritual well-being and the lands they occupy or otherwise use, and to Chapter 17). These problems exercise control, to the extent possible, over their own economic, social and destabilize traditional life- cultural development. In addition, they shall participate in the formulation, styles and can take a heavy toll implementation and evaluation of plans and programs for national and re- among relatively isolated in- gional development which may affect them directly." (Article 7, item 1) digenous peoples. "The rights of ownership and possession of the peoples concemed over the Malaria is one example of lands which they traditionally occupy shall be recognized. In addition, Malaria is one example of measures shall be taken in appropriate cases to safeguard the right of the a disease that is known to have peoples concemed to use lands not exclusively occupied by them, but to been spread to remote areas which they have traditionally had access for their subsistence and tradi- through the construction of tional activities. Particular attention shall be paid to the situation of no- forest roads. However, ill madic peoples and shifting cultivators in this respect" (Article 14, item 1) health can also result from the "The rights of these peoples concerned to the natural resources pertaining disruption of traditional to their lands shall be specially safeguarded. These rights include the right cultivation patterns, and of these peoples to participate in the use, management and conservation of hence, traditional sources of these resources." (Article 15, item 2) nutrition. Source: ILO, 1989. 133 ROADS AND THE ENVIRONMENT: A HANDBOOK 13.2 DETERMINING THE NATURE AND 13.2.2 Consultation and participation SCALE OF IMPACTS Prior to conducting consultations, it will be The assessment of the potential impact of roads necessary to identify spokespersons for the in- on traditional peoples requires an extraordi- digenous peoples. These will usually be their nary sensitivity to the culture and ways of life community leaders, but they may also be in- of these populations. Thus, although the proce- termediary organizations or individuals. dure for the preliminary assessment of an area The manner in which indigenous peoples may be similar to that outlined for a more con- are consulted will vary. Sometimes, represen- ventional community in Chapter 11, the un- tatives of the agency can contact the population dertaking of a complete social assessment is directly. At other times, it may be preferable to likely to be characterized by the need to ob- go through intermediaries who are familiar serve the following general principles: with and are known to the affected population, such as non-government organizations or indi- * use the language of the indigenous peoples; viduals (especially anthropologists and soci- * identify and work with their leaders from the gistspehiave workedpingthe are foria outset; ~~~~~~~~ologists) who have worked in the area for an outset; extended period of time. Whoever conducts the * if "culture brokers" have to be used, take consultations, the discussions should be held in care that they are representing the wider th inienu lagae'lutrtv aeil community's interests; the idigenous language, ilustrative materials * involve local anthropologists, sociologists should be provided to facilitate clear and com- plete comprehension, and sufficient time must of the i enous peo laders; be allotted to ensure full and thorough discus- of the indigenous peoples' leaders; so mn h ouain . give particular attention to ways of involving women in the assessment and the project's 13.2.3 The surveys planning; and . integrate the social and biophysical assess- Given the inter-related nature of the potential ments. impacts identified in Section 13.1, each impact, if realized, would be the product of varying Observing these principles, the social as- combinations of similar phenomena. In light of sessment should then be guided by the same this consideration, it is particularly important general observations made in Chapter 11. In that the social assessment be informed by as- addition, however, there are a number of spe- sessments of cific observations warranting mention here. the biophysical setting; 13.2.1 Identifying the population and the . the legislative framework; and affected area . the enforcement mechanisms and the powers This involves more than a simple exercise in of indigenous organizations. identifying stakeholders. It is particularly im- The biophysical setting portant to Disturbances to the existing ecological balance * obtain a reasonably accurate estimate of the are potential impacts which must be considered population living in the affected area; seriously. Traditional peoples usually exploit * understand the social organization of these the land and its resources in a sophisticated peoples, including the size of community and sustainable manner. The loss of resources groups, the basis for their composition and and the intrusion of settlers can substantially the extent of their traditional territory; and disturb that delicate balance. As the flora and * assess their systems of production over the fauna in a given area form an integral part of course of the year (e.g. hunting and fishing the indigenous peoples' traditions and identity, methods, food gathering patterns, and what happens to them will substantially affect farming techniques). the viability of those traditional cultures, as well as the natural environment of the region. 134 IMPACTS ON INDIGENOUS PEOPLES The legislativeframework Control of access may also be considered, The social assessment will also call for discus- for example, through the establishment of an sions with central government officials on the indigenous reserve with restricted entry. How- nature of the legislative framework that exists ever, care should be taken not to create barriers to recognize the rights of indigenous peoples to wildlife movements. and the govemment's observance of intema- tional instruments, such as the International 13.3.2 Mitigation Labor Organization's Convention no. 169 (see Where impacts are unavoidable, road agencies Box 13.2). Many countries include specific defi- should, at the very least, act to protect and pre- nitions, clauses, and legal frameworks within serve the traditional rights of these populations their national constitutions, statutes, and rele- in the formal legal arena of the country. Pref- vant legislation. These legal definitions, avail- erably, they should go further. One way to ac- able from the Ministry of Internal Affairs or its complish this is through the formulation of an equivalent, determine the status of the indige- indigenous peoples development plan (IPDP) nous peoples, the nature of their tenure, and for any project that affects them. The essential the manner and means of dealing with these characteristics of an IPDP are identified in populations. Land tenure law is a specific con- Box 13.3. They are reflected in the content of sideration. National legislation will determine this chapter and provide a useful foundation whether and how indigenous peoples are to be on which to develop any approach to mitiga- compensated for the loss of some of their an- tion and compensation. cestral area. This is important information for A key feature of an IPDP is that, beyond the impact assessment. the minimization of impacts and compensation for negative effects, it maximizes the potential Enforcement mechanisms and the power of in- benefits of development interventions. If this digenous organizations same approach is to guide the formulation of It is also important to recognize that whatever other mitigation plans, it is essential that the is legislated may not be enforced effectively. If, participation of the affected indigenous peoples as is often the case, there are weaknesses in the be central to that planning process. enforcement of legislation and, as is nearly al- Indigenous peoples are very diverse; some ways the case, the indigenous peoples have may welcome new roads, while others may very weak access to national and regional po- oppose them. Local consultation and participa- litical structures, their human rights and tradi- tion can help road planners understand and in- tional land rights may not be enforced. Thus, corporate local views and opinions. Only such these capacities also require careful assessment. an approach can ensure that the road follows Indigenous people often have their own the most mutually acceptable and least de- time-honored regulations relating to resource structive route, and that mitigative measures use and waste management. These may prove are realistic and culturally compatible with the to be very useful in shaping enforcement needs of the indigenous communities. mechanisms to better address road impact Local consultation and participation also management. provide an opportunity to determine whether traditional groups wish to remain in the area 13.3 REMEDIAL MEASURES (and whether they have the capacity to coexist with increased development), or to relocate to 13.3.1 Prevention some other area. In the former case, some re- Complete prevention is possible only if all new striction of access may be considered, and roads can be routed around indigenous areas. authorities may wish to employ indigenous If this is not technically or economically feasi- peoples as scouts and guards in order to ensure ble, every effort must be made to ensure that that any incoming population does not overex- any prospective road does not encroach upon ploit the area. In the latter case, the authorities the productive resources, sacred sites, and can assist the group in moving. In both in- burial grounds of the indigenous peoples. stances, consideration should be given to 135 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 13.3 KEY FEATURES OF AN INDIGENOUS PEOPLES DEVELOPMENT PLAN Given the vulnerability of indigenous peoples to negative effects of externally-initiated development interven- tions, the planning and implementation of projects, such as road projects, need to be supported by a plan that addresses the specific needs of the indigenous peoples. In recognition of the need for such a plan, the World Bank has stipulated in its policy on indigenous peoples (Operational Directive No. 4.20, September 1991) that Bank-funded projects should include an indigenous peoples development plan (IPDP). The key features of such a plan, as outlined by the World Bank, provide useful guidance for road agencies planning roads that will have some impact on indigenous peoples (whether or not they are funded by the Bank). Although refer- ence should be made to the Bank's OD4.20 for details, the features of such a plan can be summarized as fol- lows: Key characteristics of the plan's overall design are that the plan * reflects full consideration of the options preferred by the indigenous peoples; * is informed by studies that attempt to anticipate trends likely to develop as a result of the project, * utilizes simple implementation arrangements, yet recognizes the need for specialized skills for interacting with indigenous peoples; * reflects consideration of relevant patterns of social organization, religious beliefs, and resource use; * supports sustainable indigenous production systems; * minimizes indigenous peoples' dependence on the project and enhances their capacity for local control; * reflects the need for long lead times throughout the project; and * builds on any relevant existing programs. The implementation of the plan is likely to involve activities relating to health and nutrition, productive infra- structure, linguistic and cultural preservation, entitlement to natural resources, and education. Thus the key elements of the content of the plan should be * an assessment of the legal framework and the capacity of the indigenous peoples to use the legal system to promote their rights; * baseline data that convey the key dimensions of the indigenous peoples' way of life; * arrangements for ensuring long-term land tenure rights; * a strategy for local participation throughout the project, * the identification of mitigation activities (e.g. relative to education, health, credit, and legal assistance); * a preliminazy assessment of need and subsequent plan to strengthen the capacity of governmental, non- governmental, and indigenous peoples' institutions to play an effective role in both the project itself, and in the on-gomg development of the indigenous peoples; * an implementation schedule; * plans for monitoring and evaluation; and * cost estimates and a plan for financing the indigenous peoples development plan. Adapted from: World Bank, 1991. helping the indigenous peoples to obtain for- population, locals can be employed on the con- mal legal title to their territory. struction crews. When a road goes through an indigenous Finally, the engineering design of the road area that is also a protected area (indigenous can assist in the restriction of access to sensitive reserve, national park, ecological reserve, or areas. Construction of a road with narrow protected forest), the local population can be shoulders, large drainage ditches, and no stop- employed not only in the design but also in the ping places can substantially discourage implementation of the management plans. In- through traffic from stopping along the route deed, depending upon the wishes of the local or from entering and exploiting nearby areas. 136 IMPACTS ON INDIGENOUS PEOPLES 13.3.3 Compensation enced social science professionals, and report- Monetary compensation will likely mean little ing formats and schedules should be to indigenous peoples, and it may not be ade- appropriate to the project's needs. Monitoring quate or credible for governments to offer to and evaluation reports should be reviewed by protect their culture and livelihood. Replace- the project's management and funding agency ment of lost land and resources is an important personnel. Evaluation reports should be made and viable element of the total package, but it is available to the public. generally difficult in practice to match the quantity and quality of what is lost. This sug- 13.4 MINIMIZING IMPACTS ON gests that the total package incorporated in an INDIGENOUS PEOPLES: AN IPDP or its equivalent has to consist of a num- ACTION CHECKLIST ber of complementary elements (see Box 13.3). Road projects should be planned and devel- Some of the more important additional ele- oped in ways that protect the way of life of in- ments are the provision of alternative facilities digenous peoples from negative impacts, as (e.g. dams) and resources (e.g. fishing rights, or well as providing opportunities for participa- assistance with small fish-farming activities), tion in development on terms that indigenous royalties from mining and other development peoples welcome. This section highlights the activities, increased medical and education more important steps in the EA process relative services (although great care is required in the to the incorporation of this principle into the design of assistance schemes which are com- road development process. patible with, and do not undermine, traditional cultures and lifestyles), and the strengthening Baseline data and potential environmental im- of indigenous peoples' institutions. pacts This last element is particularly important. Basic information on the presence of indige- In some instances, indigenous peoples are con- nous peoples and the nature of the project and sidered the equivalent of legal minors and are roadside activities will help to determine thus ineligible to hold land or passports. When whether potential impacts are significant (see the formal legal system so disadvantages in- Section 13.2). Where there is any evidence of digenous peoples, project authorities will have such effects, a complete social and biophysical to take exceptional measures to ensure the assessment is required. Experts and knowl- cultural integrity of those populations and to edgeable locals can provide basic information defend them from encroachment by new set- on community structure, numbers, lifestyles, tlers. and use of resources. The consultation and Thorough consultation, participation, and participation process should then be very care- social analysis can assist in the design, imple- fully organized (see Section 13.2.2), and should mentation, and monitoring of such measures. take into account the leadership structures in The organization of the monitoring is cen- affected communities, as well as possible dif- tral to the credibility and success of the devel- ferences in viewpoint within communities; opment plans over the longer term. Monitoring knowledgeable and trusted intermediaries by representatives of indigenous peoples' own should be utilized where these are available. organizations can be an efficient way for the Sufficient time must be allowed for thorough project's management to absorb the perspec- discussion and consideration of a broad range tives of indigenous beneficiaries. Building up of road options and their potential impacts. the participation of affected indigenous peoples Summary information may include maps of in the monitoring process should be a primary constraints and sensitivities, and forecasts of goal. However, given the tendency for most changes in baseline conditions with and with- existing institutions for indigenous peoples to out various project alternatives. exhibit weaknesses in management, these ca- pacities will generally require strengthening. Analysis of alternatives Thus, in the near term, independent monitoring Priorities and concerns of the affected commu- bodies will be required. The governmental nities (see Section 13.2.3) should be considered monitoring unit should be staffed by experi- along with the developmental objectives of the 137 ROADS AND THE ENVIRONMENT: A HANDBOOK road project. Implementation issues will be im- negative impacts on the social and economic portant in selecting options and mitigative welfare of nearby communities. Project work- measures which are culturally acceptable and ers, for example, should be restrained from which can be sustained over the long term. hunting, fishing, or otherwise using the local resources that are held in common by the in- Mitigation plan digenous peoples. Clear responsibilities need to be assigned for the implementation of mitigative and compen- Legislation satory measures; sustainable financing must be Given the generally inadequate recognition of provided and remedial actions taken where the the rights of indigenous peoples to control their orginal measures are found to be not entirely own lives and the development of their envi- successful; and on-going monitoring (see Sec- ronment, it should be incumbent upon the tion 13.3) is required. management of a road project to ensure that those rights are respected and afforded legal Environmental specificationsfor contractors recognition. This recognition should be made The main requirement here is to ensure that effective through the strengthening of indige- work camps, temporary works, and the life- nous peoples' capacities to exercise their rights styles of construction workers do not have (see Sections 13.2.3 and 13.3.3). 13.5 REFERENCES AND BIBLIOGRAPHY Davis, Shelton, ed. 1993. Indigenous Views of Land and the Environment. World Bank Discussion Paper No. 188. Washington, DC: World Bank. Davis, Shelton and Lars Soeftestad. 1995. Participation and Indigenous Peoples. World Bank Environment Depart- ment Paper No. 021. Washington, DC: World Bank. Goodland, Robert. 1982. Tribal Peoples and Economic Development: Human Ecological Considerations. United Nations, International Labor Organization. 1989. ILO Convention No. 169: The Convention Concerning In- digenous and Tribal Peoples in Independent Countries. Geneva: [LO. Uquillas, J.E. and J.C. Rivera, eds. 1993. "Indigenous Peoples and Development in Latin America" (in Spanish). Dissemination Note No. 8. Environment Division, Latin America and the Caribbean Technical Department. Washington, DC: World Bank. World Bank. 1991. "Indigenous Peoples". Operational Directive No. 4.20, The World Bank Operational Manual. Washington, DC: World Bank. 138 14. Impacts on cultural heritage HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Proponent Consultation Key regulatory agency Determining baseline conditions Other government agencies Selection of preferred solution NCO,s I^=L design Assessment of alternative designs/methods Research groups ml. 1 1ffiZDevelopment of environmental management plan l'ublic/commliunitv onganii/tions mm, & maintenance Effects and compliance imionitoring - Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B focus of this chapter; and (C primar target readers. KEY QUESTIONS ADDRESSED: il What is it that a society may lose when a road project threatens to damage a part of its cultural heritage? 1 How are cultural heritage sites identified? | How is the significance of threatened cultural heritage assessed? | How does one provide for the best possible long-term protection of cultural heritage threatened by a road project? ROADS AND THE ENVIRONMENT: A HANDBOOK 14.1 IMPACTS AND SETTING purposes of this discussion, the concept of cul- The term cultural heritage, also termed cultural tural significance, as expressed through the property, refers to sites, structures, and remains above-mentioned values, serves as a useful of archaeological, historical, religious, cultural, backdrop against which to identify potential or aesthetic value. Cultural heritage, often only impacts. These values suggest that a road proj- partially known and studied, is a particular ect may have the following impacts on cultural form of expression of human values which heritage: serves to record past achievements and discov- * damage caused by road construction, related eries. Its identification and examination by spe- works such as quarries and borrow sites, and cialists are helpful in understanding the unregulated access to cultural heritage sites. significance of a site, according to its aesthetic, Such damage could affect the historic, scien- historic, scientific, and social value, in addition tific, social, and amenity values; to its amenity value. * aesthetic impacts on cultural monuments The process of assessing the cultural sig- and archaeological sites; and nificance of a site is outlined in Box 14.1. For * positive impacts on the amenity value aris- BOX 14.1 SIGNIFICANCE ASSESSMENT OF CULTURAL HERITAGE Cultural significance is a concept used in estimating the value of a site. It includes aesthetic, historic, scientific (research), social or economnic value, and the concept of amenity value. Sites that are likely to be significant are those that help our understanding of the past, or enrich the present, and that will be of value to future generations. Significance assessment is the basis for determining any action that will protect cultural sites and is an integral part of a site management plan. It requires in-depth knowledge of art and architectural history, social history, and knowledge of materials. There usually are many management alternatives for any site; thus understanding the site's significance is a prerequisite for deciding on a course of action. Adequate detail is also needed to determine the best or most appropriate method of conserving cultural significance, as different elements require different management strategies. Cultural significance can be assessed in different ways and with varying scope. The process may be informal and rapid or it may be formal and require a complement of specialized expertise (such as archaeologists, legal spe- cialists, anthropologists, and botanists). It may deal with an individual site or be part of a regional or local over- view. The appropriate level of detail will vary according to circumstances. Aesthetic value. Aesthetic judgment is perhaps the most subjective of the criteria used in determining cultural significance. Although such judgment is shaped by cultural background and taste, the design, level of craftsman- ship, and choice of materials also play an important role. It can explain why the general public is attracted to some sites more than others. Historic value. A site can be a typical or well-preserved example of a culture, group, period of time, or type of human activity, or might be associated with a particular individual. Often the place, rather than exemplifying one phase or aspect of history, is the embodiment of a long sequence of history. Scientific or research value. This value will depend upon the importance of the data which could be obtained from the site; more specifically, its rarity, quality or representativeness. In addition to information on technological change, sites can provide evidence of changes in climate, the environment, and the animal population. The assess- ment of scientific or research significance is difficult because often potential rather than present scientific signifi- cance is being evaluated. Social value. This concept embraces the qualities by which a place becomes a focus of spiritual, political, na- tional, or other cultural significance to a majority or minority group. To the local, regional, or national community such sites may be a source of pride, education, or celebration, or a symbol of enduring culture. The qualities caus- ing this preference are very important and in many cases are the strongest argument for conserving the place. For example, the site may be accessible and well known rather than particularly well preserved or scientifically im- portant. Source: Taboroff, 1994. 140 IMPACTS ON CULTURAL HERITAGE ing from improved access to sites recognized cialized publications from the departnents for their cultural value; and on the scientific, of the culture ministry (or its equivalent); or historic, and social values arising from the from universities and research centers; de- addition of interesting sites previously un- scriptions of ruins and sites; and excavation known or overlooked; and the updating of reports. With respect to the applicable legis- the region's heritage. lation, Box 14.2 provides some useful point- ers as to the kinds of legislation that are 14.2 DETERMINING THE NATURE AND particularly relevant to cultural sites; SCALE OF IMPACTS * legislation of the kinds identified in Box 14.2 should also be surveyed to identify any re- 14.2.1 Preliminary assessment strictions on certain categories of cultural In some cases, the initial assessments of project heritage; activities, as well as the land likely to be physi- * bibliographic sources, including travelers' cally or visually disturbed by the road, may accounts; bring to light potential historical or archaeo- * maps which may reveal such information as logical issues. Public consultation or knowledge field boundaries that conserve traces of an- of prior archaeological or cultural finds in the cient roadways, and other cartographic evi- region may suffice to identify the existence of dence of cultural heritage; such issues. But, in many areas, the information . toponyms (place names) taken from texts of base is too limited, and field surveys will be old maps and drawings, which provide con- necessary. In such instances, the assessment siderable useful information that may iden- team will have to draw upon the information tify settlements which are no longer readily sources identified in the next section and con- visible, (for example a location rich in traces duct surveys sufficient to determine whether a of ashes from fires or homes destroyed by full assessment is required. fire might bear the significant toponym of 14.2.2 Cultural heritage BOX 14.2 CULTURAL HERITAGE IN INTERNATIONAL AND If the preliminary assessment establishes the NATIONAL LAW likelihood that historical and archaeological Cul sites, relevant to the road route and its sur- Cutural heritage is legally protected in almost every ruings, areleva,t artpesnt thenro ancomete asu- country. The Convention for the Protection of the World rounding area, are present, then a complete as- Cultural and Natural Heritage of 1972 has become the sessment wil be required of potential impacts foundation for national and other legislation since it re- on cultural heritage. For this, the services of an quires signatories to adopt general policies, establish archaeologist or historian are usually neces- appropriate organizations and service, and develop le- sary. gal, scientific, and financial measures for the protection Four components of a cultural heritage im- and conservation of cultural and natural heritage. The pacts assessment warrant attention here: World Heritage List, sponsored by UNESCO, also en- courages protection and to date includes more than 360 i) secondary sources of information; cultural sites of exceptional interest and universal value. ii) the survey process; At the national or state level, there are generally iii) the establishment of cultural significance four kinds of legislation relevant to cultural sites: and priorities; and (i) heritage place protection acts that specifically protect iv) the assessment of the scale and cost of the particular places (or places as a class) and specify proce- impacts. dures for their protection; (ii) land management, zoning, or planning acts that provide general protection for sites; (iii) notification or listing acts that allow for the record- Secondary sources of inforination ing of important data on cultural sites; and (iv) acts to The lack of adequate information on cultural conserve natural areas in which cultural features are lo- heritage is probably the single greatest obstacle cated. In many countries, religious laws also address to its effective protection. Thus the following cultural heritage and, in some cases, assign ownership sources should be examined thoroughly: or oversight responsibilities to various religious * inventories of sites, classified according to authorities. applicable legislation and comprised of spe- Source: Taboroff, 1994. 141 ROADS AND THE ENVIRONMENT: A HANDBOOK "black lands"); and i) carry out a rapid field survey, usually on * low altitude aerial photography, which has foot, to identify the pattern of site proven one of the best ways to investigate distribution in the area under examination; and detect archaeological ruins (Figure 14.1, ii) determine the area that includes evidence Box 14.3). of remains and the points that present the highest concentration of artifacts; record The survey process their location, characteristics, and state of Field surveys for cultural sites generally in- conservation-carrying out sample clude the following three steps: soundings, if necessary; and FIGURE 14.1 IDENTIFICATION OF ARCHAEOLOGICAL SITES USING AERIAL PHOTOGRAPHY B I 1 / I I Ii The drawing illustrates one phenomenon that can be used in aerial reconnaissance of archeological sites. A buried wall (1) can cause kwer humklity prejudidal to the growth of cereals (A). An ancient ditch cutting into the subsoil (2), to the contrary promotes cereals' growth and makes them greener (B). BOX 14.3 AERIAL PHOTOGRAPHY FOR ARCHAEOLOGICAL SURVEYS The discovery of an archaeological site by aerial photography is rarely an accident, but rather the result of a systematic investigation of clues derived from examination of aerial evidence. The following details should be given particular attention: * Topographic and vegetation clues: Their study can reveal anomalies in the structure of the landscape (fossilized ruins; terrain anomalies, such as mounds or tells). * Phytological clues: Anomalies in the growth of crops (Figure 14.1), reflected in differences in height and color, vary according to the nature of the underlying structures (e.g. details of vegetation often corresponding to archaeological structures). * Pedological clues: Anomalies in the surface characteristics of soil are reflected in variations in shading on the photograph. Where building materials are lying just under the surface, this may be revealed by color con- trasts with that of the surrounding earth. * Hygromeftic clues: Anomalies in soil humidity can be revealed by a color that differs from that of the sur- rounding superficial layers (e.g. damper soil may lead to a darker color of the soil and that of vegetation). 142 IMPACTS ON CULTURAL HERITAGE iii) authenticate and localize the information below the ground surface, and the condition gathered. For example, identify where the and significance of the site. These priorities people obtained the stones they used to might be organized as follows: build their structures. * highly important sites and protected sites, to If the road project is a complex one, in- be preserved intact; volving more than a single road, it may have an * sites of special cultural interest, to be effect on the cultural heritage that warrants a avoided whenever possible; and more comprehensive regional approach to the * potential sites, requiring surface exploration impact assessment and to the organization of as well as limited archaeological sounding the management of the heritage features. and recording. The establshmen ofBox 14.4 gives an example of the approach priorties v taken for the planning of a road-widening proj- There may be several sites of interest that are ect in the city of Ningbo in China. susceptible to disturbance in any one area. The assessment of the scale and cost of the im- Once the survey information has been gath- ered, the team can conduct a significance as- pacts The assessment of the scale of the impacts will sessment of each site based on an analysis of reflect the significance of the hertage, the de- the remains for their archaeological historical, gree of irreversibility of the anticipated im- scientific, religious, or aesthetic significance pacts, and the extent of potential damage. Both (see Box 14.1). At this stage the state of conser- pact and (e destructial indirect vation of the remains should also be assessed r and recommnendations should be made re- impacts (e.g. changes to water tables and in- a.n re endation shoul eme duced development) should be assessed. Minor gRdaivgeedd poteachtve, measres. . as well as major heritage values should be in- determined, biking into consideration site clas cluded, since any one value may be subject to sificafon according to legislation, the depth to several different sources of pressure and thus which archaeological artifacts may be found cumulahveimpactacquiressignificance. BOX 14.4 ROAD WORKS IN HISTORIC URBAN AREAS: CHINA Under the Zhejiang Multi-Cities Development Project, the World Bank is helping to finance the improvement of urban infrastructure in the city of Ningbo. Due to the rapid growth of the city, the existing road networks are in- adequate to carry the present level of traffic. Current growth trends suggest that economic activity and traffic volume will increase in Ningbo. Significantly, the existing roads correspond in large measure to the roads known as early as the 11th century. The original consulting road engineers, when thinking of ways to improve traffic flows, chose to focus efforts on the already established traffic routes. This option, however, involved the widening of roads in the historic core of the city and the destruction of numerous historic structures including temples that are the center of activity for religious communities. In view of the possible negative impacts of the proposed works on the cultural heritage of Ningbo, specialist architectural conservators were called in to carry out an analysis of the cultural heritage assets. They ranked the buildings and sites adjacent to the proposed road alignment according to architectural and cultural significance, and recommended alterations to the road in order to spare as many of the important structures as possible. The value of a small lake in the center of the city for recreational and visual amenity was also emphasized by the consultants, who urged that the city take steps to conserve the unique character of the lake. They also suggested the creation of conservation areas. In their report they raised the question of creating a ring road rather than routing all traffic through the city. The suggested road aligmnents have been adopted by the city. An inventory of cultural property in the project area has been undertaken. In view of the tremendous pace of new building in Ningbo-as in other cities in China-it is urgent to establish zoning and development controls to guide the development of roads and in- frastructure while protecting clusters of historic buildings and other areas of interest. Planning for the protection of the cultural resources at an early stage in project identification is the best way to ensure cost-effective and adequate conservation. 143 ROADS AND THE ENVIRONMENT: A HANDBOOK The effectiveness of the government in en- rock stabilization, control of groundwater lev- forcing relevant legislation should also be taken els, vegetative stabilization, control of flora and into account, along with the cost of enhancing fauna, and site surveillance. this effectiveness, if necessary. In exceptional cases, if it proves impossible Where tourism could be increased to the for an alignment to avoid a cultural site of benefit of the local or national economy, the value, salvage excavation should be under- costs of realizing such benefits should be cal- taken. Relocating artifacts or ruins from a site is culated. Similarly, any anticipated losses in a last alternative and can be expensive. tourism revenues (arising from damage gener- A site management plan will be required. It ated by the road project) should be calculated. should identify conservation actions required and, where necessary, provide guidance on 14.3 REMEDIAL MEASURES other measures such as salvage or relocation. It should establish monitoring and evaluation 14.3.1 Prevention procedures and a schedule of operations and Where possible, road construction should avoid budget Particularly important is the inclusion any alignment that cuts through known cul- in the plan of specific contract clauses to define tural sites (see Figure 14.2). If an important site responsibilities of companies and workers who is uncovered during road works, possible rea- discover new sites or artifacts, or who damage lignment of the road should be considered. known sites. These chance find procedures, all In some unusual cases it is preferable to too often, are given inadequate attention. At leave a cultural site buried beneath the road. the very least, they should identify the authori- This may involve raising the level of the road, ties to whom the company or individual should as shown in Figure 14.2. report, the format for such reporting, the wait- ing period required before work can be re- 14.3.2 Mitigation sumed, and measures for interim care of the found items. Commonly-utlized mitigative measures in- Dialogue between the road department and clude excavation, erosion control, restoration of the ministy in charge of cultural heritage structural elements, rerouting of traffic, and site needs to be frequent and conutnuous to avoid mapping. Other measures that may be required situations which either damage the cultural site on occasion are structural stabilization, soil and FIGURE 14.2 AVOIDING OR COVERING ARCHAEOLOGICAL SITES 144 IMPACTS ON CULTURAL HERITAGE or delay the road project. In some countries, 14.4 MINIMIZING IMPACTS ON road projects have been delayed for years be- CULTURAL HERITAGE FEATURES: cause of a lack of procedures governing cul- AN ACTION CHECKLIST tural sites, or lack of funding for the protection, study, or restoration of these sites. In practice, a Baseline data and potential environmental im- cooperative relationship between road builders pacts and archaeological specialists is essential. If The identification and prioritization of histori- cultural heritage requirements are too rigid, cal and archaeological sites should occur prior some site discoveries may be hidden or de- to route surveying. It should pinpoint highly stroyed to avoid compliance. If, however, road sensitive areas, and archaeological soundings workers fail to allow for heritage sites, sub- (see Section 14.2). stantial delays and cost increases can occur. All this suggests that if the mitigation plan Analysis of alternatives is to be effective, in most countries it will have Options for the avoidance of sensitive areas to include proposals for strengthening the legal should be considered seriously (see Sec- framework and the institutional capacities for tion 14.3.1). the on-going management of the cultural heri- tage in question. Thus, when the legislation is Mitigation plan being examined in order to identify relevant in- Any such plan should include rules for the con- formation pertaining to the sites in question, an struction phase and archaeological supervision assessment of the effectiveness of that legisla- (see Section 14.3.2). tion and of supportive institutional capacity should also be conducted. Environmental specificationsfor contractors These should specify the actions required and 14.3.3 Compensation the person responsible, and should define the Examples of compensatory actions may be nature and scope of any additional develop- mnent work that may be called for (see Sec- * tourist development of the site where heri- tion 14.3.2). tage elements are conserved and showcased, and Legislation . classification of the site as protected under The analysis should focus on legislation that is appropriate legislation. For sites of interna- in effect in the country or region, and the tional quality, UNESCO listing as a World regulations regarding various classes of pro- Heritage Site may be proposed. tected sites (see Box 14.2 and Section 14.3.2). 14.5 REFERENCES AND BIBLIOGRAPHY Federal Highway Administration. 1993. "Building Partnerships, Building Bridges: Meeting Transportation and Environmental Goals: The Inside Story about South Carolina's Isle of Palms Connector." Leaflet No. FHWA-PD-93-048, and video. Washington, DC: Office of Environment and Planning, Department of Transportation. Federal Highway Administration. 1977. "Historic Preservation and the Federal-Aid Highway Program.' Infor- mation leaflet. Washington, DC: US Department of Transportation. France, Ministry of Transport. 1978. Consideration of Archaeological Heritage in Road Studies -Recommendations. Bagneux, France: Department of Road and Transport Engineering and Research (SETRA). Goodland, R. and M. Webb. 1987. Management of Cultural Property in World Bank Assisted Projects: Archeological, Historical, Religious and Natural Unique Sites. World Bank Technical paper 62. Washington, DC: World Bank. Low, K.S. 1984. Effects of Road Constructions on the Environment: Technology, Culture and Development. Kuala Lum- pur: Institute of Advanced Studies. New York State Department of Parks and Recreation. 1982. Mitigating the Effects of Heavy Equipment Compaction on Buried Cultural Materials. Federal Archaeology Report. New York. 145 ROADS AND THE ENVIRONMENT: A HANDBOOK Office of Technology Assessment. 1986. Technologies for Prehistoric and Historic Preservation. Washington, DC: United States Congress. Taboroff, J. and C. Cook. 1993. Cultural Property and Environmental Assessment in Sub-Saharan Afnica: A Handbook. Africa Region, Environmental Assessment Working Paper No. 1. Washington, DC: World Bank. Taboroff, J. 1994 "Cultural Heritage in Environmental Assessment". Environmental Assessment Sourcebook Update No. 8. Washington, DC: World Bank, Envirorument Department 146 15. Impacts on aesthetics and landscape HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping 1 Proponenit Concept Consultation Key regulatory agency Pre-feasibilhty Determining baseline conditions Other government agencies Feasibility Selection of preferred solution N(;Os I oiginiering design Asse-ssment of alternative designs/methods Research groups K o0siniction Dievelopment of enmironmental management plan PUb]ic/coilntiinity o0g-ani/ations Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: | How does one translate aesthetic considerations with respect to the landscape into design principles for road planners? , What are some of the more common mistakes made in road plan- ning that give rise to aesthetic concerns? |a What is involved in identifying the potential impact of a road design on the aesthetic sensibilities of local community residents and road users? a How can one minimize a road's undesirable impacts on a landscape and make the most of its positive attributes? ROADS AND THE ENVIRONMENT: A HANDBOOK 15.1 IMPACTS AND SETTING nants of a site have traditionally constituted constraints on human activity. In this setting 15.1.1 Links between aesthetic values and the local vernacular landscape arose. TodAys regional landscape design technologies free societies of many of those Before examining the potential impact of road constraints. It is thus easier for develop- developments on aesthetic sensibilities, the ments, such as roads, to be out of keeping challenge of translating aesthetic considerations with their settings. Today's designers have to into design principles that can be used by road make responsible choices. planners warrants comment. . Respect the connectedness of natural ele- It is now becoming more widely accepted ments and human uses of nature. The that an understanding of ecology is essential movement of water, of wildlife, and of local for environmental planning in the larger, re- people in their community all contribute to gional landscape. Stemming from that accep- the coherence of a region s landscape. tance is a growing recognition of the fact that * Recognize the potential for human develop- human respect for the biophysical determinants ment activities to contribute to environ- of any given physical setting is a major consid- mental enhancement. The principles, of eration in attaching aesthetic value to a land- energy and nutrient flows should be applied scape or to any structure, such as a road, that i to the design of such features of the human introduced into that landscape. environment as roads. A well-designed road fits in well with its , Make visible the processes that sustain life. surrounding landscape because its design re- Opening the view from the road to life along flects the principles of regional landscape de- the road, rather than hiding it, maintains in- sign. These principles can and should be terest in the surroundings and extends un- applied whether or not the area being consid- erstanding of that environment and the ered is one of special physical beauty. Their ob- commuties it supports. servation will serve to minimize not just the It is against the backdrop of these general prin- visual disturbance to the landscape but also the ciples, which are applicable to regional design disturbance to the physical functioning of the in general and not just to roads in a regional natural and human ecosystems. In fact, if ap- landscape, that the road designer can more plied well, they can contribute to the enhance- easily appreciate how and why a road can have ment of environmental benefits. To the extent a negative impact of an aesthetic nature. that a road's design is successful in reflecting these principles, it should prove to be aestheti- 15.1.2 Potential negative aesthetic impacts cally more appealing. Negative aesthetic impacts can be expressed as These principles of regional landscape de- a product of the poor consideration of the sign can be summarized as follows:1 above-mentioned design principles and a re- . Respect natural and human processes of suIting lack of harmony between the road and change. Analyze what nature and people various features of the landscape, such as those have done to the site. Try to maintain links listed below: with the past, allow today's lifestyles to con- * The natural relief and morphology of the tinue, and do not attempt to control the land- landscape. In this case, such disharmony can scape. occur if the route does not follow the relief as * Employ an economy of means. The road de- closely as possible and causes the formation sign that results in a minimum use of re- of major cut and fill zones, out of character sources and effort should contribute to with the terrain in height, length, and incline enhanced environmental, economic and so- of slopes; or if the route cuts transversely or cial benefit diagonally across a system of parallel val- * Respect and make the most of the diversity leys; or does not avoid landscape with an of the landscape. The biophysical determi- uneven relief. 1 This section draws heavily from Hough 1990 and Hough 1995. 148 IMPACTS ON AESTHETICS AND LANDSCAPE * The hydrology -e.g. if road construction re- tors. Particularly valuable in terms of re- sults in rerouting and channeling of a wa- gional landscape design are maps of special terway. influence areas located in the travel corridor, * Vegetation-e.g. if the road project results in see Figure 15.1). deforestation, destroys or does not bypass * schematic cross-sections to explain the isolated trees, avenue trees, or hedges; or if it structure of the landscape and the distribu- interrupts the continuity of vegetation in a tion of its various components in relation to valley or other setting. the relief; and * The structure and pattern of the landscape- . photographs, usually arranged by landscape e.g. if the road distorts the existing field sys- unit or theme to support the analysis. tem by, say, cutting obliquely through a rec- Consultations should be held with local tangular farm system and creating numerous communities to obtain the information sug- isolated plots which may be difficult to culti- gested by the regional design guidelines. This vate, out of place, and thus aesthetically should assist the road planners in refining the disturbing. alternative alignments. * Urban or village areas - e.g. if the road sepa- The road alignrment, or the various alterna- rates two urban centers or if a strong existing tives under consideration, can then be inte- urban pattern has not been taken into con- . sideration in its design. Roads can also mod- ify the way a city or village evolves and * maps with route alternatives superimposed expands and can encourage new urban ex- over the current environmental state; pansion. This may be an objective of road . photomontages that use photographs taken development or an unexpected outcome on-site, or oblique aerial photographs, to with undesired visual and community im- simulate the road's route and impact; and pacts. * analyses of the vertical alignment and cross- . Recreational areas -e.g. if these areas, which sections where the contour of the natural ter- will require good access, are not traversed rain coincides with that of the road's route. with sensitivity; and finally. In this way it is possible to visualize the im- • Architectural or cultural heritage-e.g. if the portance of cut and fill zones. road crosses through a park of historical in- terest or blocks or cuts off a view of ar- FIGURE 15.1 chaeological or cultural interest. (Related SPECIAL INFLUENCE AREAS issues are discussed in the previous chapter on cultural heritage.) 15.2 DETERMINING THE NATURE AND tur SCALE OF IMPACTS eoO ur A landscape analysis can help to define fea- uffor tures of the landscape, using available carto- Historic graphic and photographic documents and tours of the site. In order to facilitate comprehension Scenic by the public, the tools used are mainly visual. They may include Special Influence Areas * one or more thematic maps, depending on New roads should not be located within the travel the dimensin of the ste and itscomplexitycorridor until all special influence areas have been the dimension of the site and its complexity located and defined as far as possible. (These areas, (e.g. relief maps, maps of urbarnzation, representing unique recreation, scenic, natural vegetation, landscape, and main features, as aesthetic and historic values, are the most well as maps that provide a synthesis of all powerful aesthetic influences on road location major road and landscape design fac within the corridor). 149 ROADS AND THE ENVIRONMENT: A HANDBOOK Landscape is a subjective concept that can- Harmony: A landscape exhibits harmony if not be precisely quantified. It includes a large there is a relationship in terms of mass and number of parameters. A study of the relief, scale between the various components vegetation, buildings, hydrography (water- making up the landscape. It aims for courses), and land division system makes it maximum overall coherence compatible possible to identify several different landscape with the widest possible diversity (Figure units on the site. Each unit is defined as a part 15.2). of the territory with its own special character- Stability: A stable landscape is one which, al- istics (relief, forms of land use, vegetation, though dynamic, retains the same charac- buildings, color, etc.) which can be perceived teristics and qualities through time and by the eye and enjoyed by the senses. Land- space. scape units are homogeneous parts of the land- Landscape analysis must consider the scape which can be defined by such criteria as overall route, and integrate sections which coherence, readability, hierarchy, harmony, have been studied separately, in order to avoid and stability. creating a project which appears splintered and Coherence: A landscape is coherent if its various lacking in cohesion. components (e.g. relief, vegetation, build- ings) harmonize-if they are aesthetically 15.3 REMEDIAL MEASURES in keeping with one another. This is a strong feature of truly vernacular land- 15.3.1 Prevention scapes. Contemporary structures, on the It is not possible to prevent the presence of a other hand, rarely attempt to relate to their road from affecting the surrounding landscape. natural setting. Their coherence may be Even maintenance and rehabilitation works can created by forms, colors, proportions, etc. change the appearance of a road, for example Readability. A landscape is readable if it is easy through the use of vegetation and shaping of for the observer to comprehend. the roadside. Hierarchy: A landscape with hierarchy is one with a predominant feature. 15.3.2 Mnitigation FIGURE 15.2 The above-mentioned USING VEGETATION TO IMPROVE HARMONY BETWEEN A ROAD AND TERRAIN regional landscape de- sign principles should Motor way Slip ramp provide guidance in re- solving major issues re- lating to algnmrnent, landscaping mainte- Motorway * ~ .~ nance, and thie provision solvingser services. Minimum earthwork fits road into site topography Aligmet Alignment characteris- tics can be selected to best fit the route into the Motor way Sip ramp 7 landscape. * Vertical and horizontal alignmient should fol- * Mot.*~a~~'- fl;?*%~.:i~s low the natural relef ~~: 3**~~*A~~~~ ~x~~);1:~~ ~~ ~ as closely as possible with in technical con- Landscaped earthwork softens terrain using vegetation straints such as slopes and radius of curva- ture. 150 IMPACI S ON AESTHETICS AND LANDSCAPE FIGURE 15.3 MAKING THE MOST OF LANDSCAPE FEATURES ., ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~~4 * Curves can accentuate views, while ensuring visual and physical continuity. Computer adequate safety for passing. Coming into landscape illustration may help the road close proximity with a natural feature of spe- agency to visualize the completed road proj- cial interest, such as a rock face, is often bet- ect within the landscape (Figure 15.4). ter than avoiding it (Figure 15.3). * Drivers can enjoy the view of a bridge (Figure * Slopes on either side of the road can be var- 15.5). They are often beautiful structures. ied to match the site's natural topography. . Views from the road can be revealed, com- * Bridges, viaducts, and tunnels can be used posed, or reinforced by road layout and de- across steep terrain rather than high cuts and sign but should also take road speed into embankments, to preserve the landscape's into account (Figure 15.6). FIGURE 15.4 COMPUTER LANDSCAPE ILLUSTRATION 151 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 15.5 Plant indigenous wildflowers and grasses for MAKING THE MOST OF BRIDGES a low maintenance ("no mow") roadside. Littering and other eyesores can be re- This duced to some extent by O::Pca < vie * avoiding the use of too many different 0° C,45:pK, o O types of noise barriers; ICoR r t<>=^<0 . establishing regulations or fines for litter- ing; and ( - A $'g Xe. regulating billboard and storefront adver- )/ +~~~_ __ tising along roads, especially at the en- trance to cities or towns, to prevent Not This unsightly proliferation and protect road user safety. Some of the best designed bridges go unnoticed by User services people driving over them. Alignment can be used User services made available to motorists on occasion to reveal such structures before crossing. along the roadway can help ensure the suc- Bridges should maintain a continuous vertical cess of a road project and help avoid concerns alignment, and long bridges should maintain such as littering or vehicles making indis- horizontal alignment. criminate stops along the roadway. They also contribute to road safety by allowing drivers to rest or check vehicles and loads during a Landscapingvproposed for the routeshould trip. Examples include rest areas, scenic look- * fit in with local vegetation (trees, shrubs, outs, and shoulder pull-off areas. avenue trees, hedges); 15.3.3 Compensation * make use of vegetation to harmonize with or improve the existing landscape; Negative impacts on the landscape can be . be representative of the road's category and compensated for, to some extent, by reforesta- function; tion of areas to replace those taken up by the * respect views and not be planted systemati- construction of the road and rehabilitation of cally just to fill in space; landscape problem areas. . take advantage of natural openings in the existing vegetation; FIGURE 15.6 . frame and underscore the various landscape DESIGNING VIEWS WITH SPEED IN MIND units crossed; High Speed Road * suit and underscore the various engineering For Sustained Views structures; / g * ensure user safety by using the landscape to signal changes in the route, for example, by __ '- , o decreasing the space between avenue trees S5 before entering a curve or village; and j >v,c * pay attention to the aesthetics of engineering \ structures by selecting materials that adopt local colors and textures and which give the aw Speed Road structure a simple shape. 011:20 For Glimpses Maintenance Not all views have to be sustained, especially at Maintenance of roadside vegetation, slopes, lower speeds. A series of short "glimpses" is and structures can greatly affect visual appear- sometimes preferable to a continuous view. ance and can be enhanced by involving main- Integrating glimpses at higher speeds, however, is tenance workers in the planning and often dangerous to highway safety. management of the roadside environment. 152 IMPACTS ON AESTHETICS AND LANDSCAPE 15.4 MINIMIZING IMPACTS ON Analysis of alternatives AESTHETICS AND LANDSCAPE: AN Photographs with legends and drawings are ACTION CHECKLIST used to visualize and explain the landscape This section highlights the more important characteristics, in order to identify the best steps in the EA process relative to the incorpo- route and areas of environmental sensitivity ration of aesthetic considerations into the road which require special care in the design process development process. (see Section 15.2). Baseline data and potential environmental Mitigation plan impacts This wiUl include aesthetic considerations, espe- Useful reference documents include maps of cially in relation to road project structures, and varying kinds, drawings, photographs, and other environmental devices such as noise bar- texts (see Section 15.2). Critical features and lo- riers. Implementation and maintenance plans cations can be identified using thematic maps for seeding and planting should cover areas to of topography, vegetation, buildings, major be planted, species, and techniques to be used geographic areas, and the main structural com- (see Section 15.3). ponents of the site (discussed in Chapter 4 and Environmental specifications for contractors again in Section 15.2). Public consultations, to In addition to modifying certain elements (for capture the views of the local people about instance screens or bridges), the contractor wil their local landscape, are essential here. have to plant vegetation according to the speci- fications set by the landscape architects. (See Chapter 18 for a more detailed discussion of contractor specifications.) 1 5.5 REFERENCES AND BIBLIOGRAPHY Aguilo, M. 1981. "Methodology for the Evaluation of the Visual Fragility of Landscapes" (in Spanish). Madrid: E.T.S. ICCP. Fernandes Canadas, M. 1982. "Landscape and Physical Planning. Systematic Approximation and Valuation" (in Spanish). Madrid: ETSIM. France, Ministry of Infrastructure. 1993. "Landscape and Development" (in French). No. 22. Bagneux, France: SETRA. France, Ministry of Infrastructure. 1989. Planting on the Roadside. Technical guide. SETRA - CAUE 77. France, Ministry of Infrastructure. 1989. "Roads and Landscape: Building Roads and Highlighting Landscapes" (in French). Report of colloquium held June 22, 1989. SETRA and Association des Societes Frangaises d'Autoroute. France, Ministry of Infrastructure. 1987. "Roadside Landscapes" (in French). No. 80. Metropolis. Bagneux, France: SETRA. France, Ministry of Infrastructure. 1984. "The Art of the Highway" (in French). Bagneux, France: SETRA. Gonzalez Bemaldez, F. 1977. "Ecology and Landscape" (in Spanish). Madrid: Blume. Hough, Michael. 1995. Cities and Natural Process. London: Routledge. Hough, Michael. 1990. Out of Place: Restoring Identity to the Regional Landscape. New Haven, CT: Yale University Press. Hough, Stansbury Associates Ltd. 1973. Design Guidelines for Forest Management. Toronto, Canada: Ministry of Natural Resources. Trans-European Motorway. 1991. Aesthetic, Economic and South Motorway. Document No. TEM/CO/TEC /46, TEM Project Central Office, Warsaw. SETRA. 153 16. Impacts on the noise environment HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Proponent Concept Consultation Kev _ P're-feasibility Determination of baseline conditions Other govermnent agencies Feasibility Selection of preferred solution N(',Os Inllgineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan lPublic/communitv organi/atiows Operation & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: , How can road noise affect human welfare? f What are the major sources of road noise? El Can noise pollution be measured? What instruments or methods are used to measure it? | What can be done to compensate for or mitigate the impacts of road noise? ROADS AND THE ENVIRONMENT: A HANDBOOK 16.1 IMPACTS AND SETTING dous amounts of sustained noise during In many areas, noise is one of the most obvious equipment operation. impacts of daily road use. However, its effects are often given lower priority than economic or 16.1.2 Road noise impacts other environmental impacts, largely because Noise associated with road development affects they are rarely visible and are difficult to the environment through which roads pass by quantify monetarily. Yet most humans and degrading human welfare, by sonically vibrat- animals that suffer chronic exposure to severe ing structures, and by disrupting wildlife. noise pollution are keenly aware of its pres- ence, and may experience a range of problems Human welfare as a result of this exposure. It is therefore im- Even when it is not perceived consciously, portant to understand how road noise comes to chronic exposure to road noise can affect hu- exceed acceptable levels, and what can be done man welfare in varying degrees, both physio- to prevent, mitigate, or compensate for its ef- logically and psychologically. Chronic noise fects. exposure can be a source of annoyance, creat- ing communication problems and leading to 16.1.1 Sources of road noise elevated stress levels as well as associated be- Noise associated with road development has havioral and health effects. It can cause audi- four main sources: a) vehicles; b) friction be- tory fatigue, temporary and permanent tween vehicles and the road surface; c) driver lessening of hearing ability, sleep disorders, behavior; and d) construction and maintenance and can even contribute to learning problems activity. in children. Vehicle noise Vibration Vehicle noise comes from the engine, transmis- The vibration induced by the resonance of traf- sion, exhaust, and suspension, and is greatest fic noise can have a detrimental effect on during acceleration, on upgrades, during en- structures standing near the road. This is of gine braking, on rough roads, and in stop-and- particular concern in the case of cultural heri- go traffic conditions. Poor vehicle maintenance tage sites, which may have been standing for is a contributing factor to this noise source. many centuries, but which were not designed to withstand such vibration. Makeshift or Road noise lightly constructed buildings, common in many Frictional noise from the contact between tires developing countries, may be the first to suc- and pavement contributes significantly to over- cumb to vibration damage. all traffic noise. The level depends on the type and condition of tires and pavement. Frictional Wildlife disturbance noise is generally greatest at high speed and Noise may prevent many animal species from during quick braking. approaching or crossing road corridors because they are afraid. As a result, road corridors be- Driver behavior come barriers to regular wildlife travel routes, Drivers contribute to road noise by using their effectively rendering roadside habitat areas in- vehicles' horns, by playing loud music, by accessible to some species. Such disturbance shouting at each other, and by causing their reduces the success of these species and con- tires to squeal as a result of sudden braking or tributes to ecological alteration (see Chap- acceleration. ter 10). Construction and maintenance 16.2 DETERMINING THE NATURE AND Road construction and maintenance generally SCALE OF IMPACTS require the use of heavy machinery, and al- Motor vehicles are inherently noisy, and noise though these activities may be intermittent and impacts are inevitable in any road develop- localized, they nevertheless contribute tremen- ment, regardless of scale or character. The fac- tors contributing to noise impacts are, however, 156 IMPACTS ON THE NOISE ENVIRONMENT highly variable; consequently, the nature of the the roadside, whether specially installed for noise impacts associated with individual road noise control or naturally occurring, can lower projects differ greatly. Contributing factors fall the impact of road noise. into six groups: Vehicles tend to produce the most noise while ascending and descending steep slopes Vehicularfactors and while rounding sharp corners; this means Different vehicle types produce different levels that roads which incorporate these features will of noise. In general, heavy vehicles such as tend to be noisier at those points. transport trucks make more noise than do light cars; they tend to have more wheels in contact Environmentalfactors with the road (see Figure 16.1), and often use Weather conditions such as temperature, hu- engine brakes while decelerating. Poorly midity, wind speed, and prevailing wind di- maintained vehicles, such as those with incom- rection can play a role in determining how plete exhaust systems or badly worn brakes, individual sites are affected by road noise. are noisier than well-maintained ones. Also, Temperature and humidity determine air den- certain types of tires, such as off-road or snow sity, which in turn affects the propagation of tires, are especially noisy. sound waves. Downwind sites are generally exposed to greater noise levels than are sites FIGURE 16.1 upwind of roads. ACOUSTIC EQUIVALENCE BETWEEN HEAW AND Ambient noise levels, associated with in- LIGHT VEHICLES dustrial and other human activity, affect the perception of the magnitude of the road noise impact. In areas with low ambient noise levels, the noise from a new road development will generally be more noticeable than a similar noise level would be in an environment with higher ambient noise levels. New roads in quiet areas or noisy trucks at night are often per- (It @ ceived as worse than higher levels of noise in a busy area during the workday. On the other hand, measured noise levels and potential health impacts are highest where traffic noise Road surfaces combines with noise from other sources, possi- The physical characteristics of the road surface bly producing an unacceptable overall noise and its surroundings play a large role in de- level. termining noise output. Well-maintained, Topography can also help determine noise smooth-surfaced roads are less noisy than those impact. For instance, noise from roads occur- with cracked, damaged, and patched surfaces. ring in mountain valleys or canyons tends to be Expansion joints in bridge decks are especially more noticeable than that from a similar road noisy. Roadside surfaces such as vegetated soil tend to absorb and moderate noise, while re- FIGURE 16.2 flective surfaces like concrete or asphalt do not RELATIVE POSITIONS OF ROADWAY AND RECEPTOR have any beneficial function. Road geometry The vertical alignment of the road can affect the ease with which noise can be transmitted to roadside receptors. For instance, siting a road in a cut below ground level or on a raised plat--_ form may serve to keep receptors out of the impact zone. This concept is illustrated in Fig- Audpb nulsance is highervwhen the resince is located at ure 16.2. Also, the presence of barriers along 157 ROADS AND THE ENVIRONMENT: A HANDBOOK on a flat plain, because noise is reflected off FIGURE 16.4 valley walls. By the same token, hills and knolls WHEN TRAFFIC ON A ROAD IS DOUBLED, THE NOISE can act as natural barriers to noise if they occur LEVEL INCREASES 3 dB(A), ALL OTHER FACTORS BEING between the road and receptors. Above-grade EQUAL roads, which are often necessary in flood-prone areas, tend to broadcast noise over greater dis- tances. Spatial relationships Perhaps the greatest determinant of noise im- + 3 DedWbes pacts is the spatial relationship of the road to Number of vehicles X 2 potential noise receptors. The closer the road to receptors, the greater the impact (see Fig- ure 16.3). The higher the population density in 16.2.1 Assessing noise impacts roadside areas, the greater the number of peo- Assessment of potential road noise impacts re- ple likely to be receptors, and, consequently, lies on an accurate evaluation of the baseline the greater the impact. conditions, a thorough knowledge of the char- acteristics of the proposed road development, and a good understanding of how roadside ac- FIGURE 16.3 tivity will evolve in the medium and long term. DOUBLING THE DISTANCE BETWEEN THE ROAD AND When assessing the potential noise impact THE RECEPTOR RESULTS IN A DECREASE OF 3 dB(A) of a road development, it may also be helpful IN THE NOISE LEVEL to keep the following in mind. -3O --<__* Road noise impacts will be greatest where busy roads pass through densely populated areas. * If, at the outset, there are indications of com- plex noise impacts, consultation with a noise engineer may prove helpful. , Some receptors are more sensitive to noise exposure than others. Road noise in indus- trial zones and uninhabited areas without much wildlife is not likely to be particularly problematic, whereas residential suburbs and particular localities such as schools or Traffic stream hospitals may experience significant impacts. The noise production of a particular traffic stream is determined by a number of factors: FIGURE 16.5 the type of vehicles in the stream and their DOUBLING THE SPEED RESULTS IN AN INCREASE OF level of maintenance; the number of vehicles 6 dB(A) passing per unit time (see Figure 16.4); the con- stancy of flow-vehicles tend to be noisier in stop-and-go traffic; and the speed of traffic flow-noisiest at high speeds (see Figure 16.5). The relationship between traffic stream cy- cles and ambient noise is also important; ambi- ent noise levels are generally lowest at night, and if traffic noise peaks at night, the impact will be great. Conversely, if traffic noise peaks Speed x 2 at the same time that ambient noise levels do, +6 Decibe the effects will be less noticeable. 158 IMPACIS ON THE NOISE ENVIRONMENT a It should be recognized that there are FIGURE 16.6 some locations (such as busy urban inter- SCALE OF SOUND LEVELS sections) where it is very difficult to im- plement noise-limiting measures. dS(A) 100 PI 16.2.2 Noise measurement go0 65 X 90 Noise measurement specifications require 80 definition of the period of measurement, the P noise parameter to be recorded, and the po- 70 * sition of the recording instrument relative to 60 P so the road and adjacent properties. 50 P' Measurement units 40 .' The indicator used to measure sound levels 30 is a logarithmic function of acoustic pres- 30 X'l sure, expressed in decibels (dB). The audible 20 1 range of acoustic pressures is expressed in lo dB(A). The human ear perceives a constant 10 m increase in sound level whenever the acous- O0 tic pressure is multiplied by a constant Countde counbysde Quietrad Busyd kport quantity. The scale of sound levels shows that calm environments correspond to a level of 30 to 50 dB(A), and that beyond case of especially high nocturnal traffic with a 70 dB(A) sound becomes very disruptive high percentage of heavy goods vehicles. (Figure 16.6). Note that, because the decibel is a The equivalent acoustic level in front of logarithmic function of acoustic pressure, the (outside) a building facade facing the traffic noise levels of two or more sounds are not determines the building's exposure to noise. added up as in conventional mathematics, but This is the best indicator of the discomfort are multiplied. caused to the building occupants. Since noise is variable over time, measure- ments and forecasts are expressed as mean val- Measuring instruments ues or other indicators over a given period of Existing noise levels can be measured using time. devices called sonometers, which convert The equivalent acoustic level (Leq) is the sound wave energy into an electrical signal, the sound level of a stable noise which contains the magnitude of which is displayed or recorded. same energy as a variable noise over the same Measurements obtained using these in- period. It represents the mean of the acoustic struments can become valuable baseline data, energy perceived during the period of obser- but their further usefulness is somewhat lim- vation. The equivalent acoustic level of noise ited, both in terms of sampling period and as a during the period 8 a.m. to 8 p.m. is written as result of their inability to distinguish separate Leq (8 a.m. - 8 p.m.) or Leq (12hr). sources of noise. L10(12hr) is an alternate measure, indicat- ing the noise level exceeded 10 percent of the Forecasting noise levels time over a twelve-hour period. For the 18- Forecasting methods include equations, com- hour period 6 a.m. to 12 midnight, L10(18hr) is puter models, and physical models. The sim- typically 3dB(A) higher than Leq for the same plest are equations, which estimate noise from period. information on traffic flow, composition, and Nocturnal noise levels are generally lower speed. than are diurnal levels. For example, the noc- Computer models are perhaps more widely turnal Leq (12 a.m. - 6 a.m.) is typically 10 dB employed and can be used to forecast future below the Leq (8 a.m. - 8 p.m.), except in the changes in baseline conditions and the likely 159 ROADS AND THE ENVIRONMENT: A HANDBOOK impacts of a project and various mitigation op- slopes and sharp corners, especially at sensitive tions. A few examples of computer noise mod- locations, can also prevent noise problems. els in use are the FHWA model (USA); STAMINA 2.0 (USA); OPTIMA (USA); and Mi- 16.3.2 Mitigation crobruit (France). Up to date information on the Vehicular measures availability and use of computer noise models Motor vehicle noise can be reduced at source, should be available from national transporta- for example through vehicle construction, se- tion agencies. lection of tires and exhaust systems, as weUl as vehicle maintenance. Control of vehicle noise 16.2.3 Noise level standards emissions can be attempted using vehicle de- National standards may specify one noise level sign rules and in-use noise regulations and en- not to be exceeded for all types of zones (such forcement, subjects beyond the project-level as Leq"12hr" under 70 dB"A") or, more realis- scope of this handbook. ticaUy, different noise levels for different zones, such as industrial, urban, residential, or rural Surface design and maintenance areas. Lower limits are sometimes specified for The application of a bituminous surface layer nocturnal noise. over worn concrete roadways is effective in re- Details of road noise standards are usualy ducing frictional noise. The use of open-graded available from national transportation agen- asphalt and the avoidance of surface dressings cies.1 If no national standards exist, objectives may also be effective in reducing frictional can still be established for various types of road noise in sensitive areas (see Box 16.1). Some ju- projects. Indicative standards used in Western risdictions are experimenting with asphalt Europe might be not to exceed a Leq (8 a.m. - made using discarded tires, which appears to 6 p.m.) of 65 dB(A) for residences in urban ar- reduce frictional noise as weUl. Generally, eas, and 60 dB(A) for rural areas. It is impor- smooth, well-maintained surfaces such as tant, when considering international standards, freshly laid asphalt without grooves and cracks to take into account the differences in noise will keep noise to a minimum. criteria, measurement methods, and applica- bility to various types of projects. Roadgeometry It should be noted that noise standards are Road design should avoid steep grades and only applicable for a defined measurement sharp corners to reduce noise resulting from method which specifies the location of meas- acceleration, braking, gear changes, and the use urement devices and the duration of measure- of engine brakes by heavy trucks at critical lo- ment. Indeed, one obstacle to consistent cations. compliance with standards is the fact that Figures 16.2 and 16.7 illustrate how adapt- noise measurement is dependent on so many ing the vertical alignment of a road can de- variables, such as weather and the type, posi- crease noise at nearby buildings. tion, and number of sensors. Unless the values of the variables are clearly defined and strictly adhered to, compliance with standards may not FIGURE 16.7 be especiaUly meaningful. ADAPTATION OF HORIZONTAL AND VERTICAL ALIGNMENTS 16.3 REMEDIAL MEASURES 16.3.1 Prevention Noise problems can be avoided by moving the road alignment or diverting traffic away from noise-sensitive areas using bypass roads. Choosing alignments which minimize steep "Fww a 1 Sinha et al (1989) includes details of noise level standards for several countries. 160 BOX 16.1 REDUCING ROADSIDE NOISE LEVELS BY CHANGING THE PAVEMENT COMPOSITION AND POROSITY Conventional asphalt pavement usually consists of a mixture of bitumen and a range of graded aggregate mate- rials, yielding densely graded asphalt pavement. In contrast, drainage asphalt pavement uses an open graded asphalt mixture, which eliminates the aggregates of intermediate grading to obtain a higher porosity mixture. The noise levels from vehicles traveling on the drainage asphalt pavement (DA) are lower than on the densely graded asphalt pavement (DGA). In comparison to the DGA r _ pavement, the peak noise levels at various cruising speeds are reduced on the DA pavement as shown in the line graphs. For Xo.a~ ..* - ---s - - ------- . example, the peak noise reduction would be in the range of 0.1 s .6f _o.i- _ _. ------ and 0.4 decibel with the DA porosity of 10 to 15 percent. With 30.4 ---5 - 1_the porosity of 20 to 25 percent, the peak noise levels would de- $o 0.2 2 \ crease by the range of 0.1 to 1.0 decibel. The two bar charts com- 2 0 o pare the measured noises between the DGA pavement, with a a- 40 60 80 100 120 140 160 porosity of 5 percent (upper chart), and the DA pavement, with CniinigeDd(S) ~a porosity of 20 percent. The noise reduction by the DA pave- !ment falls in the range of 5 to 6 decibels in the former case, and Car from 1 to 3 decibels in the latter case. Compared with the DGA pavement, the noise levels of vehicular traffic drop by some 10 decibels on the porous elastic pavement that uses urethane- ______________________________ bonded rubber particles. 2 i-1 - 1 > 048 PDoooil- 10 _-- -- , o ''Pacit 2D% 't 00o2 lo.y0 a 80 69 t67 3 68 108 70 1675 70 4683 70.1t67.6 0.6-~~~~~~~~~~~~~~~~ 60- 40 60 80 100 120 Crus Speod (krh) ] I 340- l iii I__ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ j20 - No.1 No.2 No3 No.4 No.5 Mma6woemmntLocain DA: porosity 5% I W _ _ _ _ _ _ I . r 1Si[Pb.* 25 100 DI 68 . 00~~~~~~~~~~~~~~~~~~~~~~~~86 .°Q6 ._ - , 68 6762 09 69064 88 62 >PQ4 15% 2 F - - - - -O - - - -- _ - S4 0O.2 *iiQ -20 . , 40 60 60 10 120 4 No.1 No.2 No.3 No4 No.5 [ a(hilt) T ~~~~~~~~~~~ ~ ~~~~~~~~~~~~~Mlearnunt 106810X DA: porosity 20% Heavy Truck Source: Meiarashi and Ishida, 1996. 161 ROADS AND THE ENVIRONMENT: A HANDBOOK Noise barriers often incorporate several of the measures (see Noise barriers are among the most common Figure 16.9). A busy road passing by a high-rise mitigative measures used. They are most effec- building, for example, may require specalized tive if they break the line of sight between the surfacing, a barrier or screen to reduce traffic noise source and the receptors being protected, noise at lower levels, and facade insulation for and if they are thick enough to absorb or reflect the upper floors of the building. the noise received. Various materials and bar- rier facade patterns have been extensively FIGURE 16.9 tested to provide maximum reflection, absorp- COMBINATION OF TECHNIQUES tion, or dispersion of noise without being aes- n thetically ugly. The types of noise barriers most commonly employed consist of earth mounds or walls of wood, metal, or concrete which form a solid obstacle between the road and roadside com- munities (Figure 16.8). Noise mounds require considerable areas of roadside land; for narrow Previous Tnacadam AcUstic screen alignments, bridges, and roads on embank- ments, wall-type barriers may be the only vi- able option. Two or more barrier types are often combined to maximize effectiveness. 16.3.3 Compensation Plantations of trees and shrubs, for instance, The purchase of roadside properties by gov- contribute little to actual noise reduction, but errments may, in many cases, be more viable they do confer a psychological benefit in re- than the implementation of extensive measures ducing the perceived nuisance of traffic noise, to protect only a limited number of people. and they are often used to 'soften' the visual Monetary compensation for noise impacts is appearance of mounds and walls. currently offered only in a small number of countries and cases. FIGURE 16.8 POSITIONING A BARRIER OR SCREEN 16.4 AVOIDING IMPACTS ON THE NOISE ENVIRONMENT: AN ACTION CHECKLIST 1H2.- 5 / --;. Road development has the potential to degrade / ie lS0 t 200m- 7> l0 to 700m _ the quality of life experienced by those who in- habit areas near roads if noise concerns are not dealt with. This section lughlights the more important steps in the EA process which incor- porate noise considerations into the road plan- ning and development process. Insulation Baseline data and potential impacts Building facade insulation, such as double Basic information must be gathered on current window glazing, is an option usually adopted properties that may be affected by road noise, as a last resort in order to dampen noise in and on areas of potential future development, buildings. It is most likely to be needed in cases especially for housing. Where sensitive zones where noise impacts result from an unforeseen or potential problems are identified, measure- expansion of traffic volume along existing ments should be taken of current noise levels, roads. and models should be used to predict future noise levels, including longer-term (i.e. five- The relative costs and effectiveness of some of and ten-year) estimates. The analysis should the measures outlined above are compared in highlight currently quiet locations likely to ex- Table 16.1. A successful mitigation plan will perience a large change in noise levels, as well 162 IMPACTS ON THE NOISE ENVIRONMENT TABLE 16.1 INDICATIVE COMPARISON OF VARIOUS NOISE MITIGATIVE MEASURES Measure Effectiveness Comparative costs Earth barrier Same as that of other Very cheap when spare types of barriers (e.g. fill material is available on site. wood or concrete); needs more space Concrete, wood, metal or Good; requires less space 10 to 100 times the cost of an earth other barrier fences barrier, but may save land cost Underground road An extreme option for 80 to 16,000 times the cost of (cut and cover) very heavy traffic; an earth barrier requires ventilation if over 300m long. Double glazing of windows Good but only when 5 to 60 times the cost of an for facade insulation windows are closed; earth barrier doesn't protect outside areas as locations which could experience problems from construction noise. Environmental specifications for contractors Specifications for building noise protection de- Analysis of alternatives vices should clearly indicate the location, de- Areas of choice include road alignment, barri- sign, and materials and methods of ers, pavement design, and building modifica- construction, and should account for future tions. In some industrial or urban areas, road maintenance needs. In carrying out con- ambient noise levels are already high, and the struction, quarrying, or other such activities in noise from new road works may be of the same noise-sensitive areas, special attention may order. In other cases, there may be tradeoffs have to be paid to equipment noise standards, between noise protection and increased land hours of operation, material haulage routes, consumption, which will prove undesirable for and other aspects of work-site management. other environmental and community reasons. Consultation with affected communities and Legislation individuals can assist in identifying preferred Laws and regulatory measures can assist ef- solutions within budgetary and other con- forts to reduce noise impacts by, for example, straints. not allowing new residential buildings near major roads; by requiring by-pass routes for the Mitigation plan noisiest vehicles, especially at night; and by Noise protection measures will usually be in- limiting speed and construction operations corporated into road design and construction. near especially sensitive areas such as schools Ongoing maintenance actions are necessary, for and hospitals, particularly during periods of example, to ensure effectiveness of open- low ambient noise. graded asphalt road surfacing. Long-term noise monitoring may also be appropriate. 16.5 REFERENCES AND BIBLIOGRAPHY Alexandre, A.Y. and J.P. Barde. J.P. 1973. "The Time of Noise" (in French), Paris: Flammarion. Alexandre, A.Y. and J.P. Barde. "The Practical Determinants of a Charge for Noise Pollution," Journal of Trans- port Economics and Policy, 14. 163 ROADS AND THE ENVIRONMENT: A HANDBOOK France, Ministry of the Environment, Ministry of Transport 1980. "Guide to Noise Created by Land Transport- Noise Level Forecasting" (in French). Bagneux, France: Centre d'Etudes des Transports Urbains. Fribourg, M. 1971. "Automobiles and Noise: An Action Program" (in French). Paris: La documentation francaise. Galloway, W.J. and T.J. Schultz. 1980. Noise Assessment Guidelines. Washington, DC: US Department of Housing and Urban Development (HUD). Garcia Senchermes. 1983. "Urban and Interurban Noise" (in Spanish). Manual for Urban Planning and Architec- ture. Madrid: CEOTMA Ministry of Public Works. Japanese Highway Planning Inc. 1995. Study on Noise Barriers and Other Noise Protection Measures. Consultant Re- port Washington, DC: World Bank. Meiarashi, S and M. Ishida. 1996. "Noise Reduction Characteristics of Porous Elastic Road Surface'. Applied Acoustics, 47:3:239-250. Ministry of Public Works. 1987. "Noise" (in Spanish). Madrid: Director General of the Environment Nelson, P.M. 1987. Transportation Noise Reference Book. Crowthome, Berkshire, London: Transport and Road Re- search Laboratory. Organization for Economic Cooperation and Development. 1991. The State of the Environment. Paris: OECD. Organization for Economic Cooperation and Development 1988. Transport and the Environment. Paris: OECD. Sinha, K. et al. 1991. "Environmental Assessments of Land Transport: Construction and Maintenance." (Draft prepared for World Bank Infrastructure and Urban Development Department). Sinha, K. et al. 1989. Environmental and Ecological Considerations in Land Transport: A Resource Guide. World Bank Technical Paper. Washington, DC: World Bank. US Department of Transportation. 1990. Highway Traffic: Noise in the United States; Problem and Response. Wash- ington, DC: FHWA. 164 17. Impacts on human health and safety HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage inroad planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping P'roponent Concept Consultation Key regulatory agenicy Pre-feasibility Determination of baseline conditions Otlher government agencies Feasibility Selection of preferred solution N(.Os Engineering design Assessment of alternative designs/methods Research groups Construction Development of environmental management plan P'ublic/comllmuniity organ iiations Operation & ynaintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area =(A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: B In what ways can road development hasten the spread of disease? , What are the special considerations for non-motorized transport? | Which sectors of government should be responsible for promoting accident prevention and road safety? | How can education and thoughtful design reduce the negative impacts of road development on human health and safety? ROADS AND THE ENVIRONMENT: A HANDBOOK Improved travel for motorized traffic may come 17.2 DETERMINING THE NATURE AND at the expense of othier road users, such as these SCALE OF IMPACTS wontent carnjing water in India. 17.2.1 Human health Road development may be instrumental in the decline in health of a local population in several _ : ~~~~~~~~~ways. It can _ facilitate the transmission of diseases; _ contamninate the local water supply (see Chapter 8); * pollute the air (Chapter 9); and _ become a source of noise pollution (as dis- cussed in Chapter 16). Disease transmission 17.1 IMPACTS AND SETTING Disease transmission is facilitated by the mi- Nowhere is impact prevention more important gration of people, which invariably accompa- than in the area of road safety and human nies road projects. Work crews-as well as the health. Poor planning can lead to loss of life, relatives and dependents who usually follow which can neither be mitigated nor adequately them-may bring with them a multitude of compensated. communicable diseases including diphtheria, Road projects often have serious negative poliomyelitis, tetanus, and malaria. Their tem- consequences for the health of local popula- porary camps, often characterized by standing tions. By encouraging direct contact between water and poor waste management practices, previously disparate areas, roads provide ideal provide the ideal conditions for vermin, and corridors for the transmission of disease be- other vectors of disease, to multiply and infect tween humans, and from plants and animals to the local human population. At the same time, humans. It is also likely that some form of air or it is possible that a disease endemic to the proj- water pollution will occur as a result of road ect area will be contracted by the work crew, development, further endangering the health of and then transmitted to a population near the people living near the new development. next work site (see Box 17.1). Safety is an issue that must be addressed as well, since road accidents result in deaths, inju- ries, and damage to property. They are a major BOX 17.1 public health problem and a significant cost to ROADS AND THE SPREAD OF STDs the economy in many parts of the world. While Throughout the world, the spread of AIDS and accident rates have been falling in many of the other sexually transmitted diseases (STDs) can be more developed countries, they are increasing linked to the construction of roads and the re- in other countries where the road systems, sultant opening-up of new regions. Although travel speeds, and level of motorization are still there are no empirical data to support this the- growing. ory, it is believed that migrant populations- Pedestrians and non-motorized vehicles are particularly truck drivers and construction the most vulnerable users of roads, and are at workers - whose mobility is enhanced by new greater risk of being injured in accidents. In ar- road projects are the most likely vectors for these eas where these road users mix with motorized diseases. The spread of STDs in brothels along some highways, for example, was probably has- traffic, special measures must be adopted to tened by the migrant population that regularly prevent the increased mobility of motorists used that road (and its services'). This particular from undermining the safety and health of all impact of road construction can only be miti- other road users. gated through education of both the migrant and local populations. 166 IMPACTS ON HUMAN HEALTH AND SAFETY TABLE 17.1 VEHICLE EMISSION COMPONENTS AND THEIR HEALTH EFFECTS Pollutant Health effects Carbon monoxide (CO) Reduces the ability of the blood to carry oxygen. Symptoms of exposure include headaches, vertigo, impaired mental function, aggravated cardiovascular disease, and impaired fetal development. In strong doses, fatal asphyxiation. Oxides of nitrogen (NO,) Aggravate and induce respiratory and cardiovascular afflictions such as asthma, emphysema, tuberculosis and bronchitis. Hydrocarbons (HC) Contribute to eye, nose and throat irritation. Benzene is a known carcinogen. Aldehydes Eye, throat, and lung irritation. In some cases, allergic reactions. Particulates Eye and respiratory irritation, aggravation of asthma. Some are suspected carcinogens. Lead (Pb) Nervous disorders, impaired mental function, and behavior problems, especially in children. Also anemia, possibly brain damage. Sulphur dioxide (SO2) Aggravates respiratory ailments such as asthma, bronchitis, and emphysema. Source: Adapted from Clapham, 1981; Lee, 1985. It is useful to consult statistics from inter- "Casual" water national agencies, such as the World Health In the tropics "casual" standing water, created Organization, to determine the geographic dis- by road projects, presents a considerable health tribution of communicable diseases that are hazard, since it provides breeding habitat for most often transmitted by work crews and snails, flies and mosquitos. On a World Bank other highly mobile populations. This informa- project in the Sub-Saharan region, it was found tion can be combined with reports from local that more bilharzia transmission resulted from health authorities about the incidence of these puddles on road maintenance projects than diseases, to find out whether the road crews from irrigation canals (Listori, 1995). Moreover, might bring different strains of a disease, or abandoned tires, old barrels, and cans provided completely new diseases, to an area. more fly and mosquito breeding habitat than did nearby natural and irrigation water bodies Water supply contamination (Listori, 1995). Water supply contamination often occurs when an influx of people - associated with the road Airpollution project-overloads the local sanitation infra- Air pollution becomes a health problem when structure, and encourages the spread of water- the road in question is heavily used by motor- borne diseases such as amoebic dysentery, ty- ized traffic and where there are dense settle- phoid and cholera. ments alongside the project. Table 17.1 gives an Where the local population uses surface overview of the health risks associated with water for drinking, concerns about polluted chronic exposure to motor vehicle emissions. run-off from the road (Chapter 8), and road ac- In areas where food crops are grown adja- cidents involving vehicles carrying hazardous cent to a heavily-traveled road, project planners materials (Section 18.4.1) must be addressed. and local residents should be aware that con- centrations of heavy metals might be found in 167 ROADS AND THE ENVIRONMENT: A HANDBOOK roadside plants. This type of contamination is a increased speed through built-up areas, lack of serious health hazard, since it can taint the en- pedestrian crossing facilities, and inadequate tire food chain, and needs to be addressed. allocation of road space for non-motorized ve- hicles. Examination of the connections between 17.2.2 Road safety improved and existing roads may highlight There are many features of a road and its sur- possible hazards at new intersections and in- roundings which influence the risk of a road consistencies in road standards which might accident or the severity of accidents when they not be recognized by drivers. do occur. Examples of these features' include Accident reporting systems are essential for identifying accident "blackspots" where physi- * pavement and shoulder condition; cal improvements are most likely to be success- * the presence of roadside poles, trees, ditches, ful. Further information can identify steep slopes, and barriers; * signs, markings, intersection layout and * the types of people affected (i.e. pedestrians, control; - motorcyclists, car occupants); * roadside access, parking, and bus stop ar- * the types of accidents (i.e. head-on or right- rangements; and angle collisions, single vehicles leaving the . provisions for pedestrians, cyclists, and other road); and non-motorized road users (Box 17.2). * the types of locations (i.e. intersections, curves, or divided roads). At a national level, accident exposure is often measured by accident rates (fatalities, in- This information is usually recorded by juries, and accident numbers), and is related to police attending accidents, and its quality and the number of vehicles registered or vehicle- synthesis depend on coordination, manage- kilometers traveled. Since the number of fatali- ment, and training efforts. ties and the number of vehicles comprise the Analysis of accident data is essential in en- most readily available statistics, the ratio of suring that remedial measures are well targeted deaths per 10,000 vehicles on register is often and effective. This requires specialized skills used; accidents per 100,000 population is also a and knowledge and should be used both to commonly-used statistic. identify critical problems and to test the results At the project level, local information on of past safety efforts. accident history may identify unsafe locations Within the parameters of road safety, the on existing roads. Examination of similar proj- possibility of landslides must also be examined ects could identify potential problems associ- (see Box 7.1). Unstable cuts above a road, or ated with road improvements, such as below, if the road collapses, can prove fatal to road users who happen to be in the wrong Traditional modes of transport, like these cy-place at te wrong time. cle taxis in Indonesia need roadside space at key urban locations 17.3 REMEDIAL MEASURES 17.3.1 Prevention Health The prevention of major outbreaks of disease can be accomplished through a comprehensive health awareness campaign, carried out in conjunction with a road project. Successful awareness programs include preventive meas- ures such as immunizing the vulnerable popu- lation, and educating people about diseases 'Transport and road research Laboratory (1991) contains a useful guide for evaluating and improving road safety, using these types of features as indicators. 168 IMPACTS ON HUMAN HEALTH AND SAFETY BOX 17.2 EXAMPLES OF MITIGATIVE MEASURES FOR PEDESTRIAN AND NON-MOTORIZED VEHICLE ACCIDENT BLACKSPOTS Activities * walking or traveling along the road in the direction of, or toward traffic * crossing the road * standing on or by the road Accident "blackspot" associated with * negligent crossing or walking * high speed * undefined crossing sites * rushing into the roadway * narrow road * lack of non-motorized lanes/paths * low quality shoulder surface * disjointed bicycle network * poor visibility Mitigative measures Improvement of pedestrian and cyclist facilities - widening or construction of shoulders - construction of separate lanes and paths - provision of non-motorized-only streets - painting of edgelines in order to separate shoulders - construction of exclusive bridges for non-motorized road users - provision of traffic signals with phases for bicyclists - establishment of non-motorized vehicle waiting area - temporal separation by limiting the entry of motorized or non-motorized vehicles Speed-limiting measures - provision of speed limit signs for non-motorized vehicles - construction of humps to reduce speed of motorized vehicles in narrow streets - active police enforcement of speed limits Improvement of visibility - parking prohibition - removal of sight limiting obstacles, plants, etc. - construction of cycle-rickshaw waiting area within street parking - installation of lighting (especially of crossing sites) - use of liths and non-motorized vehicle reflectors Limiting of non-motorized vehicle movements by fences or guardrails Improvement of crossing sites - (re)painting of zebra crossing and provide signs - provision of line of reflective studs on both sides of zebra crossing - construction of raised zebra crossing (with warning signs) - construction of level-separated crossing Regulations, education, and safety awareness training (including STDs); how they are contracted, and settlements. The prevention of air pollution it- how to avoid them by using treated water, self is discussed in Chapter 9. practicing "safe sex," and keeping living areas cleaner. Spraying incoming and outgoing vehi- Casual water cles, as well as screening and treating affected There is a startlingly high correlation between local and migrant populations are two meas- increases in endemic tropical diseases such as ures which may also be effective in controlling malaria and bilharzia and casual waters at con- the movement of disease vectors (through struction sites (Listori, 1995). The best preven- contaminated water and between people). tive measure is to prepare a site management The negative impacts of localized air pol- plan which explicitly focuses on the elimination lution on human health can be prevented by of casual water through "good housekeeping" choosing road alignments which avoid human practices. 169 ROADS AND THE ENVIRONMENT: A HANDBOOK Safety road safety council or at least to promote simi- There is no doubt that accident prevention is lar safety standards on each project more valuable than any mitigative or compen- Road councils, with the help of their mem- satory measure. Its effectiveness will depend ber agencies and ministries, are also obligated on cooperation amongst, and actions taken by, to develop national or regional road safety the various groups which are directly and indi- plans, which might include rectly involved with the road project. * ensuring that post-accident emergency as- Proper design of road safety features is a sistance and medical care are available to all very effective way to prevent accidents. Plan- accident victim; ners and contractors involved with the design * developing an accurate accident data re- of the road should cording system; • examine road design standards, safety * conducting research and regularly monitor- equipment specifications and training to en- ing the state of road safety; sure that design details take account of safety * determining the need for further road im- concerns and that specific safety features are provements (based on accident data); and correctly designed and installed; * encouraging research and development of * require that road design audits be done, at new, safety-oriented road technologies. preliminary and final design stages, by spe- The development of a safe council re- cialists in road safety and traffic operations; quires a developmentmoftinentety mtutLo and qursalong-term commitment to institution andraft traffic managementplans,including building, training, and funding, but it is an op- . draft traffic management plans, including tinta.hudntb ovelod.Teat details of sig,ns, markings, intersection lay-. tion that should not be overlooked. The data details of signs, markmgs. mtersectionand statistical information assembled by a cen- outs, channelization of flows, access restric- tralized body can be very useful for devising tions, footpaths, bus stops, and provisions successful mitigation programs in the future for non-motorized vehicles.2 (see Chapter 2 for further discussion of institu- Road safety and accident prevention are tion building). also the responsibility of the ministries and agencies which regulate the transportation Safety and non-motorized vehicles (NMVs) network. Effecting national policy changes is It is particularly important at this stage to look beyond the scope of the project-level environ- at impact prevention for the more vulnerable mental assessment, but it may be a feasible goal road users-pedeshians, cyclists, animals, rick- when doing sectoral EAs for national or re- shaws, etc.-since they can become a major gional road development schemes. In some ju- source of traffic congestion and are involved in risdictions, road safety councils have already a higher number of accidents. For every road been established to evaluate and recommend improvement that allows more motorists to the adoption of road safety policies such as travel faster, there should be a parallel im- * mandatory use of seat belts; provement in road safety features for non- • compulsory driver training and testing; motorized vehicles, such as * prohibition and punishment of driving while * NMV lanes physically separated from mo- impaired by drugs or alcohol; torized traffic by barriers or designated by * traffic safety education for children; and pavement markings; * testing and inspection of all vehicles accord- . shoulder improvements; ing to national vehicle safety standards. * NMV paths within an independent right-of- If this type of centralized institution does way; .. ... .~~~~~ streets on which motorized vehicles are not exist, then it is the responsibility of the road baned; project proponents to advocate the creation of a banned; * bicycle parking lots; and * waiting areas (for example for cycle- 2 These should be incorporated into road designs, while rickshaws). separate traffic plans for managpnent of traffic during construction and maintenance should be the responsibility of the construction contractors (see Chapter 18). 170 IMPACTS ON HUMAN HEALTH AND SAFETY The construction of exclusive facilities is this chapter. For example, if the spread of dis- the most effective approach in the minimization ease among the local people and road crews is of safety impacts on non-motorized vehicles. not prevented, an epidemic can be avoided by Physical separation with- barriers usually pro- encouraging 'good health' practices through vides better protection than pavement mark- education. If the work-site is identified as the ings, but in many cases the roadway is too source of the problem, the contractors should narrow for constructing exclusive lanes or be obliged to keep it clean and provide ade- paths. If this is the case, a shoulder of at least quate sanitation facilities for the workers and 1.5 to 2.0 meters should be provided so that their families. Potable water should also be NMVs can travel safely, without slowing the supplied to all households in the short term to motorized traffic flow. If the shoulder is used prevent further infection of the population. for non-motorized vehicle travel, adequate (Section 8.3 discusses remedial measures for pavement strength must be maintained. If the water contaminated as a result of road run-off.) pavement used for shoulders is not strong Health impacts from severe air pollution enough, it quickly deteriorates with use, and are difficult to mitigate in the short-term; how- easily develops potholes -a condition that ever, in the long-term, action should be taken to makes travel difficult and dangerous for slow- prevent inhalation of airborne contaminants. moving vehicles such as bicycles or rickshaws. Such action might include planting dense Such shoulder conditions may cause non- stands of vegetation along the road to filter motorized users to use the main roadway in- dust and other pollutants, or increasing the stead, thereby negating any positive effect that distance between the road and the people, ei- may have resulted from the separation of mo- ther by moving the road or resettling the peo- torized and non-motorized vehicles. pIe. These mitigative measures are discussed Pedestrian facilities such as sidewalks, ze- further in Chapter 9. bra crossings, and pedestrian bridges improve the flow and safety of vehicular traffic, par- Safety ticularly in urban and near-urban areas. How- If accident prevention is not a priority on a ever, if they are improperly designed or road project, then mitigative measures will al- congested by street vendors or illegal settle- most certainly be necessary. Road safety coun- ments, these safety features can be so incon- cils are useful sources of information at this venient that people will choose a more stage if they have been properly set up for data dangerous route just to shorten their journey. collection. The development of 'blackspot' pro- (See Chapter 11 for a discussion on roads and grams, which set aside funds for low cost im- community severance.) provements targeting known high-accident Where there is a high concentration of bicy- locations, is a common mitigative measure (Box cles and rickshaws, off-street parking and spe- 17.2). To undertake this type of program, it is cial waiting areas can reduce traffic congestion important that there be evidence of actual acci- and accidents between motorized and non- dent history at the proposed site. Furthermore, motorized vehicles. any mitigative measures should have a history It is important to emphasize that improve- of effectiveness, be based on a rigorous analysis ments benefiting motorized road users are not of expected benefits, and include a follow-up always positive for non-motorized users, and program for monitoring the accident blackspot any roadwork should be carefully assessed for after the improvements have been made. All of its impact on the safety of pedestrians and this data is more reliable if it has been assem- NMVs. bled by a centralized and standardized body such as a road safety council. 17.3.2 Mitigation The provision of rest areas on heavily trav- eled highways is also important for ensuring Health the safety of all road users. These allow drivers Measures to mitigate negative impacts on wa- to leave the busy road safely, rest, and use toi- ter quality and disease transmission are similar let facilities. Rest areas are also an excellent to the preventive measures discussed earlier in place for drivers to check the condition of their 171 ROADS AND THE ENVIRONMENT: A HANDBOOK vehicles. Frequent checks are especially im- Analysis of alternatives portant for trucks, since a brake failure or tire Consider safety and health consequences, and blowout on a large truck can be extremely dan- whether a parallel awareness program would gerous, and potentially fatal, for other users of be necessary with each alternative alignment the road. Consider using accident blackspot remedial Road users who are involved in a dispro- measures as an element of road improvement portionate number of accidents, such as pedes- projects. trians and non-motorized vehicles, should be included in special safety programs which Mitigation plan teach people proper traffic safety, and funds Review design standards and the need for should be provided for new physical road training in safety-conscious design principles. safety features to protect them. Take adequate precautions to prevent the spread of disease and promote health aware- 17.3.3 Compensation ness. Individuals who have contracted a disease, been injured, or died as a result of contact with Environmental specifications for contractors a road project cannot receive adequate com- These should cover correct practices for instal- pensation. Instead, compensation should bene- lation of safety features such as guardrails, cul- fit the entire community. For example, the vert end-walls, and road signs, as well as traffic provision or improvement of community health safety requirements for the operation of work services could compensate for the increased zones and construction traffic. Enforce 'good risks associated with living on or near a road. housekeeping' practices on work sites and in crew camps. 17.4 AVOIDING IMPACTS ON HUMAN HEALTH AND SAFETY: Legislation, policies and national programs AN ACTION CHECKLIST Laws, regulations, and enforcement related to speed, alcohol, and vehicle safety should be re- degradecth heath adsety o loasident viewed, beginning with those aspects under the ifgrdeveloped orh manad inetyorrectly. residents direct control of the road agency directly re- if developed or managed incorrectly. This sec- spnil fo h odpoet(o xml tion highlights the more important steps in the sponsible for the road project (for example EA process which consider and incorporate speed zoning, road signs). In the long term, lEAt process safet considerns anrad irporang road safety programs, policies, regulations, and health and safety concers in road planning priorities need to be coordinated with other and development. agencies in the framework of comprehensive Baseline data and potential impacts safety action plans. Nation-wide awareness Accident data and geographic distribution of campaigns about the threat of communicable communicable diseases should be reviewed and vector-borne diseases associated with a and analyzed to predict and identify trends, more mobile population should be imple- hazardous locations, and groups at greatest mented. Legislation can be used to control air risk. Health and safety problems are not the and water contamination by contractors in par- same in all countries, and particular attention ticular. Hygiene and health education could should be given to local accident experience, become part of local school curricula. and incidence of certain diseases. 17.5 REFERENCES AND BIBLIOGRAPHY Carlson, G. and K.O. Hedman. 1990. A Systematic Approach to Road Safety in Developing Countries. NU63 Report Washington, DC: The World Bank. Clapham, Wentworth B, Jr. 1981. Human Ecosystems. New York, NY: Macmillan Publishing Co., Inc. Department of Transport (UK). 1986. Accident Investigation Manual. London: Department of Transport. Department of Transport (UK). Traffic Signs Manual. (Published Chapter by Chapter). London: HMSO. 172 IMPACTS ON HUMAN HEALTH AND SAFETY Economic Commission for Africa. 1991. Proceedings of the Second African Road Safety Congress in Addis Ababa, 16- 20 October, 1989. Oslo: Institute of Transport Economics. Federal Highway Administration (FHWA). 1982. Synthesis of Safety Research Related to Traffic Control and Roadway Elements. Two volumes. Report No. FHWA TS-82-833. Washington, DC: DOT/FHWA. Heggie, Ian G. 1987. Transport and Environment: A Review of Current Policies and Procedures. Discussion paper, Transportation Issue Series, Report No. TRP6. Washington, DC: World Bank. The Institute of Highways and Transportation. 1991. Urban Safety Management. London: The Institute of Highways and Transportation. The Institute of Highways and Transportation. 1990. Guidelines for: The Safety Audit of Highways. London: The Institute of Highways and Transportation. The Institute of Highways and Transportation. 1990. Highway Safety Guidelines: Accident Reduction and Prevention - International Edition. London: The Institute of Highways and Transportation. The International Bank for Reconstruction and Development. 1996. Sustainable Transportation: Priorities for Policy Reform. Washington, DC: The World Bank. Kenya National Road Safety Council. 1990. Manual on Accident Prevention Using Low-cost Engineering Countermeasures. Nairobi: Ministry of Public Works; Finland: Ministry of Foreign Affairs. Lee, James A. 1985. The Environment, Public Health, and Human Ecology: Considerations for Economic Development. Baltimore: The Johns Hopkins University Press (for the World Bank). Listori, James A. 1995. Environmental health in Africa - A Detailed Look at Sub-Saharan Infrasructure Projects, 1984- 1994. Washington DC: World Bank. Local Authority Association (UK). 1989. Road Safety: Code of Good Practice. London: Association of Country Councils. National Association of Australian State Road Authorities (NAASRA). 1988. Guide to Traffic Engineering Practice: Part 4 - Road Crashes. Sydney: NAASRA. Organization for Economic Cooperation and Development. 1990. Integrated safety management in urban areas. Paris: OECD. Organization for Economic Cooperation and Development. 1979. Traffic Safety in Residential Areas. Paris: OECD. Organization for Economic Cooperation and Development. 1977. Hazardous Road Locations: Identification and Countermeasures. Paris: OECD. PADECO Co., Ltd. 1995. Non-Motorized Vehicles in Ten Asian Cities: Trends, Issues, and Policies. Report TWU2O. Washington, DC: World Bank. PADECO Co., Ltd. 1993. Non-Motorized Vehicles in Asian Cities, Part II, Technical Guidelines; Final Report. Washington, DC: World Bank. The Swedish Road Safety Office. 1987. Report No. 3: Traffic Education and Traffic Environment. Borlange: Swedish National Roads Administration. The Swedish Traffic Safety Group. 1983. Road Safety in Developing Countries. Stockholm: SVTI/SWEROAD/ SWECO. Southern Africa Transport and Communication Commission (SATCC). 1987. Organizing Road Safety Work in Southern Africa. Oslo: The Institute of Transport Economics. Transport and Road Research Laboratory. 1989. Microcomputer Accident Analysis Package. Crowthome: Overseas Unit Leaflet, Transport and Road Research Laboratory. Transport and Road Research Laboratory, Overseas Development Administration. 1991. Towards Safer Roads in Developing Countries. A Guide for Planners and Engineers. Crowthorne: Transport and Road Research Laboratory. World Health Organization. 1989. New Approaches to Improve Road Safety. WHO Technical Report 781b. Geneva: WHO. 173 18. Environmentally sound construction and facility management practices HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping Proponent Concept Consultation Key regulatory agenicy Pre-feasibility Determining baseline conditions Other government dtvaaion Feasibilitv Selection of preferred solution NGOs Assessment of alternative designs/methods Research groups I onstructionI Development of environimental managemenit plan Public/community organizations Llo lit & maintenance Effects and compliance monitoring Advisory experts Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter; (B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: * What are the major road construction activities that can lead to po- tentially serious impacts? H What are some useful actions that can be planned to prevent con- struction impacts from occurring? , How should environmental clauses in construction and facility management contracts be prepared? E What are some key environmental risks associated with road projects, and how can they be avoided? ROADS AND THE ENVIRONMENT: A HANDBOOK Direct impacts of road projects can often be construction, their likely impacts on the envi- significantly reduced and sometimes elimi- ronment and suggested mitigative measures nated through the application of environmen- are presented in this section of the chapter. It is tally sound construction and operations clear from Table 18.1 that implementation of management practices. For such actions to oc- mitigative measures during the project con- cur, two basic conditions need to be in place: struction phase will yield the greatest benefits. i) a knowledgeable construction and opera- Construction camp establishment tions management team, which is sensitive Construction camps indude workers' lving to environmental issues; and ta enaingr . environent whr re and eating areas, and the grounds where iiagensabnd goveronment planners lk fory eqluipment is stored and serviced and where andgencisrand goveffiesount resourceruse. lmaterials are stockpiled. Careless construction and encourage sound resource use. camp design and management can lead to seri- This chapter discusses environmentally ous environmental degradation including sound construction practices, as they apply to ne,rehabilitation and maintenance road proj- * sewage and garbage pollution; new, Reation and ref e to the * depletion of fauna and flora through illegal ects. Readers should refer to the technical harvesting (poaching); chapters (Chapters 7-17) for information on infrasting oahing); specific impact areas. * infrastructure overloading-health services, Knowing at which stages specific types of sewage treatment, schooling and law en- impacts are likely to occur, and the best time to forcement; and apply corresponding measures to deal with _ spills from construction equipment operation them, is crucial to the effective limitation of and servicing. negative impacts. Table 18.1 outlines the major Traffic disruptions may also be created by impact areas and the relative efficency of carelessly planned detours and road closures. dealing with them at certain project phases. In some agricultural areas, closures can create additional problems during harvest seasons. 18.1 NEW CONSTRUCTION PROJECTS The temporary settlements built for construc- tion workers can have significant impacts 18.1.1 Settings and impacts (some positive) on local economic activities and The main project activities associated with road resources. For major projects, work-site ac- commodations are often like makeshift towns, TABLE 18.1 BENEFITS GAINED FROM IMPLEMENTING MITIGATIVE MEASURES AT THREE KEY PROJECT DEVELOPMENT STAGES Development stage Component of the Rehabilitation Added value of environment Construction and maintenance operational changes Soil and erosion .+. ++ + Water .+. ++ ++ Air quality ++ + +++ Natural enviromnent .+. ++ ++ Community life and economic activities ++ ++ +.+ Land acquAisition and resettlement +++ + Indigenous or traditional peoples +.+ + ++ Cultural heritage .+. + + Aesthetics and landscapes +.+ + Noise ++ ++ ... Road safety ++ ++ ... Envirornental health +++ +++ +.+ Note: +.+ Excellent gains for resources expended. ++ Good cost efficiency. + Limnited cost efficiency. 176 ENVIRONMENTALLY SOUND CONSTRUCTION AND FACILITY MANAGEMENT PRACTICES usually autonomous and difficult to integrate water table to drop, disturbing the supply of into the surrounding social environment. water to nearby wells and modifying water availability to vegetation. In steep terrain, ma- Equipment servicing andfueling terial taken from cuts is often simply pushed On large road projects, thousands of liters of over the edge of the road bed, sometimes trav- diesel fuel and many other petroleum products eling hundreds of meters downslope, and in so are transported and used throughout the work doing permanently destroys trees and stream site each day. Experience shows that, without a channels in the valleys below. Road projects fueling and servicing protocol as part of the around the world are replete with examples of project's Environmental Management Plan (see how not to undertake earthwork activity. Con- Section 4.8), chronic oil product pollution often struction machinery moving around the right- takes place, leading to the contamination of of-way can create soil compaction, which may surface and ground water. This is of particular harm the soil's future potential as farmland, concern where road projects involve crossing impair drainage, and increase the risk of rivers and streams, since the construction ac- flooding. Slope protection and roadside plant- tivity sometimes takes place in and over the ing measures are illustrated in Figures 18.1 and water body. If such waters are used for fishing 18.2, and are discussed further in Section 18.1.2 or aquaculture, fish tainting can become a seri- and in Chapter 7. ous problem. Designated fueling areas and servicing centers significantly reduce this po- Quarries and borrow sites tential impact. Construction equipment gener- These facilities, which are the sources for road- ates large amounts of waste oil, and its proper building materials, can have substantial envi- handling is critical, since haphazard storage ronmental impacts on soils, water, and the and leakage can result in the contamination of natural environment. Significant environmental groundwater aquifers. problems can develop if these sites are not re- habilitated. Impacts range from chronic erosion Site preparation and clearing and siltation to air quality and noise impacts Site preparation may involve demolition of during their use, as well as permanent visual buildings, clearing of brushwood, tree removal, and aesthetic intrusion if rehabilitation is ne- temporary rerouting of utilities, topsoil strip- glected. ping, and diversion or rechanneling of water- ways. This brings risks of erosion of exposed FIGURE i8.1 ground or stored topsoil, and increased water RELATIONSHIP OF GOOD ENVIRONMENTAL PLANNING AND runoff and siltation of watercourses. The use of MAINTENANCE PHASE herbicides to eliminate vegetation on the right- of-way is a potential source of contamination. (A) Eroston occursdue toincoectsha*ofShesubgrdeandhefaiuretoplan The use of heavy equipment on steep slopes to clear construction corridors can result in seri- (B)kcorrect shaping ofthespgradtca Tcopta,pant coveage ndthe InstallatIon of cha nneihi heip prevent eroin Takn the uwiro4wnent Into cOn- ous compaction and erosion problems. sideration ds subsequent pavment maintenwce costs Earthworks The removal and placement of earth can bring further risks of soil erosion. Alignments through the upper parts of watersheds often encroach on groundwater aquifers, sometimes seriously affecting local groundwater recharge, C J i . * m well-water supply, and quality. Excavation that cuts into an aquifer, for example, can cause the 177 ROADS AND THE ENVIRONMENT: A HANDBOOK FIGURE 18.2 lution, disrupting the ecosystem and contrib- DIFFERENT TECHNIQUES FOR SLOPE VEGETATION uting to local (and sometimes much broader) RENEWAL health problems. The inclusion of these con'sid- erations in the EMP and the implementation of a waste management plan usually minimize this potentially costly impact 18.1.2 Remedial measures Impact avoidance, mitigation, and compensa- tion options are discussed for three stages of the construction process: a) preparing the con- A basictedniqwue. A sophisticated technkiue: struction site; b) managing the construction ac- altemate rows of laying of sod ove a la tivity; and c) restoring the site after completion herbaceous plants of top soil of the road work. Asphalt plant siting and operation Preparing the construction site Many potential impacts may be avoided by On larger projects, a temporary bitumen pro- taking preventive measures when setting up a duction plant or concrete batch plant is often wokite. Careful sitn of bw pi setock constructed along the road right-of-way. Siting wplg areas, work depots, and work camps can of these facilities should reflect the sensitivity piling areas, re d wor and n of the area, and operation should not take place avoid sensitive areas, reduce air and noise before site-specific limits have been established. pollution, miniize visual intrusion, and help Serious air, noise and water polution can easily to prevent local traffic congestion. Confining occur if this impact is not identified and if ef- the handlin and use of hazardous materials at fective preventive measures are not taken, the construction site can go a long way in re- ducing the risks of accidental spills. Drainage works Roads, as linear engineering features, often agement of construction activity and modify water flow and drainage patterns over workforce wide areas, causingisingwaerlevelConstruction activities that can contribute to se- wide areas, causing rising water levels, exces- rious environmental degradation include acci- sive drying, erosion and vegetation die-off. An denvirspills, understanding of.hydrogeologyanddr e dental spis, compaction of the area, poor understanding of hydrogeology and drainage waste hreatment or management, and inade- patterns in the watersheds to be crossed, and of qate localies (u asaweenforcem th- lcmn fdanaesrcue uha quate local services (such as law enforcement) the placement of drainage structures such as t upr h nlxo osrcinwres culverts and porous materials, plus considera- Well thought-out environmental constuction tion of where cuts and fills have the least det- gel (usually cntirnmedti ansEr)can rimetal ffecs, cn goa log wa 'm guidehnes (usually contained in an EMP) can rnmental effects, can go a long way in effectively prevent these irnpacts. alleviating serious and chronic drainage prob- y p n e p lems. The cost of ignoring or reducing efforts in Measures to prevent erosion are of major importance during the work phase, and can in- this area can be exceedingly high later on dur- clude ing the construction phase, or during the oper- ating life of the road. * planting on cleared areas and slopes inune- diately after equipment belonging to a spe- Waste management cific site has been moved, and reusing Construction crews, which on larger projects stripped topsoil; can exceed 1,000 people at any one time, may * temporarily covering the soil with mulch or generate up to 3,000 kilograms of solid waste fast-growing vegetation; per day, and liquid wastes (sewage) of up to * intercepting and slowing water runoff; and 60,000 iters per day. Uncontrolled and un- * protecting slopes by using reshaping tech- treated, these wastes are major sources of pol- niques, rock fill, and other methods. 178 ENVIRONMENTALLY SOUND CONSTRUCTION AND FACILITY MANAGEMENT PRACTICES Dust problems can be avoided by watering' during extreme meteorological events such as the site, following a predetermined schedule high winds or rainstorms (monsoon weather). and as required. Construction noise problems can be minimized by using well-maintained Constnrction site rehabilitation and "silenced" equipment, operating within Site rehabilitation requires a well-designed existing noise control regulations and limiting planting program utilizing native vegetation work hours near residential areas. Traffic con- where possible, with follow-up maintenance trol for both construction vehicles and diverted over several years and repairs as required. traffic should minimize impacts across the en- Quarries and large borrow sites can be land- tire affected area. scaped and developed for a variety of natural, Pollution from chemical products can be economic, or recreational uses. Work site facili- limited by following recommended procedures ties, such as wells, water storage, sewer sys- for containing and confining their use (e.g. bi- tems, and buildings, are sometimes converted tumen production) and by not using them for local use upon completion of a project. TABLE 18.2 CONSTRUCTION: MITIGATIVE MEASURES Theme Observation Soils * choose the best work period to limit risks of erosion -avoid rainy season * create a specific stockpile for topsoil to be reused * plan dialogue with local authorities for use of excess soil Water * do not locate site installations or production plants in sensitive places (e.g. near drinking water intakes) * provide a used motor oil recovery system * avoid water accumulation points, casual water from empty containers, old tires, etc., which act as mosquito breeding areas, i.e. provide good temporary drainage of site * provide sufficient settling for pollution from particles Air, noise a during work execution, noise impacts can be limited by using quiet equipment, installing temporary barriers or screens, and by working during regular business hours * limit dust with a sprinkler system * be careful when setting off explosives that can cause vibration damage Flora and * Iimit clearing to surfaces absolutely necessary for the road project fauna * control poaching and firewood collection by workers Population, * maintain access during work execution economic activities * enclose the work site with fencing for safety (especially to keep children away from heavy machinery) * plan specific itineraries for site machinery traffic * define traffic rules encouraging contractors to respect highway regulations Risks * plan emergency procedures in case of accidents, or spills of pollutants * define safety rules for work site personnel -dangerous materials handling, fires, etc. Environmental features of road projects vary considerably, so common sense and inge- I In the past, waste oil was used as a cheap dust suppres- nuity must be employed when examining each sion material until road rnanagers realized that runoff con- one. Environental protechon measures taminated with waste oil affects the quality of local potable surface and groundwater water supplies, and reduces the should be included in the specifications to the health of local livestock. Rehabilitation costs are extremely contractors, and may require special briefing or high and often unsatisfactory. Waste oils should not be on-site training. used for dust suppression. 179 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 18.1 EXAMPLES OF SIMPLE ENVIRONMENTAL CLAUSES IN CONTRACT SPECIFICATIONS Installation of work site The contractor shall submit the work site for inspection and shall define the facilities to be created. The contractor shall limit disturbances to the environment for the site selected and for residents in the immediate vicinity, both in surface (clearing of brush or trees, water flow, waste storage) and in depth (rupture or pollution of ground water). The contractor shall execute, upon work completion, all work necessary to restore the site. The inspector shall write up a report outlining the site reclamation prior to official delivery. Preparation and supply of quarry material During the work phase, the contractor shall * preserve trees during materials stockpiling; * level stripped materials to facilitate water percolation and make natural grass planting possible; * restore the natural flow to its previous state; and * create runoff recovery ditches and conserve access ramps, if the quarry is declared fit for use as a watering point for livestock or residents. The contractor shall, upon work completion and at own expense, restore the environment around the site. A report will be submitted by the inspector certifying that such site restoration work has been completed. Tree planting The contractor shall plant trees at locations defined by the inspector, provide the recommended protection (clay brick wall, fencing, etc.), supply the required water and if necessary replace dead trees. The contractor shall provide complete maintenance for a period of one year after planting, including: watering, cleaning out the bed at the foot of the tree, etc. The number of trees planted, along with the execution of protection and the digging of beds at the foot of the trees, will be noted down by the inspector on the site records. This record will be used at the official delivery to evaluate the services actually rendered. Once road maintenance work has been completed, the contractor shall indicate on the itinerary map the planting carried out (position, number). Table 18.2 organizes mitigative measures are performed at least weekly, if not more by theme, and Box 18.1 provides some simple frequently. examples of contract clauses. These are dealt Periodic maintenance activities are typically with in greater detail later in this chapter. scheduled over periods of several years and include resurfacing and bridge repairs. 18.2 MAINTENANCE AND Other maintenance activities considered to REHABILITATION (M & R) be periodic include seasonal maintenance, PROJECTS such as snow clearing and flood repairs, In many countries, an increasing share of land emergency maintenance to reinstate roads transportation budgets is being allocated to re- after major failures, and the regular upkeep habilitation and maintenance of existing roads, of safety features and road signs. rather than going toward new road construc- Rehabilitation involves more substantial in- tion. This section summarizes some of the envi- tervention to strengthen a road, repair ronrmental issues which may accompany these structural defects, and restore the road to projects and broadly, how they can be miti- its initial condition, often after it has dete- gated. riorated to an unmaintainable state. Reha- bilitation sometimes also includes changes 18.2.1 Defining maintenance and or improvements to previous characteris- rehabilitation tics; for instance, by widening, making Routine maintenance refers to activities such as small alignment changes, or providing grading, grass cutting, drain clearing, pot- footpaths. hole patching, and shoulder repairs, which 180 ENVIRONMENTALLY SOUND CONSTRUCTION AND FACILITY MANAGEMENT PRACTICES 18.2.2 Setting and impacts iv) displacement of existing dwellings and As with other road construction activities, road businesses resulting from shoulder im- maintenance and rehabilitation works can con- provements and widenings. tribute to soil erosion, disturbance of water Erosion, flooding, road accidents, traffic flows, chemical pollution, traffic disruption, noise, and deteriorating landscape quality are noise, and other impacts on surrounding com- examples of environmental impacts which may munities and natural life (Table 18.3). These are be commonly avoided by timely maintenance discussed in the previous section dealing with actions. An example of good management of construction and off-site activities, and in ear- runoff water is illustrated in Figure 18.1. hier sections on specific impact types. Four is- Grass and other roadside vegetation pro- sues especially relevant to this section are: vide erosion protection by slowing flow and i) chemical pollution caused by herbicides trapping suspended matter. Too much vegeta- used for weed control, the application of tion can be a safety and fire hazard. salt used in winter maintenance, and In some intensively farmed agricultural ar- chemicals used in pavement stripping and eas, roadside environments provide important resurfacing; habitats for local wild plant and animal species. ii) waste materials from drain clearing, pave- These can be preserved and enriched through ment reconstruction, and other activities appropriate maintenance actions. Maintenance disfiguring the landscape and finding their work can also generate positive impacts by way into waterways; eliminating or reducing environmental prob- iii) safety of road workers and other road us- lems caused by the deterioration of road sur- ers, sometimes put at risk by inadequate faces, drains, and shoulders. traffic management and work zone con- trols; and TABLE 18.3 EFFECTS OF MAINTENANCE ACTMTIES ON THE BIOPHYSICAL AND SOCIOECONOMIC ENVIRONMENT Local Soil Water Biota population Paved roads Surface dressing moderate none moderate none (wearing course) General reshaping moderate moderate moderate moderate of shoulders Complete resurfacing moderate moderate moderate moderate of shoulder Unpaved roads General resurfacing of moderate moderate significant moderate wearing course Reshaping of sub-grade significant moderate significant significant and reconstruction of wearing course Maintenance actions common to all roads Repair of drainage structures none moderate moderate none Construction of drainage moderate moderate moderate none structures Construction of concrete lined moderate moderate moderate none ditches 181 ROADS AND THE ENVIRONMENT: A HANDBOOK 18.2.3 Mitigation i) what needs to be done; Perhaps the most important mitigative measure ii) where it needs to be done; related to maintenance and rehabilitation proj- iii) when and how the action will take place; ects is to ensure that maintenance measures, in- and cluded in the road design, operate effectively. iv) who is responsible. Protection of the biophysical environment These data can be presented in the form of a can be assisted by regular drain clearing, up- matrix table (see EMP in Appendix 2) or in a keep of vegetation on slopes and exposed sur- more narrative style (Boxes 18.2-18.4). Ideally, faces, maintenance of flow speed reduction well-prepared clauses combine the two forms, devices in drains, removal of waste materials providing a written description with details arising from road works, and avoiding the use presented in a table. of herbicides and other toxic or polluting sub- The overriding characteristic of an envi- stances. ronmental clause should be that it is prescrip- Impacts on the community and social envi- tive, precisely defining what needs to be done ronment can be mitigated through well- and what the deadline is, leaving little room for designed traffic management plans, the use of misinterpretation. Ideally, environmental man- quiet equipment, operating during daily peri- agement plans (EMPs) should contain all the ods of high ambient noise (see Chapter 16), and basic materials from which environmental focusing attention on improvements in the clauses can easily be created. In fact, EMPs can quality of signs, guardrails, footpaths, and be attached to contracts as binding imple- other features which contribute to safety and mentable tasks. local accessibility. Finally, the usefulness of environmental Environmental "hot-spots' or problem lo- clauses in contracts will only be as good as the cations, such as easily-eroded sites or notori- technical capacity and environmental sensitiv- ously unstable slopes, can be identified during ity of the people assigned to implement the ac- the VEC identification step and during the exe- tions. Therefore, the investigation of cution of rehabilitation and maintenance contractors' and operators' past environmental works. record and experience should be another es- Experts in roadside vegetation, traffic man- sential step in environmentally-sound project agement, and transportation safety should management. monitor maintenance activities to ensure that work practices meet environmental objectives. 18.4 ENVIRONMENTAL RISK Understanding the functions and techniques of roadside planting, signs, and guardrails is im- 18.4.1 The failure of mitigative measures portant for their proper functioning. Training road crews in these issues can help them con- The failure of environmental mitigation can re- siderably in correctly executing and managing sult in serious impacts such as erosion, lowered maintenance works, water tables, permanent loss of wildlife, com- munity severance, increased road accidents, 18.3 THE IMPLEMENTATION OF and disruption of indigenous lifestyles. ENVIRONMENTAL REQUIREMENTS Construction of a road also involves occu- Envirounmental requirements left as statements pational health and safety risks to road work- ers, primarily in the areas of the storage and in an EA will rarely be implemented, unless lo- hadigodnerumtral,ndnte cal regulations specifically identify EAs as le- gally binding documents. Implementation of operation of heavy machinery close to traffic, environmental requirements can be ensured by slopes, power lines, and watercourses. Some either attaching the EA report as a legal condi- specific examples are: tion to all contract documents or by preparing a * exposure to dust particles or toxic fumes set of environmental clauses to be placed di- from chemicals used in road works and rectly into the contract documentation. materials testing; Each environmental clause should contain * exposure to lead paint in maintenance of old at least four pieces of information specifying: steel structures; 182 ENVIRONMENTALLY SOUND CONSTRUCTION AND FACILITY MANAGEMENT PRACTICES * potential for collapse of trenches and scaf- 17), which can seriously affect the regional eco- folding; and system. * risk of accidents involving passing traffic. Natural disasters can damage a road and Daily operation of road construction re- its environment, or, conversely, a road can be a quires the transportation of hazardous materi- factor in mitigating the impacts of a disaster. als which, if an accident occurs, can spill, Examples include: resulting in polluted ground water, streams * fire spreading along a road reserve, yet un- and drinking water, as well as contaminated able to cross a wide road; soil. * floods washing away a road, yet being Roads can also be the vector for involun- somewhat contained by the road embank- tary transport of diseases or parasites by vehi- ments; cles, plants animals and people (see Chapter * road embankments stabilizing a slope sub- BOX 18.2 EXAMPLE CONTRACT CLAUSES FOR USE IN ROAD MAINTENANCE STUDIES Documents to be submitted by the consultant The maintenance works study document shall include the route plans, with the physical, geometric and geotechnical data, and the structures and drainage systems; the following complementary information on the road environment shall be specified in it Road environment data: Indication of land areas reserved for villages, classified sites, and wooded areas; existing tree plantations and areas suitable for such plantations; existing quarries and borrow pits (location, depth, surface area, water retention issues, site to be improved); positions of existing side and diverging ditches; areas suitable for construction of diverging ditches or laying-up basins. Data on the state of the road and its deterioration: Location of eroded areas along the road: slopes, ditches, and approaches to structures; location of drainage areas which have become silted up; general state of struc- tures; erosion or siltation of watercourses. Special clause: Preparation of the content of the priced bill of quantities The consultant shall establish the preliminary estimates of quantities and prepare the special conditions by (a) separating the opening and closing of quarries and borrow pits from the haulage and application of the materials; and (b) including the cost of a diverging ditch and, if necessary, a laying-up basin. The text that the consultant must include in the works contract is shown in italics. Price no. x Preparation of materials at quarry or pit. The preparation of gravel materials at the quarry or pit (stripping, bulking, and piling) and the restoration of the pit site to its original state upon completion of the works shall comprise the following operations, remunerated at the price no. x: *.. * storage of the stripped material where it will not disrupt water drainage • restoration of the natural site around the pit by spreading out the heaps Price no. xx Reshaping/compacting with the addition of materials. The operations of loading at the pit, transportation (optional, because a transport price per tonne per kilometer can also be set) and application (reshaping, moistening, com- pacting) shall be remunerated at price no. xx, the quantities being measured after compacting. The consultant shall specify the volume of material, its position on the road, the final thickness and the source. Price no. xxx Construction of diverging ditches. The price xxx shall remunerate the construction of diverging ditches de- signed to drain runofffrom the roadway to a point where it will no longer be likely to cause erosion harmful to the road or to the environment. This price will be paid per lineal meter. The consultant shall define these diverging ditches by specifying their location along the road, technical characteristics, planned length, and minimum lengthwise slope. The consultant shall also propose diverging ditches that will enable flooding of old pits. Price no. xxxx Construction of laying-up basins. The price xxxx shall remunerate the construction of diverging ditches designed to carry runofffrom the roadway to an old pit. This price shall be paid per lineal meter. The consultant shall propose construction of the laying-up basins wherever the natural site is suitable, avoiding tree cutting. The consultant shall specify the dimensions, volume, and location of the basin with respect to the road and stipu- lations regarding protection of the environment. 183 ROADS AND THE ENVIRONMENT: A HANDBOOK BOX 18.3 EXAMPLE CONTRACT CLAUSES FOR USE IN ROAD MAINTENANCE SUPERVISION CONTRACTS Article ... records to be kept by the consultant responsible for supervision The consultant responsible for supervision shall keep the following records: site report; route report updated to re- cord work done; and proposals with a view to future studies. Site report. A monthly report on execution of the works shall be submitted by the consultant and shall summa- rize information regarding environmental improvements effected by the work performed during the month: steps taken by the contractor to preserve the environment and improvements observed upon closing down the site; trees planted (location, number, method of protection, maintenance, monitoring); data on quarries and borrow pits used (location, area, depth, improvements made); length of diverging ditches (partial and cumulative for all new and old ditches); position and volume of laying-up basins constructed; position of strengthening works carried out on approaches to structures. Updating of route plans. The supervisor shall update the route plans, on which shall be shown all environ- mental data reported in the monthly reports, specifically: location of tree plantations; locations of quarries and pits used, with updated characteristics of each; location of diverging ditches; state of structures after sand re- moval upstream and downstream; location, type, and number of anti-erosion devices in the drainage system. Proposals with a view tofuture maintenance studies. Once the work is completed, the supervisor shall propose, for the road sections covered, specific arrangements with a view to studying the subsequent maintenance pro- gram. These proposals shall cover: improvement of the contract environmental clauses; special features of the road environment; urgent tasks to be undertaken to improve the environment; and any comments of supple- mentary data regarding the state of quarries, pits, and drainage. Special clauses Article ... Supervision of utilization of quarries and borrwv pits. The supervisor shall ensure proper utilization, by the contractor, of the quarries and pits designated by the detailed design with the aim of lessening the impact on the environment. * Preparation of materials in the quarry or pit. The supervisor shall designate trees to be protected and oversee storage of stripped material where it will not hinder water drainage; the supervisor shall oversee restoration to a natural state, including spreading of stored stripped material to facilitate water percolation and natural re- plant growth. * Volume of stocks of material stored in each quarry or pit. Article ... Supervision of the construction and maintenance of drainage works. The supervisor shall specify location and technical detail of drainage works and debris placement. * Construction of diverging ditches * Construction of laying-up basins * Cleansing of side ditches, diverging ditches, and summit slope and foot slope ditches. Article ... Tree planting. The supervisor shall instruct the contractor where trees are to be planted and the type of protection to be provided. The supervisor shall ensure that the contractor makes provision for the water needed for the trees to grow, and promptly replaces any dead trees. The supervisor shall draw up a report stating the number and good condition of the plantings at the time of final acceptance. ject to landslides, falling rocks, or ava- * strengthening staff skills and training in en- lanches; and vironmental management; * access roads and traffic management plans * ensuring management support for environ- specifically tailored to disaster response mental policies and action plans; needs. * monitoring environmental actions and re- sponsibilities and making provision for re- 18.4.2 Mitigating environmental risk medial actions; and The risk of failure of environmental mitigative * planning for remedial measures in case ini- measures is always a possibility which should tial planned actions are not successful. be considered, but it can be reduced to some Yet failures are still possible. For example, extent through soil erosion may still occur even after preven- 184 ENVIRONMENTALLY SOUND CONSTRUCTION AND FACILITY MANAGEMENT PRACTICES BOX 18.4 EXAMPLE CONTRACT CLAUSES FOR USE WITH ROAD MAINTENANCE WORKS CONTRACTS Special clauses Article ... Work-site installations. The contractor shall propose to the supervisor the location of work site in- stallations and detail proposed measures to reduce impacts on the environment of these sites and the people living in the immediate vicinity, as regards both the surface area used (clearing, brush and tree removal, drainage, trash dumping) and underground impacts (disruption or pollution of the water table). On com- pletion of the work, the contractor shall do everything necessary to restore the sites to their original state. The supervisor shall draw up a report confirming the restoration before acceptance of the works. Article ... Preparation and supply of gravel materials in pit or quarry. During works execution, the contractor shall ensure: preservation of trees during piling of materials; spreading of stripped material to facilitate water percolation and allow natural vegetation growth; re-establishment of previous natural drainage flows; improvement of site appearance; digging of ditches to collect runoff; and maintenance of ramps where a pit or quarry is declared a usable water source for livestock or people living nearby. Once the works are com- pleted, and at own expense, the contractor shall restore the environment around the work site to its original state. The supervisor shall provide the contractor with a report confirming the restoration before acceptance of the works. Article ... Cleaning of side ditches, diverging ditches, and summit slope or foot slope ditches. Debris shall be dumped upstream of the ditch at a sufficient distance from the roadside and spread with a counterslope, with respect to the ditch, to prevent surface water runoff from being polluted with fine materials. Article ... Tree planting. The contractor shall plant trees in the locations fixed by the supervisor, with protection as specified (mud, brick walls, wire netting, etc.) and provision of the necessary water, and shall also remove any dead trees. The contractor shall take care of all required maintenance for one year from the time of planting, including watering, cleaning the area at the base of the tree, and maintaining protection in good condition. The number of trees planted with the installation of protection and the digging of a basin at the base of the tree shall be entered by the supervisor in the site record. This record will be the basis for payment for work actually done at the time of final acceptance. When the road maintenance is completed, the contractor shall enter the plantings made (position, number) on the route plan. Article ... Documents to be furnished by the contractor. Upon completion of works the contractor shall pro- vide the route plan with the work performed marked on it and also showing the environmental improve- ments made (description, location, numbers). Priced bill of quantities (details as specified in Box 18.2) Price no. x Preparation of materials in quarry or pit. Price no. xx Reshaping/compacting with application of materials. Price no. xxx Digging of diverging ditches. Price no. xxxx Construction of laying-up basins. tive measures have been included in the road struction guidelines. Specific requirements and construction program. This failure may be due training may be needed to to a lack of technical expertise or simple negli- lmit time of exposure to dust particles, gence. These risks need to be understood and chemicals, and noise; anticipated, through the identification and re- - enhance safety and inspection procedures; pair of weaknesses in the environmental man- and agement plan. * improve safe handhng of toxic materials, ex- Occupational health and safety risks of imrvsaehnlgoftxcaeil,e- Occupational~~~~ ~ helt an.aeyrsso plosives, and other hazardous substances. road works can be hlmited by clearly defining procedures for handling materials, conducting The contractor's responsibilities to workers tests, paving, operating heavy equipment, and and the environment may be identified during constructing trenches. These are sometimes de- pre-bid conferences, to ensure that potential fined in laws and regulations and, in an EA, are bidders are aware of contract requirements and contained in the EMP as the environmental con- can submit proposals which adequately ad- 185 ROADS AND THE ENVIRONMENT: A HANDBOOK dress the necessary tasks and their costs. This Natural disaster mitigation has two aspects of can minimize the likelihood of contractor de- interest to road managers: faults. i) It should take into account possible rare Transport of hazardous matenals needs to be disaster events and incorporate steps to regulated and monitored, with possible re- minimize their impacts. Firebreaks, fire ac- strictions on routes and time of travel to cess roads, avalanche control measures, avoid the most populated places and busi- and flood reduction measures such as est times. The clear marking of vehicles as floodways and spillways, are examples of to the type of material carried also reduces design features commonly used to mitigate the risk of major spill damage by facilitat- known problems which affect particular ing effective clean up. Many road agencies routes. develop policies on hazardous goods ii) It should involve the road agency to ensure movement, with specified transport re- that key roads can be kept open or re- strictions, requirements on containers and opened as quickly as possible, and that traf- labels, and special permits and police es- fic diversion can be implemented as corts for particularly hazardous materials. needed. Simple recording of disaster re- Involuntary transport of diseases or parasites is sponse measures and responsibilities, and generally managed by signs and check- regular training and dissemination are im- points which restrict the transport of con- portant to the success of disaster mitiga- taminated fruits or other plant materials tion. and livestock in areas affected by specific plant or animal disease problems. 18.5 REFERENCES AND BIBLIOGRAPHY Asian Development Bank. 1990. Environmental Guidelinesfor Selected Infrastructure Projects. Cete Ouest. 1984. "Impact of Road Works on the Environment' (in French). Nantes, France. France, Ministry of Cooperation. 1992. "Roads in Tropical and Desert Zones" (in French, 3 volumes). Paris: BCEOM, CEBTP. Ontario Ministry of Natural Resources. 1990. Environmental Guidelines for Access Roads and Water Crossings. To- ronto: Queen's Printer and Publications Ontario Sinha, K.C. et al. 1991. Environmental Assessment of Land Transport Construction and Maintenance. (Draft prepared for World Bank Infrastructure and Urban Development Department). Washington, DC. Tarrer, A.R. 1993. "Impacts of Environmental Regulations on Highway Maintenance." Transportation Research News 167. Washington, DC: Transportation Research Board. United Nations. 1982. Road Maintenance Manual. Vol. 1: Maintenance of facilities, drainage structures and signs. Vol. 2: Maintenance of unpaved roads. Cologne, Germany: Economic Commission for Africa, BCEOM, LCPC, CEBTP. US Department of Labor. 1991. Construction Industry Digest. Washington, DC: Occupational Safety and Health Administration. 186 19. Economic valuation of the impacts of road projects on the environment HOW TO USE THIS CHAPTER IN THE CONTEXT OF EA AND ROAD PLANNING Stage in road planning EA activity Involvement in addition to EA team (A) (B) (C) Screening Scoping -311 Concept Consultation Key regulatory agency Pre-feasibilitv Determining baseline conditions Other goverrunent agencies _IM MIRMo, Selection of preferred solution NGOs I ngincering design AX-.esesn,ient ofalternative dc.ign./inithods Research groups Construction Del-clopinint of eniv roni lital nllaguille ln t pla ni il i. ii Pui cl I nu 1 It l lt Operation & naintenance I ffccts and comnpliancc nihinitoring Adl i"nlr i\peIt, Evaluation Reporting Shaded area = (A) Stages of EA covered in this chapter;(B) focus of this chapter; and (C) primary target readers. KEY QUESTIONS ADDRESSED: * What is the particular contribution of the economic valuation of en- vironmental impacts to the road planning process? | What are the key policy considerations that shape the valuation process? f What is required procedurally to enable the valuation process to be effective? H What are some of the more common techniques available to road planners for measuring the economic value of project impacts on the biophysical and social environments? ROADS AND THE ENVIRONMENT: A HANDBOOK 19.1 ECONOMIC VALUATION OF savings-in order to address the economic ENVIRONMENTAL IMPACTS (EVEI) consequences of decisions on the environmental effects of road projects. More 19.1.1 The fundamental problem specifically, this approach attaches prices to There are three basic questions the impacts imposed, and hence treats confronting the planner: environmental damage as a resource cost and environmental improvement as a resource i) Is the proposed solution to the perceived gain within a conventional cost-benefit transport problem worth pursuing? analysis framework. ii) If so, is the route selected the most beneficial taking into account all its 19.1.3 The cost-benefit evaluation format impacts? The basic approach in cost-benefit analysis is iU) Is the design, on balance, the most to measure and add together all benefits and beneficial~ ~ ~ ~~ t measure inta accun aHete all beeftsan beneficial taking into account all of its costs, irrespective of the form in which they impacts? appear or to whom they accrue, in a format Building new roads, rehabilitating existing which will be acceptable and easily under- roads, and upgrading road infrastructure all standable by decision-makers. The three most involve the use of economic resources; yet all common ways of doing this are the calculation may involve environmental side-effects in the of the net present value of a project, process of generating mobility benefits. In EA calculation of the internal rate of return, or the impacts of road development activities on calculation of the benefit-cost ratio. The nature the biophysical and socio-economic environ- and use of these indicators is described in ment are predicted and measured in physical Box 19.1. terms. The problem confronting society in general and the road planning agency in The discount rate particular is how these non-market, unpriced, Benefits and costs which arise at different effects should be taken into account in the points in time must be added together in any design and decision-making process. of the basic evaluation . The discount rate is the means of converting impacts arising over 19.1.2 Alternative institutional approaches time into a common 'present value". There are several different ways of The higher the discount rate the less confronting this problem. In some countries account is given to the future enviromnental separate economic and environmental benefits. The discount rate may be derived in a appraisals are undertaken, with the results of number of different ways. Dixon and the two (and of other issues such as social and Hufschmidt 1986 identify three: a) the opport- distributional effects) brought together in a unity-cost-of capital method; b) the cost-of- public enquiry or consultation process. No borrowing-money method; and c) the social formal weights are attached to the different rate of time preference method, which dimensions of impact and the outcome is involves relation of over-consumption at determined on the situation-specific percep- present to conservation for the future and tion of the balance of the arguments consideration of what that means in the presented. In other countries a more formal present. The dilemma facing politicians is that attempt is made to combine effects through the efficient allocation of scarce capital for all some form of multi-criterion analysis, with investments is likely to suggest higher weights which are predetermined for a discount rates than would seem to be particular period or decision category, but appropriate for planning very long life which may be altered from time to time. A investments in environmentally sound third approach, considered in this chapter, is development. In reality discount rate is, and in to attempt to establish monetary values for fact should be, chosen based on an informed unpriced environmental impacts-as is politcal decision. commonly done for the valuation of time 188 ECONOMIC VALUATION OF ENVIRONMENTAL IMPACIS BOX 19.1 ALTERNATIVE FORMATS FOR COST-BENEFIT APPRAISAL OF PROJECTS Net Present Value (NPV) The most widely used measure in project analysis is the net present value (NPV) of a project Also known as net present worth, the NW is obtained by discounting the streams of benefits and costs back to the beging of a base year at a prespecified discount rate. If budgets are unconstrained at the given discount rate the test of proj- ect acceptability is that the NPV is positive. If budgets are constrained at the specified discount rate the test of acceptability is that the ratio of net present value to capital cost exceeds a threshold determined as the minimum present value to capital cost ratio defining a set of projects just exhausting the budget Internal Rate of Return (IRR) The internal rate of return (IRR) is that discount rate which will equates the present value of benefits and costs. If budgets are unconstrained the test of project acceptability is that the IRR exceeds the cost of capital. If budgets are constrained the test of acceptability of a project is that the IRR exceeds a threshold determnined as the nini- mum IRR requirement defining a set of projects just exhausting the budget. Benefit-Cost Ratio (BIC) The benefit-cost ratio (B/C ratio) is a simple derivative of the net present value criterion comparing the dis- counted benefits with discounted costs. If budgets are unconstrained the test of project acceptability is that the ratio should exceed 1. If budgets are constrained the test is that the B/C ratio should exceed a threshold deter- mined as the minimum B/C requirement defining a set of projects just exhausting the budget. Adaptedfrom: Dixon and Hufschmidt, 1986. 19.2 EVEI IN THE CONTEXT OF PUBLIC is essentially dealing with (environmental) INVOLVEMENr impacts on which there may be a wide range The answers to the three questions raised in of social attitudes but also because the Section 19.1 should obviously reflect social mobility gains and the environmental losses priorities. Whatever approach is adopted two may be very differently distributed. The things are clear: design of institutions and processes to attempt to build that concensus can only be * Where both economic benefit and undertaken in the context of the relevant enviromnental impacts are involved national cultural and political heritage. reaching a decision inevitably involves Chapter 5 presents some of the methods which some implicit judgment about the rate at can be used to promote effective public which they are being "traded off." involvement at various stages of the project * For large projects, with significant cycle. The purpose of the information that is environmental impacts, the decision will prepared and presented by planners is thus to almost certainly involve some ultimately inform the judgement of decision-makers; it political judgment can very rarely be a complete substitute for it. Despite this "fuzziness" about the Public involvement (consultation and relationship between technical appraisal and communication with various interested either political or consultation and concensus groups) is the key to building concensus about building processes, it may be helpful to social priorities and has been recommended as quantify the decision elements in monetary an integral part of the EA process throughout terms for two reasons: this handbook. Attempts to secure concensus, however, are rarely easy, not only because one * Prior agreement on some general conventions of monetary appraisal, independent of any specific project, may 'Public is referred to here as those who are within the allow subsequent discussion of funda- geographic and pohtical area affected by the proposed project. 189 ROADS AND THE ENVIRONMENT: A HANDBOOK mental distributional issues to be more dearly that are attributable to the project and that focused. have to be valued in economic terms. * Because gainers and losers are frequently also taxpayers, an indication of the money 19.3.2 Choosing a valuation technique and costs involved in avoiding or recouping scheduling the procedure specific environmental impacts may be of The selection of the valuation technique will help in informing personal as well as be influenced by political judgments of what is worth doing. * the effect to be valued; * the information available; * the time and financial resources available; 19.3 PROCEDURAL CONSIDERATIONS and . the characteristics of the techniques avail- 19.3.1 Some prerequisites able. Before commencing a valuation, the valuation The techniques that are commonly used team will require certain information. As- in, or that readily lend themselves to, the suming that the environmental assessment valuation of environmental impacts in eco- was thorough, it should provide the team with nomic terms are discussed in turn in Sections the following data: 19.4 and 19.5. In Table 19.1 these techniques are identified against the applicable common - a list of impacts, and the valued ecosystem environmental impacts discussed in this components (VECs) that will be affected for handbook. Although only negative impacts each road alignment and design under con- have been listed, the EVEI process should also sideration. The identification of VECs in the address positive impacts. As is clear from the biophysical and socio-economic environ- table, there are generally a range of techniques ments, and associated indicators, is dis- available for valuing any one impact. More cussed in Section 3.2.3; often than not, it will be necessary to utilize * the geographic scale, duration, intensity and several techniques on a particular road project. reversibility of each impact; It may also be desirable to try different tech- * the geographic boundaries of the project, as niques on an impact in order to come up with determined by the area over which the im- a value that appears to be a reasonable meas- pacts on the economic, social and biophysi- urement of the potential benefit or cost cal environments are manifest; The techniques identified in Table 19.1 are * the temporal boundaries of the project, as those most likely to be feasible for road proj- determined both by the duration of the ects in developing countries. The list does not project-from the start of construction to claim to be exhaustive. There are other tech- the end of its operating life-and by the niques that are not included here either be- condition of the area affected by the project cause of the conditions they require (for and the capacity of the human and natural example the wage-differential approach, ecosystems within that space to recover which requires very competitive labor mar- from any disturbances introduced by the kets) or because of the complexity of the data project; and and their analysis (for example various macro- * information on the changes that can be ex- economic modeling approaches). The intent is pected, over the geographic area of each to provide the user of this handbook with a project alternative considered, as well as the sense of what is involved in conducting an "no-project" future. The information should EVEI.2 cover those changes expected in the bio- physical as well as the socioeconomic envi- ronments. The attention given to this 2 In the following section liberal use (sometimes in the information reflects the recognition that form of direct quotations) is made of materials from a project-induced change would not be the number of World Bank and other publications. These are fully referenced in Section 19.6 of this chapter. They are: only change to occur if the project were to Dixon et al (1988), Munahsinghe (1993), Serageldin & go ahead. This helps to clarify the impacts Steer (1993), and World Bank (1991). 190 ECONOMIC VALUATION OF ENVIRONMENTAL IMPACTS In scheduling the procedure, one should i) those that directly value changes in out- be guided by the simple rule of starting with puts of economic assets (the change in the most obvious and direct impacts that can productivity approach); be measured in terms of market prices. This ii) those that value the physical assets lost in will generally involve the use of what is called terms of potential market value (the op- the changes-in-productivity approach. One portunity cost approach); and then works through to the more complex im- iii) those that address impacts which affect pacts that may require the use of more sophis- people's outputs in terms of lost earnings. ticated techniques such as contingent Change in productivity approach valuation. valuation. Development projects can affect production 19.4 COMMON VALUATION and productivity in positive or negative ways. TECHNIQUES For example, a land management project em- ploying soil conservation measures may yield increased agricultural output The incremental 19.4.1 A valuation typology output can be valued by using standard eco- There are several different ways in which nomic pricing. valuation can be approached, the most appro- An empirical example of the changes in priate choice depending largely on the nature productivity approach is a road project in Ne- of the environmental impact concerned. The pal, where road cuts were not stabilized. This techniques can be grouped into five main caused siltation and landslides and affected classes, namely: safety as well as agricultural productivity. These physical changes in productivity could i) direct valuation approaches; be measured in terms of reduced income from ii) surrogate market approaches; the affected fields. iii) preventive expendituresapproaches; iv) replacement cost approaches; and Opportunity cost approach v) contingent valuation approaches. In the case of a road project, this approach could be used to place a value on land or other 19A.2 Direct valuation approaches resources that, until the time of the proposed Direct valuation approaches assume that an road project, had been used for an unpriced or environmental impact will affect the actual unmarketed purpose (such as a park, a production or production capability within the mangrove reserve or a heritage property). The study area boundaries. value is arrived at by calculating the income DVAs are the most widely applied valua- that could be derived from using the land or tion approaches, since they are based on more other resources for some market-based directly observable values than those of intan- purpose. This represents the opportunity gibles derived by inferences from more com- foregone. The opportunity cost is therefore a plex behavior observations. However, when way of measuring the cost of preservation, by dealing with ecological and social impacts, simulating the gains which could have been these approaches must be used with great achieved by using the resources. These data caution, since they can oversimplify the im- can then be used in a standard cost-benefit pacts by representing them as simple direct analysis to establish whether the economic economic consequences. Environmental3 spe- cost of not using or changing a resource is cialists should prepare the precise definitions acceptable in light of the benefits. Since new of impacts to avoid any significant under- roads generally require the use of land, this valuation of the impacts. technique helps to identify the cost of There are generally three subgroups of preserving one area over another, and is DVAs: therefore useful in site or alignment selection. Loss of earnings approach This approach may be relevant, for example, 31ncluding biophysical and social components. when considering road and industrial plant 191 ROADS AND THE ENVIRONMENT: A HANDBOOK safety, or projects that affect air pollution in of equal size and similar neighborhood char- major cities. Changes in environmental quality acteristics elsewhere in the same urban area. can have significant effects on human health. In a rural context the technique could be Ideally, the monetary value of health impacts used to put a value on the deterioration of the should be determined by an individual's aesthetic qualities of a landscape, as a result of willingness to pay for improved health. In a new road cutting across that landscape. A practice, "second best" techniques may be weakness of this approach is that a large necessary, such as valuing earnings that are number of variables influence property val- foregone through premature death, sickness or ues. In particular, increases in accessibility to absenteeism, and increased medical expendi- transport networks may be highly correlated tures. The approach is also known as the with reductions in environmental quality. "value-of-health," "human capital" or "fore- gone earnings" approach Land value approach In the case of an increase or reduction in This is a variant of the property value ap- the number of deaths, a first estimate is made proach mentioned above. In confining the by evaluating the projected loss of earnings of measurement to the value of open land, with- the individuals involved. out improvements, one reduces the number of variables that need to be considered in order 19.4.3 Surrogate market approaches to arrive at a value for unpriced features (such If the impacts cannot be measured as direct as the aesthetic qualities of a view). losses or gains to VECs (for example, reduc- tion in mangrove area due to road alignment); Travel cost approach or if the impact on a receptor cannot be di- The time and money expenditures that people rectly costed, indirect or surrogate market are willing to make in order to access a park or value can be substituted in calculating the cost recreational facility may be viewed as a lower of the impact Surrogate market value ap- bound estimate of the value of that facility, proaches assume that necessary indirect cost and hence of the cost to society if a road proj- data have been established at some time and ect directly damages such a facility. This ap- can be applied. The three most commonly- proach is very difficult to apply in practice, used SMV techniques are: however, as a road may typically infringe on, but not totally destroy the facility. The appro- i) the property value approach; priate valuation of the loss under this formu- ii) the land value approach; and lation would then be the reduction in the iii) the travel cost approach. amount of access costs which in aggregate people would incur to access the impaired fa- Property value approach cility, which might be very difficult to estimate This approach, also referred to as the "hedonic ex ante. Moreover, for many recreational trips price technique", is used to determine the im- the access journey itself might be part of the plicit prices of specific characteristics of prop- benefit rather than a pure cost, so that the ap- erties. When used in dealing with propriate part to attribute as the value of the environmental issues, its purpose is to place a facility would be difficult to determine. value on improvements or deterioration in en- A less contentious application of this ap- vironmental quality. proach might be to cases where roads create The property value approach has been new barriers within communities. In such used to analyze the effects of air pollution in cases a travel time loss approach might be ap- certain areas. Where pollution is localized, the plied to the non-vehicular movements which method can be used to compare prices of had been disturbed or tuncated as an estimate houses in affected areas, with prices of houses of the loss due to community severance. 192 ECONOMIC VALUATION OF ENVIRONMENTAL IMPACTS 19.4.4 Preventive expenditures approach BOX 19.2 This approach, also known as the "nitigative CASE EXAMPLE OF PREVENTIVE EXPENDITURES expenditures" or "defensive expenditures" CONCEPTINLAOS approach, is based on the observation that in- dividuals, firms and governments are often During the environmental assessment of the Pakse prepared to spend money in a variety of ways Bridge project, which involved the construction of a in order to avoid or reduce unwanted envi- second bridge across the Mekong River between roinental effects. Such expenditures, if actu- southem Laos and Thailand, it was found that the bridge approach road and the storm drainage from ally made, would indicate that individuals, the bridge deck had been (for economic and engi- firms or govermnents judge the benefits neering reasons) designed to be within 120 meters greater than the costs. On this basis, hypo- of the local municipal potable water intake. To ad- thetical preventive expenditure estimates can dress this potentially serious risk of contamination, then be interpreted as a minimum valuation of the bridge location was moved a further 100 meters benefits. A case example which illustrates this upstream, and a controlled storm water drainage concept can be found in Box 19.2. system was planned for the bridge deck near the A major drawback of this approach is that water intake. The costs involved in making the it incorporates a minimum valuation of. the changes could be considered preventive expendi- tures, and were far below potential costs had a spill environmental impacts in the cost benefit contaminated the water treatment plant calculation even in circumstances where the preventive expenditure is not actually Source: JICA, 1996 undertaken. In these circumstances the actual disbenefit will be greater than that imputed in the calculations. This both distorts the jective evaluaton of the potential damages to allocation of resources between projects and be avoided but, rather, on the true cost of ac- redistributes welfare between individuals tual replacement. Used in conjunction with the suffering the environmental impacts and those preventive expenditures approach, it allows gaining the mobility benefits. one to calculate whether it is more efficient to It may therefore be thought advisable to let damage occur and then repair it, or to pre- adopt the "preventive expenditure" approach vent it. only when a standard is applied requiring This approach is generally used to value actual preventive action to occur (see Section impacts involving permanent or serious losses, 19.5). But in those circumstances the costs are such as the destruction of productive farm- internalized in the project costs. If the land, or the removal of trees required in the standard set is such that there is no residual building of a road through a bio-reserve or environmental impact there is no need for any forest. Three common variants of this ap- further evaluation of it. Where the standard is proach are less rigorous than that, there is still a need for i) the direct asset replacement cost ap- some value to be given to the residual impacts proach; after mitigation. ii) the relocation cost approach; and iii) the shadow project approach. 19.4.5 Replacement cost approaches Direct asset replacement approach This approach involves estimation of the costs that would be incurred in replacing an asset, If ° ' ~~~to eshimate the benefits of erosion prevention it were to be damaged or lost altogether. These mauesbyacti the costof thefertil- costs are interpreted as an estimate of the izerethat wouldbetneeded to replace the nutri- benefits that can be presumed to flow from the ents lost through soil erosion. In this example, measures taken to prevent that damage from th methodapesofl if, In thexabsneo occurring. Although the rationale for the ap- the method appnes only if, in the absence of proach is similar to that of the preventive ex- penditures approach, in this case the estimate actually be used. of the replacement cost is not based on a sub- 193 ROADS AND THE ENVIRONMENT: A HANDBOOK Relocation cost approach There are actually five distinct contingent This is similar to the direct asset replacement valuation methods that can be used for road approach except that the actual expense of projects. They are a) bidding games, b) take-it- physically relocating a facility is used in the or-leave-it experiments, c) trade-off games, benefit-cost estimation. In the context of roads, d) costless choice, and e) delphi techniques. this approach would be useful in cases where They are not elaborated on separately here.4 relocation of businesses too close to the right- Each method tries to identify people's of-way is necessary. Another example would preferences by asking direct questions about be the cost of moving a residential water sup- what they are willing to pay for a benefit, ply facility threatened with pollution by run- and/or what they are willing to accept as off from a new road. compensation for tolerating a disbenefit. Thus, unlike market and surrogate-market tech- Shadow project approach niques, where estimates are based on observed Used for evaluating projects with a large behavior, these methods infer what an indi- number of negative environmental impacts, vidual's behavior would be, from the answers this approach involves the design and costing given. Another distinctive characteristic of this of one or more hypothetical 'shadow projects' approach is that while most of the previously that would provide substitute environmental described techniques examine changes in the goods and services to compensate for the loss quality of the environment in aggregated form of the original assets. This is a special type of the contingent valuation methods start with replacement costs approach; it is used when the individual perception of the change. Once one wishes to evaluate the entire range of en- values for a representative set of people have vironmental goods and services threatened by been determined, they are aggregated to a to- a project, and when their benefits are difficult tal value directly dependent on the number of to value. By including the shadow project individuals affected. costs in the calculation of the total costs of a This process of asking may be undertaken project one has an indication of how great the either through a direct questionnaire or sur- benefits of the project have to be in order to vey, or using role-playing techniques in which outweigh the losses. Given these characteris- subjects respond to various stimuli in 'labora- tics, the approach is being discussed increas- tory' conditions. What is sought are personal ingly as a way to put the concept of valuations, by the respondent, of increases or sustainability into practice at the project level. decreases in the quantity of some good, con- It assumes a constraint for maintaining envi- tingent upon a hypothetical market Willing- ronmental capital intact, and could therefore ness to pay is constrained by the income level be most relevant when "critical" valued eco- of the respondent, whereas willingness to ac- system components are at risk. cept payment for a loss is not constrained. Ex- perience shows that willingness to accept 19.4.6 Contingent valuation approach tends to be several times greater than willing- Contingent valuation methods (CVMs) are ness to pay. applied when data on costs cannot be gener- While the contingent valuation methods ated or where value is not easily tangible, as in have several shortcomings, most notably with the case of visual intrusion. The CVMs rely on regard to the difficulties in structuring the survey data from which values are inferred. surveys, experience in both developing and This approach, also known as the "hypo- industrialized countries has shown that with thetical valuation" approach, is particularly careful design they are reliable and economic valuable in the absence of market information sources of social valuations. about people's preferences. Thus it often At the same time, by considering a proves useful in valuing such attributes as broader range of external costs than normal, species preservation, historical or cultural this approach helps society to respond to the phenomena, and genetic diversity, as well as challenge of valuing the environment, as the preservation of open spaces, unobstructed views, or public access to amenity resources. 4 A useful overview can be found in Dixon et al, 1988. 194 ECONOMIC VALUATION OF ENVIRONMENTAL IMPACTS posed in Section 19.1, and thus become more routes or designs. The approach does not aware of what is required to move towards monetarize benefits, but simply calculates the sustainable development, cost of alternative ways of reaching the set goal. The issue which confronts the designer in 19.5 ALTERNATIVE ECONOMIC FORMAT situations where clear standards of environmental acceptability are set is to find 19.5.1 Cost effectiveness analysis approach the most cost effective way of managing the VWheredata are particularly poor, or where the impacts without making the whole project benefits are particularly difficult to measure in economically unviable. While, in principle, the benfit ar paticlary iffcul tomeaurein standards themselves should be subject to monetary terms, economic considerations may be limited to that of a cost-effectiveness analy- economic appraisal (it would be senseless to sis. This involves the setting of some goal or set a standard that was so high that meeting it target (such as maximum air pollution levels, involved costs which everyone would agree to or maximum land-take levels for new road- be putting an unreasonably high price on the ways), and the subsequent assessment of the effect) the standards approach does also capital and operating cost implications Of enable some concept of "equity" or reasonable reaching that goal, via a number of alternative burden to be built in to the procedures. TABLE 19.1 SUMMARY OF ROAD PROJECT ACTIONS, THEIR COMMON ENVIRONMENTAL IMPACTS AND SUGGESTED ECONOMIC VALUATION TECHNIQUES Key to Measurement and Valuation Approaches 1. Changes-in-productivity approach 7. Preventive expenditures approach 2. Opportunity cost approach 8. Direct asset replacement cost approach 3. Loss-of-earnings approach 9. Relocation cost approach 4. Property value approach 10. Shadow project approach 5. Land value approach 11. Contingen valuation approach 6. Travel cost approach 12. Cost effectiveness analysis approach Project Type and Environmental Effect Chapter Action Affecting (negative only) Valuation Techniques No. Environment 1 2 3 4 5 6 7 8 9 10 11 12 Road Rehabilitation Projects _L_______________ Construction stage 7,10,18 Removal of vegetative cover . habitat degradation x x . species loss x 7, 8,18 Exposure of soil to erosion . downstream water quality re- X x x duction I I 7,8, Poor quality cut and fill op- . landslides X X X X 10,18 erations . waterway blockages X x . habitat loss x . species degradation X X X 8,10,18 Interference with surface . reduced water supply x and ground water hydrol- . excessive water blockage or X X x ogy drainage 195 TABLE 19.1 continued... Project Type and Environmental Effect Chapter Action Affecting (negative only) Valuation Techniques No. Enviromnent 1 2 3 4 5 6 7 8 9 10 11 12 9,16,18 Faulty construction mate- * degraded air quality X X rials handling * increased noise X X * bitumen * increased odors X X * aggregate * concrete 8,17,18 Work-camp operations: * reduced water quality X _… _ X * liquid and solid waste * increase in bacterial diseases X X X mismanagement (for example dysentery) * over-use of local serv- ices _________________ 7,8,17, Construction equipment * water and soil contamination X X 18 operation and servicing * tainting of food X X X X * inadequate petroleum product handling * inappropriate operating schedule _____________________ 5,12 Land acquisition and re- * property loss X X settlement * residence loss X X * removal of private resi- * business loss X X X dences * reduced community cohesion X X * removal of businesses 15 Spoiling of views * reduced quality of living con- X x x * road across landscape ditions x * road close to dwelling * reduced land values 11 Restriction of access * increased transportation costsX * increased travel time X * business losses X 14 Damage to cultural heri- * loss of cultural identity X X X tage 11,13 Community disruption * loss of sense of community X X (incl. indigenous people) * loss of community cohesion X X Post-construction stage _______________________ 18 Failure to implement miti- various (as above) depends on effect gation measures 18 Failure to rehabilitate various (as above) work-site * erosion X X * borrow areas * increase in bacterial/insect- X X X * work camps borne diseases Construction of New Roads All stages _____________________ All Encroachment on valued * loss of these components X X…X X ecosystem components _____________________ 8,10 Impairment of fisher- * reduced beneficial water uses X X X X X ies/aquatic ecology and of other beneficial water uses 7,8 Exposure of soil to erosion * excessive soil erosion and water X X _ X X I____ Iquality degradation _ _ 9,17 Pollution of air * nuisance and health hazards for X travelers and workers 196 TABLE 19.1 continued... Project Type and Environmental Effect Chapter Action Affecting (negative only) Valuation Techniques No. Environment 1 2 3 4 5 6 7 8 9 10 11 12 16,18 Generation of noise and * nuisance and health hazard for x . vibration local community I 14 Encroachment on cultural * loss of these values x x x x areas and monuments 15 Disturbance of landscape * loss of scenic values x x x x aesthetics Construction stage 7, 8,18 Exposure of soil to erosion * impairment of downstream X X X water quality_ 18 Failure to monitor * various (as above) depends on effect Operational stage 8 Uncontrolled highway * local watercourse contamina- x x x x runoff tion 7, 8,10, Unmanaged highway * health threat/hazard x 18, 17 spills Rural Road Projects All stages All Encroachment on valued * loss of or damage to these x x x x x ecosystem components components 8,10 Impairment of fisheries/ * reduced benefical water uses X X X X X aquatic ecology and of other beneficial water uses 7, 8 Exposure of soil to erosion * excessive soil erosion and wa- X X x x I______ ter quality degradation 9, 17 Pollution of air * nuisance and health hazards x for travelers/workers 17,16 Generation of noise and * nuisance and health hazard for x vibration community 14 Encroachment on cultural * loss of these values _ x x x areas and monuments _ 15 Disturbance of landscape * loss of scenic values x x x x aesthetics Construction stage ____________________ 1,8, 10, Exposure of soil to erosion * loss of habitat and water qual- X x x 18 ity Failure to monitor * various (as above) depends on effect Operational stage I I I _ 8,18 Uncontrolled road runoff * local watercourse contamina- X x | | X | | X tion _ _ _ I 7,8, 10, Unimanaged road spills * health threat/hazard xl 17,18 11_ _ _ _ l l l l l l Adaptedfrom: Dixon et al., 1988; ADB, 1988. 197 ROADS AND THE ENVIRONMENT: A HANDBOOK 19.6 REFERENCES AND BIBLIOGRAPHY Asian Development Bank (ADB). 1988. Environmental guidelines for selected infrastructure projects. Manila, Philip- pines. Dixon, John A. and H.H. Hufschmidt (eds.). 1986. Economic Valuation Techniquesfor the Environment: A Case Study Workbook. Baltimore, MD: Johns Hopkins University Press. Dixon, John A., R.A. Carpenter, L.A. Fallon, P.B. Shermnan and Supachit Manipomoke. 1988. Economic Analysis of the Environmental Impacts of Development Projects., London: Earthscan Publications Ltd., in association with the Asian Development Bank, Manila, Philippines. Japan International Cooperation Agency (ICA). 1996. "The Feasibility Study for Construction of Mekong Bridge at Pakse in the Lao People's Democratic Republic. "Tokyo. Japan. Munasinghe, M. 1993. Environmental economics and sustainable economics. World Bank Environment Paper No. 3. Washington, DC: World Bank. Rodd, R. Stephen. 1991. "Rural Resource Accounting to Aid Local Rural Development and the National Natural Environtment" Unpublished paper given to the Annual Meeting of the Community Development Society, Saskatoon, Canada. Rodd, R. Stephen, 1992. "Building Community Resource Evaluation into Planning and Assessment for Sustain- ability." Unpublished paper given to the Annual Meeting of the International Association for Impact Analysis, Washington, DC. Serageldin, Ismail and Andrew Steer (eds.). 1993. Making Development Sustainable: From Concepts to Action. Envi- romnentally Sustainable Development Occasional Paper Series No. 2. Washington, DC: World Bank. World Bank. 1991. Environmental Assessment Sourcebook. Vol. I Policies, Procedures, and Cross-Sectoral Issues. Washington, DC: Environment Department 198 Appendices I APPENDIX I EXAMPLE OF ENVIRONMENTAL MANAGEMENT PLAN China National Highway II Project Hunan Xiangtan-Leiyang Highway and Linking Roads EAP Key Elements of Loudi-Lianyuang and Tianaishan-Yishuhe Roads Enviromental Measures taken or to be taken Implementing Responsible Issue Organization Organization A. Design Phase 1. Alignment The alignment is selected from 3 alternatives so Designing Unit HPCD as to minirnize the land occupation, air pollution, and noise impact on residences, to avoid unfa- vorable geological conditions and cultural relics. The aigrunent selection of Loudi-Lianyuang and Tianaishan-Yishuhe roads have also taken into consideration of environmental elements. 2. Interference 416 passageways (including 22 overpasses) are Designing Unit HPCD on People designed for Xiangtan-Leiyang highway; 48 un- derpasses and 3 overpasses are designed for Loudi-Lianyuang highway; as to Tiantaishan- Yishuhe road, 6 underpasses are designed to meet the needs of the local residents and vehi- cles. 3. Soil Erosion * In slopes and suitable places along the road- Designing Unit HPCD side, bush grass will be planted, and retaining wall, water intercepting ditches, and masonry rubbles will be built to prevent soil erosion. * Temporary and permanent drainage systems are designed to minimize the soil erosion and the impact on irrigation canals. The affected ponds should be re-excavated (relocated) af- fected pond (irrigation pond). 4. Dust/air Besides the measures in Item 1, earth borrowing Designing Unit HPCD Pollution sites, waste disposal sites, and asphalt mixing sites are identified to concern with the environ- mental issues like dust and similar residences. 5. Water Sewage disposal facilities are designed at the 3 Designing Unit HPCD Pollution service areas of Xiangtan-Leiyang highway to treat the sewage before entering into public wa- ter source. 6. Noise Besides the measures in Item 1, measures such as Designing Unit HPCD sound barriers, building and heightening fencing walls, are identified and incorporated into the design and tendering documents. 7. Cultural Relics Survey has been made on the line. 3 ancient Hunan Provincial Hunan Provincial tombs discovered along the alignment will be Archaeological Cultural Relics excavated prior to construction. Institute (HPAI) Bureau (HPCEB) 8. Flood Bridges and culverts have been well designed for Designing Unit HPCD the purpose of the flood discharge (Xiang-Lei highway: 300 year flood frequency for big bridges, 100 year flood frequency for others; Loudi-Lianyuan highway and Tian-Yi roads: 100 year flood frequency for big bridges and 50 year flood frequency for small bridges.) 201 APPENDIX I continued... Environmental | Measures taken or to be taken | Implementing Responsible Issue I I Organization I Organization B. Construction Phase 1. Dust/air * Water should be sprayed during construction Contractor HPECDC pollution phase, in the line and earth mixing sites, as- Xianglei phalt mixing site, and temporary roads. In Highway Co. filling subgrade, water spraying is needed to solidify the material. After the impacting, wa- ter spraying should be regular to prevent dust. * Coal ash to be used should contain 30% water Loudi-Lianyuang content or more to prevent the ash from dis- Highway Co. persing. In warehouses and piling yards, esp. The coal ashes should be covered, except where they are to be used immediately. Hunan Provincial * Vehicles delivering materials should be cov- Highway ered to reduce spills. Admdrnstion * Residences should be 500m from downward wind direction of asphalt mixing sites. * Mixing equipment should be well sealed, and vibrating equipment should be equipped with dust-remove device. Operators should pay attention to their health. 2. Soil Erosion/ * In slopes and other suitable places along the Contractor HPECDC Water roadside, trees and grass should be planted. Xianglei Pollution On sections with high filling and deep cutting, Highway Co. their slopes should be covered by stone walls and planted with grass, etc. If existing irriga- tion and drainage system ponds are damaged, they should be rebuilt or recovered by suitable Loudi-Lianyuang methods Highway Co. * Limestone and coal ash should be stacked together, fenced by bricks or earth wall, and kept away from water. Hunan Provincial * In sections along the river, earth and stone will Highway be properly disposed of so as not to block riv- Administration ers, resulting in adverse impact on water quality. * In building permanent drainage system, tem- porary canals and culverts will be built for the sake of irrigating drainage. * All necessary measures will be taken to pre- vent earthworks and stone works from im- peding the rivers and water canals or existing irrigation and drainage system. * All justifiable measures will be taken to pre- vent the waste water produced in construction from entering into rivers and irrigation sys- tem. 202 APPENDIX 1 continued... Environmental Measures taken or to be taken Implementing Responsible. Issue Organization Organization 3. Construction * Sufficient measures will be taken in the con- Contractor HPECDC Camp struction camps, i.e. provision of garbage Xianglei tanks and sanitation facilities. Waste in septic Highway Co. tanks will be cleared periodically. * Drinking water will meet China National Loudi-Lianyuang Standard. Highway Co. * Garbage will be collected in a tank and dis- posed of periodically. Hunan Provincial * Special attention shall be paid to the sanitary Highway condition of camps. Admrinistration 4. Noise * Noise standard of industrial enterprises will Contractor HPECDC be. strictly enforced to protect construction Xianglei workers from damage. Workers in vicinity of Highway Co. strong noise will wear earplugs and helmets and their working time should be limited. * In construction sites within 150m where, there Loudi-Lianyuang are residences, noisy construction should be Highway Co. stopped from 22:00-6:00. * Maintenance of machinery and vehicles Hunan Provincial should be enhanced to keep their noise at a Highway minimum. Admirnistration 5. Conservation * To preserve the forest, earth borrowing, piling, Contractor HPECDC of Eco-resources and building temporary camps are prohibited Xianglei in forest lands. Highway Co. * Arable lands should not be used as earth bor- rowing whenever possible. If needed, the top- Loudi-Lianyuang soil (30cm) should be kept and refilled after Highway Co. construction is over to minimize the impact on ecosystem and agriculture. Hunan Provincial * Construction workers should be told to protect Highway natural resources and wild animals. Hunting Administration is prohibited. * Construction vehicles should run at temporary accesses to avoid damaging arable lands and cattle-raising lands. 6. Accidental * To ensure safe construction in the temporary Contractor HPECDC Risks accesses during construction, lighting devices Xianglei and safety signal device will be installed. Highway Co. Meanwhile, traffic rules and regulations will be actively enforced in these temporary ac- cesses. Loudi-Lianyuang * During construction, effective safety and Highway Co. waming measures will be taken to reduce ac- cidents. The blasting time, signal, and guard- ing will be regulated. The people and vehicles Hunan Provincial within blasting area should be removed in Highway time. Administration * Prior to blasting, thorough inspection should be conducted. * Safety lookout will be built to prevent people and vehicles from passing after blasting. Blasting will not be carried out during rush hours so as not to cause traffic jams and inju- ries. 203 APPENDIX I continued... Environmental Measures taken or to be taken Implementing Responsible Issue Organization Organization * The management and use of blasting materials will be in strict conformity with the safety re- quirements for public security. 7. Cultural Relics * If valuable or invaluable articles such as fab- HPAI HPCRB rics, coins, artifacts, structures, or other geo- graphic or archeological relics are discovered, the local related department should be noti- fied immediately. The excavation should be stopped until authorized department identi- fies articles. * Archaeologists will supervise the excavation to avoid any damage to the relics. 8. ComGnatkcs * Local materials should be used as much as Contractor HPECDC and possible so as to avoid long distance trans- Xianglei Transportation portation, esp. that of earth and stone. Highway Co. * If there are traffic jammed during construc- tion, measures should be taken to move the jam with the coordination of transportation and public security department Loudi-Lianyuang * Temporary access should be built at the inter- Highway Co. change of the highway and other roads. * Passing time on National Highway 107 will be limited, similar measures will also be applied Hunan Provincial to roads with traffic jams. Highway Administration * Materials may be delivery in advance in rela- tively leisurely season of traffic Gan/Dec, Sept/Oct) * A transportation plan of materials will be for- mulated to avoid delivery of them at peak I hours, esp. on existing roads. C. Operation Phase 1. Accident of * Regional or municipal transportation bureaus Xianglei Highway Xianglei hazardous will set up respective transportation coordina- Co. Highway Co. materials tion unit for hazardous substances. * For delivery of hazardous substances, three certificates issued by transportation depart- Loudi-Lianyuang Loudi-Lianyuang ment are required-permit license, driving li- Highway Co. Highway Co. cense, and guarding license. Vehicles delivering hazardous substances will be Hunan Provincial printed with unified signs. Hunan Provincial Highway * Public security, transportation and fire- Highway Admdnistimion fighting departments will designate a special Administration route for these vehicles. These vehicles can EPO ofHEPCD only harbored at designated parking lots. * This projects hazardous substances will be administered by highway management de- partment registration system. * In case of spill of hazardous materials, report to the relevant departments at once and deal with it in accordance with the emergency plan, 204 APPENDIX I continued... Environmental Measures taken or to be taken Implementing Responsible Issue Organization Organization 2. Vehicle * If the noise of vehicle is excessive, the vehicle Xianglei Highway Xianglei management is not permitted to run on this highway until Co. Highway Co. the problem is solved. Exhaust inspection will be enhanced. Unqualified vehicles are not al- Loudi-Lianyuang Loudi-Lianyuang lowed to run on this highway. Highway Co. Highway Co. * Public will be educated about the regulations on air pollution and noise of vehicles. Hunan Provincial * Bulk cargo such as coal, cement, sand, etc. Hunan Provincial Highway easily spilled or polluted over the highway, Highway Administration will be inspected; prohibited vehicles carrying Administration these cargo, but not having protection meas- ures, will be prohibited from running on this highway. 3. Noise According to monitoring results, at places with Xianglei Highway Xianglei excessive noise, sound barriers or other measures Co. Highway Co. will be adopted. Loudi-Lianyuang Loudi-Lianyuang Highway Co. Highway Co. Hunan Provincial Hunan Provincial Highway Highway Administration Administration EPO of HPCD 4. Maintenance The drainage system will be periodically cleared Xianglei Highway Xianglei of Drainage so as to ensure water flow. Co. Highway Co. System Loudi-Lianyuang Loudi-Lianyuang Highway Co. Highway Co. Huna P a Hunan Provincial Hunan Provicial Highway Admig ay Administration Administration lrEP of HIPC 5. Others Buildings are prohibited within 50m of the road. Xianglei Highway Xianglei No schools and hospitals are allowed within Co. Highway Co. 200m from the roadsides of Xianglei highway, Loudi-Lianyuang Loudi-Lianyuang 100m from the roadsides of Loudi-Lianyuan and Highway Co. Highway Co. Tianyi roads Hunan Provincial Hunan Provimcial Highway Highway Administration Administration EPO of HPCD 205 APPENDIX I continued... Environmental Measures taken or to be taken Implementing Responsible Issue I I Organization Organization D. Environmenal Monitoring 1. Atmosphere A Construction Phase Local Monitoring Supervision Co. (i) Monitoring Item TSP Station (ii) Monitoring Frequency once/week (iii) Length of Time: 1 day (iv) Monitoring Point. Main construction sites and materials transportation roads near the sen- sitive points. B Operation Phase Local Monitoring Xianglei (i) Monitoring Item: TSP, NOx, CO Station Highway Co. (ii) Monitoring Frequency twice/year Gan. July) CO once/year Loudi-Lianyuang (iii) Length of time: 5 days Highway Co. (iv) Monitoring Points: 6 locations on Xianglei highway, 2 locations at both Loudi-Lianyuan and Hunan Provincial Tianyi roads Highway .C Monitoring Standard Administration Atmospheric Monitoring Standard Issued by EPO of BPCD the NEPA 2. Noise A Monitoring Frequency Environment Supervision Co. (i) Construction Phase: once/week Supervision Loudi-Lianyuang (ii) Operation Phase: 4 times/year Engineer (Xianglei HLighayuCo. B Monitoring Points highway) Highway Co. (i) Construction Phase: Construction sites within Local Supervision Hunan Provincial 150m, of which there are residences or sensitive Station Highway units, waste disposal sites, delivery roads, quar- Administration ries (ii) Operation Phase: 13 locations in earlier pe- Xianglei Co. EPO of HPCD riod on Xianglei highway, and 22 points in mid- Local Supervision dles period; 2 locations on Loudi-Lianyuan, Station Tianyi, and other linking roads C Monitoring Standard LExisting noise standard issued by the NEPA 3. Water Quality A Monitoring item: BODs, COD, SS, OIL Local Monitoring Supervisory Co. B Monitoring Frequency: Station Construction phase: 3 times/year/ day twice /day Operation phase: once/year C Monitoring Points: 2 points on Xianglei Highway D Monitoring Standard Water quality standard issued by the NEPA. 206 APPENDIX 2 IMPACT OF ROAD MAINTENANCE TASKS ON THE ENVIRONMENT IN THE SAHEL Env. Impact codes (Col. 4) (A) = relatively SLIGHT N.B.: This assessment is made up of a set of examples of the relative impact of road maintenance tasks on the environment (B) = relatively MODERATE (C = relatively MARKED Plus and rninus signs (Cols. 3 and 4) (-) = deterioration of present The value of the impacts must be adjusted to the environ- state of environment mental context and execution method of each Sahelian coun- try. +)= improvement of present state of environrment DEFINITION OF MAINTENANCE TASKS Para. LOCATION ON SITE DRAWBACKS (-) OR IMPACT (+ and -) ON |ref. ADVANTAGES () ROAD ENVIRONMENTS IN 1 THE SAHEL Column Ref. No. 1 2 3 4 Current Maintenance of Unpaved Roads Unpaved Roads: 1 materials piled on road (-) fines carried into drainage (-A) water polluted by solids Manual Maintenance of Wearing Course systems by rainwater (-B) road user safety jeop- (-) accident hazard for road ardized users 2 wearing course (+) improved evenness (+B) road safety improved (+) smoother traffic move- (+B) traffic lanes widened ment (+) user safety preserved Complementary operation: 3 wearing course drainage (+) faster roadway drainage (+B) improved runoff man- Supply and hauling of materials agement Unpaved Roads: Supply and hauling of 4 workshops, garage and (-) oil, grease and arid spilled (-A) local soil pollution selected materials stores on road A. Preparation of borrow areas 5 materials borrowing (-) excessive deforestation (-B) natural environment (-) area stripped, not covered harmed evenly (-B) regrowth of vegetation (-) water drainage hindered made difficult 6 borrow area surface (+) less natural space taken (+C) less harm to natural up environment 7 borrow area (+) water held in reserve (on (+C) large quantity of water impermeable soils) or flows made available for human or through to replenish animal use groundwater (permeable (+B) groundwater replen- soils) ished 8 stripped area (spreading (+) natural vegetation recon- (+B) plant cover preserved of piles) and drainage stituted (+C) landscape improved ditches (to be dug) (+) appearance of site im- (+C) runoff used better proved Unpaved Roads: Supply and hauling of 9 workshops, garage and (-) same as para. 4 (-) same as para. 4 selected materials stores B. Loading and hauling of materials 10 site access lanes for (-) during the work, in- (-B) vehicle traffic hindered maintenance vehicles creased traffic and greater (-B) pedestrians and animals and equipment risk for users of the road endangered (-) pedestrian or animal (-B) air polluted traffic hindered or made dangerous (-) dust 11 roadway: materials piled (-) dangerous obstacles for (-B) users placed at risk on road road users (-A) water polluted by solids (-) in wet season, fines are washed off into drainage systems 207 APPENDIX 2 continued... Unpaved Roads: 12 verges and ditches (-) lateral ridges, obstruction (-B) concentration of runoff Control of washboard surface of drainage and entrainment water along the ridges and of fines by rainwater erosion of slopes (-) filling up of side ditches (-B) water pollution (-A) obstruction of access for people living nearby 13 roadway (-) residual ridges on surface (-C) traffic hazard (-) stones left behind (-) dust generation 14 road surface (+) smoother surface (+C) improved traffic condi- (+) enhanced traffic safety tions Unpaved Roads: 15 verges and ditches same as para. 12 same as para. 12 Light reshaping without compacting _ 16 roadway (-) accentuation or reduction (-C) traffic hazard of roadway camber (-B) air pollution (-) stones left behind (-) dust 17 road surface (+) smoother surface (+9 improved traffic condi- (+) enhanced traffic safety tions (+) better roadway drainage (+B) better water drainage Unpaved Roads: 18 verges and ditches same as para. 12 same as para. 12 A. Reshaping with sprinkling and com- 19 roadway same as para. 16 same as para. 16 pacting without addition of material .. 20 road surface (+) better shaping of roadway (+C) more lasting improve- (+) enhanced traffic safety ment of traffic conditions (+) better roadway drainage (+C) better water drainage (+) washboard surface takes .__ __ _ __ _ __ _ __ _ __ _ __ _ _ _ __ _ __ _ _ j longer to develop Unpaved Roads: Periodic Maintenaz of Unpave Roads Unpaved Roads: 24 verges and ditches (-) lateral ridges left and (-B) concentration of runoff Periodic resurfacing of wearing course pooling of water with risk of water along the ridges and and Periodic resurfacing of shoulders erosion of roadway edges erosion of slopes and slopes (-B) water pollution by solids (-) entrainment of fines by (-B) obstruction of ditches rainwater and of access for local resi- (-) side ditches filled up with dents waste materials By assimilation: Reshaping with com- 25 roadway (-) accentuation or reduction (-C) steep crofall = traffic pacting and addition of materials of roadway camber hazard (-) stones left behind (-A) air pollution (-) dust generation and risk (-B) impairment of road of traffic accidents safety Complementary operation: Supply and 26 road surface after works (+) improvement in road (+C) improved road safety hauling of materials safety (+C) better water drainage (+) roadway drainage (+C) improved quality of life (+) washboard surface takes longer to develop (+) possibility of establishing vehide parking area in the I larger villages 208 APPENDIX 2 continued... Impact of Current Maintenance of Paved Roads Paved Roads: 30 materials piled on shoul- (-) fines and wastes carried (-A) water pollution by solids Manual maintenance of shoulders of ders into drainage systems by (-B) user safety jeopardized paved roads rainwater (-) road user accidents 31 unpaved shoulders (+) improved shoulder pro- (+B) improved road traffic file safety (+) improve traffic conditions (+B) improved safety for local (overtaking, passing) residents (+) pedestrian and animal safety more assured Complementary operation: Supply and 32 pavement and shoulder (+) better runoff drainage (+B) possibility of channeling hauling of materials drainage runoff Patching - Paved Roads: 33 site installations, work- (-) fuel, bitumen, oil and acid (-A) soil pollution A. with multiple surface dressing and shops, garage, bitumen spills and spattering (-A) destruction of plant B. with coated macadam heater, mixer (-) fire hazards cover by assimilation: Reshaping and patching 34 surroundings of site and (-) entrainment of toxic (-A) water pollution by toxic of surface comprsing the following tasks of fixed and movable products by water products installations A. with multiple surface dressing using 35 road surface and pave- (-) hazard for road users (-A) water pollution by solids natural aggregates, and ment edges (broken windshields) (-B) hazard for road users B. using untreated crushed gravel piles of gravel and exca- vated materials loose clippings I C. using coated materials Paved Roads: 36 site installations, work- (-) fuel, oil and acid spills (-B) soil pollution Localized repairs of road layers com- shops, garage and spattering (-A) destruction of plant prising: (-) fire hazards cover A. repair of base course, and (-A) impairment of quality of B. repair of entire road life 37 surroundings of site and (-) entrainment of solids and (-A) water pollution of fixed and moveable toxic products by water installations Complementary operation: supply of 38 routes through inhabited (+) establshment of vehicle (+C) improvement of quality materials for road base areas parking areas in larger vil- of life lages (+B) greater safety for local =_______________ _______________ _ _____ =___________ __L _ _= p eople Impact of Periodic Maintenance of Paved Roads Paved Roads: 39 site installations, work- (-) fuel, oil and acid spills, (-B) soil pollution Execution of general surface dressing, shops, garage, bitumen and spattering (-A) degradation of plant and heater, mixer (-) fire hazard cover Execution of general carpet using coated materials 40 surroundings of fixed same as para. 34 (-B) water pollution by toxic and moveable installa- products tions 41 routes through inhabited (+) paving of vehicle parking (+B) improvement of quality areas areas in larger villages of life (+B) greater safety for local people (+B) reduction of air pollu- tion Paved Roads: 42 road surface (+) better user guidance and (+B) user safety General remarking of surface signing information specific task on paved roads; improve- 43 hard shoulders (+) provision maintained for (+B) safety of local people ment of user safety local people's movements 209 APPENDIX 2 continued... Paved Roads: General restoration of soft 44 workshops, garage and same as para. 24 same as para. 24 shoulders stores 45 roadway: materials piled same as para. 25 same as para. 25 on road Complementary operation: supply of 46 villages (+) provide for off-road vehi- (+C) enhancement of quality materials (A.1.2 Al) and loading and de parking areas in the larger of life hauhng (A.1.2 B1) villages (+C) improved safety for I_road users and local people Current Maintenance of Roadside Elements Roadside Maintenance: 47 roadway, shoulders and (-) weeds and branches left (-A) obstacles to traffic Manual or mechanical clearing and ditches lying where cut (shoulders, (-B) water drainage through pruning ditches) ditches blocked 48 villages, crops, vegeta- (-) burning of debris (-9 harm to natural envi- hon (-) risk of fire spreading to ronment and crops, and surroundings quality of life affected (-) herbicides entrained by ( -9 destruction of local water peoples' homes (-9 chemical pollution of water 49 slopes, shoulders, sides (+) elimination of burning (+C) conservation of plant of ditches (+) use of manual tools cover (+) plants not crushed by (+C) stabilization of slopes, grader ditch sides and shoulders (+) stumps and rootstocks of (+C) erosion reduced _________________________________ ______ ~bushes, etc.. retained Roadside Maintenance: Manual or me- 50 areas where trash is (-) water drainage blocked (-B) overflowing, spreading chanical ditch dumped in ditches (-) reduction of water- of runoff A. Clearing of trash dumped or carried carrying section of ditch (-B to -C draining of fouled into ditches water 51 shoulders and roadway (t saturation of roadbed and (-B) instability of slopes, slopes creep of shoulders and road- (-) submersion of roadway way and risk of senous rutting (-9 risk of users getting under traffic stuck in the mud 52 heaps of matenal deared (-) piles close to edge of ditch (-C) ditches become dogged from ditch quicker 53 trash deared from ditch (+) natural vegetation re- (+B) limitation of water pol- growth possible with an- lution choring of soil (+B) irnprovement of natural ________________________ environment Roadside Maintenance: Manual or me. 54 ditches: bottoms and (-) ditch sides destabilized (-C) destabilization of soil chanical ditch sides eroded (-) entrainment of fines qualites B. Ditch erosion control (-C regressive erosion 55 shoulders (-) degradation of shoulders (-B) water pollution (-) instability of saturated (-B to -C traffic hazard areas (-) regression erosion in wet I ~~~~~~season 56 actions on water drain- (+) reduction of ditch slope (+B) soil conservation age areas: diverging and slowing of water velocity (+C) no water pollution ditches, laying-up basins (+) limitation of ditch length (+C) less erosion of road or of drainage area (+) reduction of runoff 57 actions to strengthen (+) destruction of ditch sides (+9 reduction of erosion and eroded ditch sides reduced water pollution (+) strengthening of soil (+B) protection of natural resistance environment adjacent to ditches 210 APPENDIX 2 continued... Roadside Maintenance: 58 structure obstructed (-) water drainage constricted (-C) rapid erosion of fine Maintenance of drainage structures and (-) bottlenecks and overflows sOils Control of sand encroachment upon (-C) water pollution structures (-C) major disruption of movernents of goods and persons Roadside Maintenance: Control of sand 59 clearing of deposits same as para. 53 same as para. 53 encroachment upon structures (continuation) Roadside Maintenance: Control of ero- 60 foundations eroded (-) destruction of supports (-C) rapid erosion of fine sion of structures (-) road cut by collapse of soils structure (-C) water pollution (-C) major disruption of movements of goods and persons 61 erosion of banks (-) bypassing of abutments (-C) rapid destabilization of (-) destabilization of slopes of soil and banks banks and embankments (-C) water pollution (-) road cut (-C) halting of movements of _____________________ goods and persons 62 repair of structure (+) protection of foundation (+C) reduction of erosion and foundation and cutoffs soils water pollution (+B) improved drainage 63 rockfill or cribs on slopes (+) improved stability of same as para. 72 (banks, embankments) bank and embankment slopes (+) strengthened erosion resistance Roadside Maintenance: 64 curbs, gutters, rain pipes (+) limnitation of erosion of (+B) reduction of water pollu- Maintenance of curbs, gutters and rain shoulders and slopes tion pipes _ (+C) improved drainage Roadside Maintenance: 65 high slopes (-) considerable runoff (-A/-B) water pollution by Stabilization and maintenance of slopes (-) regressive erosion solids (-) slides (-A) if cohesive, (-C) if sandy _ _______________________________________ modification of soil stability 66 summit ditch - limita- (+) less runoff (+C) less erosion tion of drainage area upsbream 67 steps in slope of bank (+) runoff broken up (+B) less modification of soil (+) drainage split up (ermion) (+B) less water pollution by solids 68 protection of slopes in (+) heightened soil resistance (+C) elimination of local erodible soils (topsoil, erosion planting, fascines, facing) (+C) drainage control Roadside Maintenance: 69 reservation outside of (+) improvement of soil (+B) lessened soil instability Planting and Tree Maintenance shoulders or roadway fixing (+C) improved landscape 70 shade areas (+) rainwater recovery (+B) improvement of quality (+) maintenance of soil mois- of life in villages ture Roadside Maintenance: 71 roadway (work done (-) expanding of dune/road (-C) hindrance and hazard Maintenance against sand encroachment with equipment) contact area for users upon road (-) yearly increase in volume of encroachment 72 maintenance of means (+) better protection of road (+C) improved traffic and used to prevent sand (+) less sand to be cleared road safety conditions encroachment Roadside Maintenance: 73 danger, priority and (+) information on areas with (+C) preservation of safety of Maintenance of upright signing prohibition signs traffic hazards users and of local residents 211 APPENDIX 3 GUIDE TO DEFINING NATURAL AND SOCIAL INDICATORS IN ENVIRONMENTAL ASSESSMENT Category Types of Indicators Environmental Component/ Condition Human Management Ecosystem State (exposure/response) Stresses2 Response3 NATURAL ENVIRONMENT Atmosphere Climate change Air quality Water Freshwater Quality Marine Quality (biota & land) Environment-related Human Health Drinking Water Recreational/agric. water Air Quality (indoor/outdoor) Toxic residues in food Waste management (solid, Haz.) Natural Economic Resources Forestry Agriculture Fisheries Water Use Energy _ _ _ _ _ _ _ SOCIOECONOMIC ENVIRONMENT Related to Individuals Housing * relocation * quality of housing * neighborhood Transportation * accessibility * affordability Health and Safety Family Social Relations Consumption Related to the Communi t Public Services Community Provisions Community Structure and Process Community Resources 1. Measures of condition are those that refer to the quality and quantity of an environmental component or natural resource. They include the various exposures or responses (alterations/changes) of the environment to human activities or conversely the direct effect on people 2. Measures of human activity or stress refer to emissions and discharges, restructuring, or consumption of environmental resources that result from human activity. 3. Measures of management response refer to the actions, policies and programs undertaken to respond to stress on the overall state of the environment or one of its components. Source: Environment Canada, and Krawetz, Natalia. 1991. Social Impact Assessment; An Introductory Handbook. Halifax, Canada: EMDI Project Publication, Dalhousie University 213 Other sources of information Further information may be obtained from numer- France: Service d'Etudes Techniques des Routes ous national and international organizations which et Autoroutes (SETRA) have an interest in roads and environment, includ- 46, avenue Aristide Briand - BP 100 92223 ing the following: Bagneux, France United Nations Environment Program Japan: Japan Intemational Cooperation Agency (UNEP) (JICA) Tour Mirabeau, 39-43 Shinjuku Mitsui Bldg. 46/FL Quai Andre Citroen 1-1, Nishi-Shinjuku, 2-Chome, Shinjuku-Ku, 75739 Paris, Cedex 15, France Tokyo 163-04, Japan Organization for Economic Cooperation and Japan: Overseas Economic Cooperation Fund Development (OECD) (OECF) Road Transport Research Program Takebashi Godo Bidg. 2 rue Andre Pascal, 75775 Paris, Cedex 16, 4-1, Otemachi I-Chome, Chiyoda-Ku, France Tokyo 100, Japan Permanent International Association of Road Sweden: National Road Administration Congresses (PIARC) S-78187, Borlange, Sweden 27 rue Guenegaud, 75006 Paris, France United States: Federal Highway Administration Australia: Victorian Roads Corporation 400 Seventh Street, S.W. (VicRoads) Washington, DC 20577, USA 60 Denmark Street, Kew, Victoria, Australia, 3101 United Kingdom: Overseas Development Ad- ministration International EIA Network 94, Victoria Street, London, SWlE 5JL, UK Australian Environmental Protection Agency Attn: M. McCabe Other documents which may be usefulfor readers of Tel: +61-6-274-1936 this handbook include: Fax: 274-1620 Email: mmcabe@mgdestmxOl@erin.gov.au * Environmental Impact Assessment of Roads, Organization for Economic Cooperation and Canada: Canadian International Development Development, Scientific Expert Group El, Agency (CIDA) 1994. 200 Promenade du Portage, Hull, Quebec . Manual of Environmental Appraisal, Overseas KlA OG4 Canada Development Administration, UK. 215 ROADS AND THE ENVIRONMENT: A HANDBOOK . Application of Environmental Impact Assess- * Environmental Impact Assessment: Guidelines ment: Highways and Dams, Environmental Se- for Transport Development, ESCAP - Envi- ries No. 1, ECE/ENV/50, United Nations, ronment and Development, United Nations, New York, 1987. New York, 1990. * Environmental Impact Assessment and Highway * OECD Environment Monographs: No. 4 Envi- Planning, William V. Kennedy. Berhn: Ed. ronmental Assessment and Development Assis- Sigma Bohn, 1985. tance, OECD, Paris, 1986. . Environmental Impact Assessment: Theory and * Design Manualfor Roads and Bridges: Guideline Practice, P. Wathern and contributors. Unwin for EA; Vol. 11, Parts 1-4. British Highway Hyman Ltd. 1988. Authority, London, 1993. * Environmental Design Considerations for Rural * Vetiver Grass for Soil and Water Conservation. Development Projects, United States Agency Technical Paper No. 275. World Bank, for International Development, October 1980. Washington, DC, 1995. 216 Glossary Aldehydes A major pollutant group which includes many odorous organic compounds. Formaldehyde is one carcinogenic member of the group which is a by-product of the combustion of alcohol in engines. Biodiversity Short for biological diversity, biodiversity refers to the wealth of ecosystems in the biosphere, of species within ecosystems, and of genetic information within populations. Biogeochemical cycle Refers to the movement and transformation of energy and matter through biological and physical processes. Biosphere That part of the earth-atmosphere system which supports and is characterized by life, encompassing all terrestrial and aquatic ecosystems. Biota A collective term which denotes all the living organisms in a particular space. Bushmeat Refers to wild game which is hunted, usually illegally and often for purposes of sale, as opposed to subsistence. The term is most commonly applied in Africa to poaching activities. The procurement of bushmeat is one of the impacts on local fauna which commonly accompanies road projects in areas supporting game species. Casual water Refers to standing water which results from roadwork activities and is found in puddles, old tires and barrels on or near construction sites. Casual water can serve as a breeding ground for snails, flies and mosquitoes, which can contribute to disease problems in the area surrounding the road site. Chain impacts Impacts which are themselves a result of other impacts, as opposed to being caused directly by any particular event. Chain impacts are usually considered as part of a series of related impacts having a cascade or ripple effect on the environment. Culture broker A person, agency or other organization which, because of past experience with and knowledge of an indigenous group, is called upon to act as an intermediary between the leadership of the indigenous group and road planners whose proposed projects may affect the territory and lifestyle of the group. Cumulative effects Those effects which result from the incremental impacts of individual events, when added to other past, present and foreseeable future events. The individual impacts contributing to the cumulative effects may each be minor on their own, but the impacts collectively may be significant. 217 ROADS AND THE ENVIRONMENT: A HANDBOOK Ecosystem The basic structural unit of the biosphere, ecosystems are characterized by interdependent interaction between the component species and their physical surroundings. Each ecosystem occupies a space in which macro-scale conditions and interactions are relatively homogeneous. Ecotone A habitat which occurs at the boundary between adjacent but significantly different ecosystems. Ecotones are generally relatively biodiverse, as they may contain species native to both bordering ecosystems. Economic valuation of The group of procedures used to estimate, in monetary terms, the costs enviromnental and benefits arising from project-related impacts affecting both the bio- impacts (EVEI) physical and social environment, in relation to a similar calculation which assumes a no-project scenario. Endemism Refers to a condition in which species occur only in a single spatially- limited and distinct location, such as isolated islands, mountain valleys, caves, lakes and craters. Endemic species are often highly specialized to the limited environmental conditions in which they exist, and are thus vulnerable to changes introduced from outside. Environment The context in which something exists. For humans this means both the biophysical world and society. Included in our enviromnent are biophysical components such as flora, fauna, water, air and landforms, and human societal constructs such as economic activity, community interactions and buildings. Environmental The systematic process by which the effects on the biophysical and assessment (EA) socioeconomic environment of a proposed human action or set of actions are evaluated, producing a set of recommendations which serves as influential input to the design of the action or actions. Environmental The synthesis of all proposed mitigative and monitoring actions, set to management plan a timeline with specific responsibility assigned and follow-up actions (EMP) defined. The EMP is one of the most important outputs of the environmental assessment process. Green-field Refers to new road projects which are planned for or are being built in areas where no previous roads exist, such as wild and agricultural areas. Indigenous peoples Collectively, the members of those cultures which have historic, ancestral, spiritual and functional connection to the land on which and from which they live. In popular usage, indigenous peoples are distinguished from members of those cultures whose connection to the land on which they live is limited to the historical period. 218 GLOSSARY Karst topography A topography which results from the differential dissolution of limestone by water, and is characterized by extensive cave systems and dramatic outcroppings. Good examples are found in Vietnam, China, Thailand, Mexico and the Dominican Republic. Karst environments, especially caves, often harbor endemic and rare species, and are particularly threatened by disruption to groundwater flow and quarrying, both common road-related occurrences. Key stakeholders Those inhabitants of an area affected by a project who have the most to lose and the most to gain from the completion of the project, and whose concerns must be addressed in an environmental assessment. Landscape RefeTs to the spatial organization of an environment on a broad scale, and how that organization shapes, and is shaped by, the activities which take place within it. Natural areas Terrestrial and aquatic areas in which the component ecosystems are characterized primarily by native species, and in which human activities have not altered ecological function to the point where the ecosystems have changed in character or distribution. Proponent The agency, unit or individual who is proposing, and has responsibility for, a road project. Public involvement The dialogue, encompassing consultation and communication, between a project proponent and the stakeholders. It includes dissemination, solicitation, and presentation of information. Resettlement Action An action plan prepared as part of an EA to address the issues of Plan (RAP) involuntary resettlement, compensation and rehabilitation of people and communities affected by a road project. Resilience A measure of how quickly a system or environmental variable returns to its natural state following cessation of a disturbance. Stakeholder Any person or group having interest in or being directly or indirectly affected by a proposed or past project Sub-project In this handbook, refers to individual road projects which together make up sector-wide road improvement or construction programs. Synergistic effects Those effects which result from the combination and interaction of individual impacts. The effects are often greater than the sum of the individual contributing impacts. Trophic An ecological term referring to the positioning of organisms in the food chains of their respective biological communities. The lowest level is commonly associated with the primary producers, which transform the sun's energy into tissue which becomes food for higher trophic levels, and the highest level with large carnivores which normally have no predators. 219 ROADS AND THE ENVIRONMENT: A HANDBOOK UTM (Universal A worldwide geographic location system which, as opposed to using Transverse Mercator) latitude and longitude to indicate a position on the earth's surface, employs an elaborate numbering and grid system which permits one to pinpoint a location with great accuracy. Valued ecosystem A social or biophysical component of an environment which is of value component (VEC) (for any reason) in a project area. Examples might be a watershed, fertile farmland, a clean water supply, or a nutritionally important forest area. 220 Index -A- drainage, 178 Accident(s) earthworks, 177 accurate recording and reporting of, 168 environmental contract clauses, 16, 180, 182, blackspots, 169, 171, 172 185 prevention, 165,170, 171 fueling and servicing, 177 rates as related to motorization, 166 management of activity, 178 Acid precipitation, 93 occupational health and safety, 182, 185 Aerial photography paving, 26, 65, 178, 180, 181 in cultural heritage site detection, 142 quarries and borrow pits, 177 AIDS site preparation, 178 roads and, 166 site rehabilitation, 179 Air pollution (see also Emissions) work sites, 30, 166, 176 air quality standards, 90,94 Consultation (see also Public involvement) buildings and, 93 and business, 128 cultural heritage sites and, 93 establishing scope of, 29 factors contributing to, 90, 94 household surveys, 128 health effects, 167, 169 in landscape analysis, 149 impact on animals, 93 Cultural heritage impact on food crops, 93 aesthetic impacts, 140 industrial, 90 and tourism, 144 international cooperation and, 90 assessment of significance, 140, 143 leaf necrosis and, 93 development of institutional capacity for national policy initiatives and, 90 management, 145 primary pollutants, 90 international and national law, 141 secondary pollutants, 91 pertinent legislation, 141 vehicular, 90 site detection, 142 Air quality site inventories, 141 measurement, 94 site management plans, 144 standards, 94 toponyms (place names), 141 -B- values, 141 Biodiversity, 5,40, 99, 100, 102, 104, 105, 109, 110 -D Biogeochemical cycle, 101, 105 Disease Biological oxygen demand (BOD), 101 roads as vectors for, 166 Borrow pits, 27, 30, 41, 70, 73, 76, 87, 100, 178, water quality and, 167 183, 184 -E- -C- EA types Communities class (programmatic), 9 by-pass of, 115 project-specific, 8 culture shock and, 116 regional, 9 disruption of interactions, 114 sectoral, 10 gentrification of, 116 summary environmental evaluation, 9 roadside business activity in, 115 Economic valuation of environmental impacts Compensation for expropriation (EVEI) and property markets, 127 benefit-cost ratio, 189 consultation and participation, 126 changes in productivity approach, 191 manner in which paid, 127 choosing the right approach, 190 replacement of assets, 127 contingent valuation approaches, 194 timing of payments, 127 direct valuation approaches, 191 valuation of assets, 126 discount rate, 188, 189 Computer internal rate of return (IRR), 189 databases, 105, 106 land value approach, 192 modeling, 83, 106, 159 loss of earnings approach, 192 Construction loss-of-earnings approach, 192 221 ROADS AND THE ENVIRONMENT: A HANDBOOK net present value (NPV), 189 synchronization with project development opportunity cost approach, 191 process, 7 prerequisite information, 190 time requirements, 27 preventive expenditures approach, 193 types (see also EA types), 8 property value approach, 192 valued ecosystem components (VECs), 23, 24, relocation costs approach, 194 25, 26, 33, 34, 35, 36, 37, 38, 105, 182, 190, replacement costs approach, 193 194, 196,197 shadow project approach, 194 Environmental contract clauses, 182 surrogate market value approaches, 192 Environmental impact statement (EIS) Ecosystem approach and methodology, 30 concept, 4 components of, 29 equilibrium in, 4,100, 102 structure, 29 human integration in, 4 Enviromnental management plan (EMP) modification of, 100 general, 16, 18, 31, 41, 42, 96, 127, 128, 178, simplification of, 102, 105 182, 185 types, 99, 102 stages of, 16 Education Environmental risk, 182 advocating good health practices, 168, 171 Environmental skills Emissions (see also Air pollution) need for, 5, 14 components, 90 Environmental training control of, 95 for policy specialists, 19 dispersal of, 91, 93, 94, 162 for site supervisors, 19 factors contributing to, 90, 91, 94 for technical specialists, 19 health effects of, 93 need for, 5 vehicle emissions standards, 95 provision of, 18 Environment Erosion and ecosystems, 4 climatic conditions and, 74 definition of, 4 concentration of flow and, 72, 76 Environmental assessment control of, 73 analysis of alternatives, 7, 37, 39, 109 deforestation and, 72 and institutional development, 14 siltation and, 61, 62, 74, 76, 82, 88, 177, 183, conducting studies, 15 191 consideration of alternatives, 37 turbidity and, 72, 82, 84, 101 consultation, 29, 31, 35, 40, 48, 49, 50, 51, 52, -F- 53, 54, 55, 56, 57, 117, 126,134 Flooding, 6, 61, 82, 84, 86, 88, 101, 177, 181, 183 description of baseline conditions, 34 -- documentation, 42 Geographic information systems (GIS), 32,44, 57, duration and budget, 11 83, 106,107 environmental management plan, 31, 41 Groundwater establishment of institutional structures, 19 aquifers, 64, 83, 86, 177 field investigation, 35 computer modeling and, 83, 84 identification of stakeholders, 49, 117 flow of, 82, 83, 104 key steps, 34 geology and, 83 management of the process, 17 hydrographic network, 43, 83 maps, 42,44 quality of, 82 mitigation and compensation planning, 38 recharge of, 85, 86, 106 monitoring and evaluation, 41 water table, 61, 82, 83, 86, 87, 143, 177, 182, 185 objectives, 7 -H- planning, 24 Habitat, 25, 37, 61, 65, 70, 76, 82, 85, 86, 88, 100, policy and legal directives, 14 102,103, 104, 105, 109, 156, 167, 195, 197 report (see also Environmental impact Hazardous materials statement), 29 associated risks, 82 sampling, 35 transport of, 109, 186 scoping, 7, 24 Health screening, 7, 24 awareness campaigns, 172 social assessment component, 8 community services and, 172 spatial scope, 27 construction crews, 166 education, 168 222 INDEX indigenous peoples, 133 use in EA, 42 local population, 166, 179 Mass movements (see also Landslides), 71 water quality and, 86, 167, 171 Mitigation -I- concept, 38 Impacts general, 4, 5, 7, 9, 10, 15, 16, 17, 18, 26, 29, 31, determining significance of, 36 32, 33, 38, 40, 41, 42, 48, 51, 57, 76, 77, 78, direct and indirect, 60 85, 86, 87, 88, 90, 94, 96, 108, 109, 122, 123, ecosystem function, 62 124, 126, 135, 136, 138, 144, 145, 160, 162, on aesthetics, 148 163, 169, 170, 171, 176, 178, 179, 180, 182, on businesses, 123 184, 186, 193, 196 on host communities in resettlement, 125 maintenance and rehabilitation, 182 on the poor, 50 planning, 38 on women, 50 risk of failure, 182 positive and negative, 64 Monitoring prediction, 36 compliance, 41 random and predictable, 64 effects, 41 severity, 65 -N- short- and long-term, 65 National parks, 28, 51, 106, 109 temporal scale, 37 Natural areas urban, 5 protection of, 109 Indigenous peoples rehabilitation of, 109 and ILO convention no. 169, 22, 133, 138 Natural disaster mitgation, 186 compensation for losses, 137 NMVs (nonmotorized vehicles), 116, 170, 171 definition of, 132 -P- development plan (IPDP), 135, 136, 137 Photochemical smog, 90 health, 133 Pollutants international legal conventions, 133 primary, 90 monitoring of IPDP implementation, 137 secondary, 91 national legislation and, 135 Project-affected persons organizations, 135 categories of, 123, 124 rights to land, 133 identification of, 123 rights to resource use, 134 Property ownership and development rights, 125 sense of identity, 132 Protected areas (see also National parks), 110 Informal rights Public involvement and squatters, 122 consultation, 5, 7, 9, 10, 11, 15, 16, 17, 26, 27, -K- 31, 33, 34, 37, 38, 40, 44, 47, 48, 49, 50, 51, Karst formations 52, 53, 54, 56, 117, 120, 124, 126, 128, 135, definition of, 104 137, 141, 158, 188, 189 relevance to biodiversity, 104 consultation framework, 52 -L- enabling environment, 50 Land expropriation (see also Compensation for enabling the poor, 50 expropriation), 122 government agencies and research Landscape institutions, 51 analysis of, 149 guiding principles, 48 design principles, 148 identification of stakeholders, 49 Landscape units information dissemination, 48 criteria for definition of, 150 information presentation, 56 Landslides, 70, 71, 72, 168, 184, 191, 195 information solicitation, 48 -M- Non-govemmental organizations (NGOs), 51 Maintenance and rehabilitation rapid rural appraisal, 54 activities involved in, 180 rapid social appraisal, 54, 56 contract clauses in, 183 women, 50, 51 impacts of activities, 181 Maps Quarries, 27, 30, 41, 76, 77, 100, 140, 183, 184 availability, 42 -R- in cultural heritage assessment, 141 Rapid appraisal pedological (soil), 72, 106 biophysical, 106 presentation, 44 rural, 54 223 ROADS AND THE ENVIRONMENT: A HANDBOOK social, 54 Soil Regulations angle of repose of, 73 concerning environmental standards, 15 compaction of, 70, 177, 178 concerning methodology, 15 consumption of, 70 concerning procedures, 15 contamination of, 72, 73, 77, 102, 196 Rehabilitation erodibility of, 72, 101 social and commercial, 126 erosion of, 16, 19, 41, 60, 61, 62, 69, 70, 71, 72, Resettlement 73, 74, 76, 77, 78, 82, 84, 85, 87, 88, 103, 104, effects on host communities, 125 105, 107, 108, 110, 125, 144, 176, 177, 178, Resettlement action plan 179, 181, 182,183, 184, 193,195, 196, 197 compensation and assistance, 126 fertility, 72, 101, 105, 107 context, 122, 125, 126 organic matter in, 72 steps involved in, 123 organisms in, 72 Resettlement and rehabilitation action plan properties of, 72 (RAP), 42, 126 surveys, 72 Road noise topsoil, 61, 73, 101, 177, 178, 179 and human welfare, 156 type, 70, 73, 81 and vibration, 156 Species and wildlife, 156 aquatic, 6, 61, 64, 82, 88, 93, 101, 103, 104, 106, contributing factors, 156, 158 108, 137, 177 countermeasures, 160, 162 as indicators, 105 forecasting of, 159 diversity, 100, 103 measurement of, 159 endemic, 103, 104 sources of, 156 keystone, 105 standards, 160 native, 102, 103, 105, 107 Road projects non-native, 102 description of need, 25 rare, 104, 105 maintenance and rehabilitation, 180 vulnerable, 103, 104, 105 urban, 5 Squatters, 54, 121, 122, 123, 125, 126, 127, 128 Roadside activities Stakeholders assessment of, 117 definition of, 5, 49, 117 Runoff identification, 117 infiltration of, 73, 85, 86 identification of, 49 land use and, 72 participation in the EA process, 26, 40, 49, 52, watershed conditions and, 72 117 -;3- Standards Safety air quality, 94 determining factors, 168 environmental, 15 national road safety councils, 170 road noise, 160 national road safety plans, 170 Surface water physical road safety features, 170,172 casual water, 169 regional road safety plans, 170 concentration of flow, 72,76,,82, 101 vulnerable road users, 64, 114, 117, 118, 125, flow of, 61, 70, 72, 74, 76, 82, 83, 85, 87, 88, 100, 168, 169, 170, 171,172 125,181 Sand dunes, 76, 78 level of, 82, 83, 101, 104, 178 Sedimentation, 61, 70, 82, 84, 101 pollution of, 83 Settling basins, 85 quality of, 5, 25, 60, 81, 82, 83, 84, 86, 102, 105, Siltation, 61, 62, 74, 76,82, 88, 177, 183, 191 171, 195, 196, 197 Slopes standing, 87, 108, 166, 167 destabilization, 70, 71 suspended matter in, 84, 181 drainage, 71, 75, 76, 77 turbidity of, 72, 82, 84, 101 loading, 70, 71 Sustainable development protection, 38, 74,75 human values and, 190 shear strength (shear resistance), 73 -T- stability, 70 Terms of reference Social surveys design of, 16, 27 anthropological factors, 118 need for, 24 social factors, 118 Time allocation 224 INDEX by study team to phases of study, 18 identification process, 25 Tourism Vegetation and cultural heritage, 144 engineering function of, 73 and road development, 116 establishment of, 38, 73, 75, 77, 78, 87, 88, 95, Traditional modes of transport 107, 153, 171, 177, 178, 179, 180, 182, 184, reduced convenience of, 116 185 Transport of diseases or parasites, 102, 186 herbaceous (see also Vetiveria zizanioides), 73, -U- 104 User services removal of, 60, 61, 65, 72, 73, 102,149 aesthetic considerations, 152 Vehicles conversion of borrow pits and spoil dump national safety standards, 170 sites, 76 Vetiveria zizanioides (vetiver grass), 73, 74 in national parks, 109 -W- safety considerations, 152 Waterways -V- channel diversity, 101, 108 Valued ecosystem components (VECs) crossing of, 62, 85, 87, 88, 101, 104, 107, 108, concept, 25 152, 153, 162, 169, 171, 172 consideration of, 24, 25, 26, 27, 29, 30, 31, 32, rechanneling of, 108, 177 37, 44, 85,96, 99, 104, 105, 106,190, 192 streambed gradient, 108 225 I Distributors of COLOMBIA GERMANY ISRAEL NEPAL -PORTUGAL SWEDEN l nfoenlace Lida UNO-Vedag Yozmot Lherature Ltd. 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