Impact Assessment and Project Appraisal, 2017,Vol. 35, No. 2
《影响评价与项目评估》2017年 第35卷 第2期
版权所有 © IAIA 2017
Project splitting in environmental impact assessment
Álvaro Enríquez-de-Salamanca
http://dx.doi.org/10.1080/14615517.2016.1159425
This paper discusses project splitting in environmental impact assessment (EIA), investigating the current state of knowledge through literature, legislation, case-law and practice, discussing problems and providing solutions. The focus is on Spain, but many of the conclusions are applicable worldwide. Project splitting is a much more common practice than generally accepted. The main efforts have been focused on preventing salami-slicing as a mechanism to avoid the EIA, but it is a much more complex problem, with different ways of splitting and reasons for doing so. Measures to avoid this practice should include strengthening the strategic environmental assessment, a greater involvement of the approval authority, specific prohibitions in regulations, using case-by-case examinations instead of thresholds, compulsory scoping and avoid the exclusion of project parts during the EIA.
Keywords: EIA, project splitting, salami-slicing, Spain
Project splitting in environmental impact assessment
环境影响评价中的项目分解
作者：西班牙Álvaro Enríquez-de-Salamanca
摘要：本文讨论了环境影响评价（EIA）中的项目分解，通过文献资料法、立法、案例法和实践探讨了其发展现状、存在的问题，并提出了解决方案。文章重点研究了西班牙的情况，但许多结论适用于世界各地。现阶段对项目进行分解其实已经超过了大众能够接受的程度。常规审查的主要精力是放在防止使用小份切割项目的机制来规避环境影响评价，但其实项目
分解是一个很复杂的问题，分解方式和理由五花八门。为避免这种情况，应采取以下措施：加强战略环境评价，审批机构更广泛地介入，法规上制定更具体的禁止性规定，用一事一议的审查取代阈值设定，强制性的研究范围界定，以及防止在环境影响评价过程中漏评项目的组成部分。
关键词：环境影响评价；项目分解；小份切割项目；
网址：http://dx.doi.org/10.1080/14615517.2016.1159425
Integrating mine closure planning with environmental impact assessment: challenges and opportunities drawn from African and Australian practice
A. Morrison-Saunders, M. P. McHenry, A. Rita Sequeira, P. Gorey , H. Mtegha and D. Doepel
http://dx.doi.org/10.1080/14615517.2016.1176407
Best practice mine closure planning and environmental impact assessment (EIA) principles share many common features. This research examined how mine closure planning relates to, and can be integrated with EIA by comparing practice in eight African and Australian jurisdictions. Emphasis was placed on key challenges and opportunities associated with: institutional arrangements for mine closure planning; financial mechanisms for mine site closure and rehabilitation including abandoned/legacy mine sites; transparency of mine closure planning and financing provisions; and regulation of artisanal and small-scale mining activity. Data were gathered through document analysis, interviews and interactions with practitioners from Western Australia, Ghana, Kenya, Nigeria, Mozambique, South Africa, Tanzania and Zambia. Issues associated with mine closure planning and rehabilitation under existing arrangements and opportunities for improvement through existing EIA processes already in place in each jurisdiction are explored. All eight jurisdictions have appropriate regulatory provisions in place already, but implementation capacity remains a challenge. Opportunities for effective practice lie in using mine closure planning and EIA measures in an integrated fashion, avoiding duplication and enabling synergies in management to be realised.
Keywords: Mine closure planning, artisanal and small-scale mining, environmental impact assessment, mining securities, rehabilitation
Integrating mine closure planning with environmental impact assessment: challenges and opportunities drawn from African and Australian practice
整合矿山封闭规划与环境影响评价：非洲和澳大利亚实践中总结的挑战和机会
作者：A. Morrison Saunders，M. P. McHenry，A. Rita Sequeira，P. Gorey，H. Mtegha，D. Doepel
摘要：矿山关闭规划和环境影响评价（EIA）的最佳实践在原则上有许多共同的特点。本研究通过比较非洲和澳大利亚的8个国家/地区的实践经验，探讨矿井封闭规划与环境影响评价的关系，研究如何把矿井封闭规划整合到环境影响评价中。研究重点放在以下方面的关键挑战和机遇：矿山关闭规划的制度安排；矿井关闭和场地修复（包括废弃/遗留矿区）的融资机制；矿井关闭规划与融资规定的透明度；手工开采和小规模采矿活动的规范化。研究数据来源于文献分析以及与西澳大利亚、加纳、肯尼亚、尼日利亚、莫桑比克、南非、坦桑尼亚、赞比亚的从业者之间的互动与访谈。文章分析了现有制度安排下矿山关闭规划和修复存在的问题，并探讨了通过每个地区现有环境影响评价程序使之改进的可能性。所有8个地区现在都已有合适的管理规定，但其执行能力仍然是一个挑战。提高管理有效性的机会在于
把矿山封闭规划和环境影响评价措施相融合，避免重复，并协同管理。
关键词：矿山关闭规划；手工开采和小规模采矿；环境影响评价；矿山安全；修复
网址：http://dx.doi.org/10.1080/14615517.2016.1176407
Socio-economic and political barriers to public participation in EIA: implications for sustainable development in the Maldives
Mohamed Hamdhaan Zuhair and Priya A. Kurian
http://dx.doi.org/10.1080/14615517.2016.1176404
Environmental impact assessment (EIA) is a policy process that can lead to more sustainable development by preventing or mitigating the negative impacts of development projects. Public participation in the EIA process, especially one based on the ideals of deliberative democracy, is essential to deliver on the goal of sustainable development that is arguably the primary objective of EIA. This article specifically focuses on a study of public participation in the EIA process of the Maldives. Using a qualitative research design involving an analysis of documents and interviews, it investigates four aspects of a deliberative participatory process: fairness, competence, willingness and capacity. The analysis suggests that the process for public participation in the Maldives cannot be characterized as fully fair or competent. It further identifies several socio-economic barriers that affect the capacity and willingness of the actors to participate including political influence, lack of human and financial capacity, gender gap, loss of community spirit and lack of environmental and procedural awareness.
Keywords: Environmental impact assessment, deliberative democracy, sustainable development, public participation, Maldives
Socio-economic and political barriers to public participation in EIA: implications for sustainable development in the Maldives
环境影响评价中公众参与的社会经济和政治障碍——对马尔代夫可持续发展的启示
作者：马尔代夫Mohamed Hamdhaan Zuhair and Priya A. Kurian
摘要：环境影响评价（EIA）是一个政策过程，通过防止或减轻发展项目的负面影响增进可持续发展。环境影响评价过程中的公众参与，特别是一个基于协商民主理想的公众参与，是实现可持续发展这一可以说是环境影响评价的主要目标所必不可少的。本文特别侧重于对马尔代夫环境影响评价过程中公众参与的研究。文章通过定性研究，包括文献分析和访谈，探讨了协商参与程序的4个方面：公平性、有效性、参与意愿和能力。分析表明，马尔代夫的公众参与过程不能被定性为完全公平或有效。文章进一步确定了影响参与能力和意愿的一些社会经济障碍，包括政治影响、人力和经济能力的欠缺、性别差距、团体精神的丧失，以及环境和程序意识的缺失。
关键词：环境影响评价；协商民主；可持续发展；公众参与；
网址：http://dx.doi.org/10.1080/14615517.2016.1176404
Practice issues for integrating strategic social assessment into the setting of environmental limits: insights from Canterbury, New Zealand
C. Nicholas Taylor and Michael Mackay
http://dx.doi.org/10.1080/14615517.2016.1147261
There is mounting concern in New Zealand and worldwide about the impacts of current and projected land-use activities on freshwater quality. In 2011, the New Zealand government effected the National Policy Statement for Freshwater Management, requiring all regional councils to establish freshwater nutrient loads and water allocation measures in their land and water regional plans. These ‘limits’ must achieve locally defined social, economic and cultural outcomes while, as a minimum, halting any decline in water quality. The authors have participated in the Canterbury region’s strategic land and water planning activities. This has involved strategically assessing the social impacts of ‘limit options’ on aspects of catchment life and then integrating them into official reports and community deliberations, which ultimately inform the development of rules for catchment land use. This paper highlights practice issues which were confronted in the process and how they were managed.
Keywords: Social assessment, integrated assessment, strategic catchment planning, environmental limits, local knowledge
Practice issues for integrating strategic social assessment into the setting of environmental limits: insights from Canterbury, New Zealand
在环境限值设定中纳入战略社会评价的实践问题：新西兰坎特伯雷案例分析
作者：C. Nicholas Taylor and Michael Mackay
摘要：目前，现有和计划中的土地利用活动对淡水质量的影响，在新西兰和世界各地受到越来越多的关注。2011年，新西兰政府发布了淡水管理的国家政策声明，要求各区域市政局在土地和水的区域规划中确立淡水的营养负荷和水分配措施。这些“限制”必须满足当地确定的社会、经济和文化目标，同时也将作为一个最低限度，阻止任何水质的下降。文章作者参与了坎特伯雷地区的土地和水资源战略规划活动，活动涉及从战略层面评价“限制方案”对水生生物的社会影响，然后将其整合到官方报告和社区考量中，最终应用于流域土地利用规则的制定。本文重点分析了在此活动中遇到的实践问题，以及他们是如何解决的。
关键词：社会评价；综合评价；战略流域规划；环境
限制；本土知识
网址：http://dx.doi.org/10.1080/14615517.2016.1147261
Exploring the strategic environmental assessment (SEA) process behaviour using sensitivity analysis
Vincent Onyango
http://dx.doi.org/10.1080/14615517.2016.1140990
This paper reflects on the results from a study that set out to model the behaviour of the strategic environmental assessment (SEA) process as it delivers environmental integration. It applied sensitivity analysis to the English SEA system, whilst viewing the SEA process as composed of a complex interaction of individual elements; through ‘inputs and outputs’ underpinned by negative and positive feedback loops that self-regulate the achievement of environmental integration. The study revealed at least five behavioural characteristics at the level of individual elements based on their relative dominance and consequent influence in process activities. At systemic process level, at least three key behavioural tendencies were identified. Overall, the process was poor in self-regulation, hampered by a lack of adequate feedback mechanisms. No single element or group of elements was critical in shaping process response and self-regulation towards delivering a consistent level of environmental integration.
Keywords: Strategic environmental assessment (SEA), process behaviour, SEA elements, cybernetics, sensitivity analysis, England SEA
Exploring the strategic environmental assessment(SEA) process behaviour using sensitivity analysis
运用敏感性分析探讨战略环境评价（SEA）过程行为
作者：Vincent Onyango
摘要：本文反映了为达到环境整合效果而模拟战略环境评价（SEA）过程行为的一项研究成果。文章应用灵敏度分析研究了英国战略环境评价体系，把战略环境评价过程看做单个要素组分之间复杂的相互作用；通过“输入和输出”的正面和负面的反馈循环，自我调节环境整合的成果。研究基于单个要素在战略环评过程中的相对优势和影响，在要素层面揭示了至少5项行为特征。在战略环评过程层面，确认了至少3项关键的行为倾向。总的来说，这一过
程在自我调节方面还存在不足，缺乏足够的反馈机制是主要的阻碍。没有一个单一的元素或元素组在塑造过程响应和自我调节以达到一致水平的环境整合方面起着关键作用。
关键词：战略环境评价（SEA）；过程行为；战略
环境评价要素；控制论；敏感性分析；英国战略环
境评价
网址：http://dx.doi.org/10.1080/14615517.2016.1140990
Improving the quality of environmental impacts assessment reports: effectiveness of alternatives analysis and public involvement in JICA supported projects
Tetsuya Kamijo and Guangwei Huang
http://dx.doi.org/10.1080/14615517.2016.1176402
This study examined the key factors for improving the quality of environmental impact assessment reports through statistical tests and path analysis. The Lee-Colley review package was used to review the quality of the samples of 120 reports prepared by the Japan International Cooperation Agency dating from 2001 to 2012. The result of the study showed that alternatives analysis and public involvement could be key factors for improving the quality of reports. When the number of public involvement stages went up, the number of evaluation criteria for alternatives analysis showed an increasing trend and the quality of the reports improved. Finally, the study pointed out the effectiveness of alternatives analysis with a wide range of evaluation criteria and public involvement for improving the quality of reports. Further research is needed to explore alternatives analysis and public involvement in more depth as well as to improve the effectiveness of their linkage via more case studies.
Keywords: Alternatives analysis, public involvement, statistical tests, path analysis, the Lee-Colley review package
Improving the quality of environmental impacts assessment reports: effectiveness of alternatives analysis and public involvement in JICA supported projects
提高环境影响评价报告质量：日本国际协力机构资助项目的公众参与和替代方案分析的有效性
作者：Tetsuya Kamijo and Guangwei Huang
摘要：本研究采用数据测试和路径分析的方法探讨了提高环境影响评价报告质量的关键因素。应用Lee Colley审查包对日本国际协力机构从2001年到2012年资助的120个项目中的部分项目的环评报告质量进行了审核。研究结果表明，替代方案分析和公众参与可能是提高报告书质量的关键因素。当公众参与阶段的数量上升时，替代方案分析评价标准的数量呈上升趋势，报告质量也有所提升。最后，研究指出，使用广泛的评价标准来分析替代方案并促进公众参与，能有效提高报告书的质量。有必要开展进一步的研究，通过更多的案例，更深入地探索替代方案分析和公众参与，并有效提高其关联性。
关键词：替代方案分析；公众参与；数据测试；路径
分析；Lee Colley审查包
网址：http://dx.doi.org/10.1080/14615517.2016.1176402
PROFESSIONAL PRACTICE PAPER
Unconventional shale gas development: challenges for environmental policy and EA practice
Nonita T. Yap
http://dx.doi.org/10.1080/14615517.2016.1176405
The growth of unconventional shale gas development has been accompanied by controversy over its environmental and social impacts. This paper reviews recent literature to clarify what is known and not known about the physical, chemical and toxicological properties of the process chemicals and wastewaters generated in hydraulic fracturing, the mechanisms and pathways by which they enter surface water and groundwater aquifers and the risks posed to human and ecosystem health. Assessing the impacts of unconventional shale gas development is clearly constrained by a lack of baseline information, complex hydrogeological histories for natural migration of hydrocarbons, lack of tracers to monitor and verify the source, timing and mechanism of contaminant migration into water resources. This is compounded by lack of transparency and accountability in policy decisions. The paper argues that managing the social and environmental risks of unconventional shale gas development calls for a new generation of impact assessment, one that marries the ideals of strategic environmental assessment, cumulative effects assessment, backcasting and deliberative and inclusive processes of community engagement towards collective risk management.
Keywords: Hydraulic fracturing, risk-based environmental assessment, unconventional shale gas development, deliberative and inclusive process, collective risk management
Unconventional shale gas development: challenges for environmental policy and EA practice
页岩气开发：环境政策和环境评价的挑战
作者：Nonita T. Yap
摘要：页岩气的开发一直在其环境和社会影响方面存在着争议。本文综述了近年来的相关文献，以便澄清以下问题的研究现状：水力压裂过程中产生的化学品和废水的物理、化学和毒理学性质，其进入地表水和地下水含水层的机制和途径，以及其对人类健康和生态系统构成的风险。页岩气开发的影响评估显然受到缺乏本底信息的限制，以及对碳氢化合物的复杂自然迁移水文地质史、示踪剂监测和验证源的匮乏，污染物迁移到水资源的机制和时间认知不足的制约，并且政策决策机制又缺乏透明度和问责制。本文认为，页岩气开发的社会和环境风险管理需要一种新一代的影响评估模式，此评估应综合战略环境评价、累积影响评价
理念，以及协商和包容性的社区参与过程，以达到综合的风险管理。
关键词：水力压裂；基于风险的环境评价；页岩气开
发；协商包容的过程；综合风险管理
网址：http://dx.doi.org/10.1080/14615517.2016.1176405
Systems thinking and SEA
Anastássios Perdicoúlis
http://dx.doi.org/10.1080/14615517.2016.1152731
Systems thinking seeks ‘how things work’ in an explicit way, considering not only the elements of systems (or processes) but most importantly the relationships between them. Its suggested contribution to SEA is that practitioners and researchers who are either (a) not entirely satisfied by reductionistic approaches based on behaviour or statistics (e.g. ‘black boxes’ or ‘composite points’), or (b) pro-active enough to seek understanding about the SEA process, SEA systems (e.g. per country), as well as the ‘object systems’ of SEA (physical and social structures) will be able to fulfil their curiosity or need for unequivocal and transparent documentation in what respects structure and function.
Keywords: Systems thinking, SEA, structure and function, understanding
Systems thinking and SEA
系统思维与战略环境评价
作者：Anastássios Perdicoúlis
摘要：系统思维追求用明确的方式说明事物是如何运作的，不仅考虑系统要素（或过程），而且最重要的是考虑其间的关系。它对战略环评的成果贡献在于：（a）不完全满足于基于行为或数据的简化法（如“黑箱理论”或“复合点”），或者是（b）足够积极主动地寻求理解
战略环境评价整个程序和体系（例如，各国的战略环境评价），以及评价的“对象系统”（物理和社会结构）的战略环境评价从业人员和研究人员能够满足他们的好奇和需求，编制结构和功能明确直观的文献。
关键词：系统思维；战略环境评价；结构与功能；理解
网址：http://dx.doi.org/10.1080/14615517.2016.1152731