ANNEX 6: CONTENT AND FORMAT OF IEE AND SIEE

INTRODUCTION

1. IEE is an important tool for incorporating environmental concerns at the project

level. IEE should be carried out as early as the project planning stage as part of feasibility thus
it can assure that the project will be environmentally feasible. The general objectives of IEE
study should at least cover the following:

(i) to provide information about the general environmental settings of the project area as
baseline data;
(ii) to provide information on potential impacts of the project and the characteristic of the
impacts, magnitude, distribution, who will be the affected group, and their duration;
(iii) to provide information on potential mitigation measures to minimize the impact including
mitigation costs;
(iv) to assess the best alternative project at most benefits and least costs in terms of
financial, social, and environment. It is not always necessary to change location of
the project, but it can be changed in project design or project management; and
(v) to provide basic information for formulating management and monitoring plan

2. The IEE is conducted if the project is likely to have minor or limited impacts, which
can easily be predicted and evaluated, and for which mitigation measures are prescribed
easily. However, the IEE is also used to confirm whether this is, indeed, requires an
EIA (see Appendix 2) as a follow up.

The Process in Preparing IEE

3. An early step is to determine the scope of the IEE study. This activity is known as
“scoping” as a procedure designed to establish the terms of reference (TOR) for the IEE. The
scoping procedure should at least produce the following outputs:

(i) identify the likely environmental impacts or other environmental concerns and
consideration that need to be further investigated in IEE study
(ii) identify environmental component which need detailed or further study
(iii) determine the general approach and methodology required to carry out the IEE study
(iv) identify in general all affected interest to be consulted in carrying out IEE study
(v) identify the need to fit the outputs of IEE into the project context especially on
environmental management and monitoring plan

4. The next step is undertaking IEE study, and the following are key important activities:

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1. Describing Environmental Condition of the Project Area

5. Collection of baseline information on biophysical, social and economic aspects of

the project area is the most important reference for conducting IEE study. The
description of environmental settings includes the characteristic of area in which the
activity of proposed project would occur and it should cover area affected by all
impacts including potential compensation area, and potential area affected by its
alternatives. Normally, information is obtained from secondary sources when there is a
facility of maintaining database, or other existing documentation, and through field
sampling. Collection of baseline data should be designed to satisfy information
requirements and should focused on relevant aspects that are likely to be affected by the
proposed project. Therefore, the level of detail in this description of study area should be
sufficient to convey to readers nature of environmental and social resources condition of
the affected areas.

2. Assessing Potential Impact

6. The "technical heart" of the environmental assessment process involves the prediction
of changes over time in various environmental aspects as a result of a proposed project.
The prediction of the nature, extent, and magnitude of environmental changes likely to result
from a proposed project is aided by various tools and techniques, the choice of which
depends upon the impacts of concern, data availability or lack thereof, and the
appropriate specificity of quantitative models. However, the choice of the appropriate
method for conducting an environmental assessment can only be guided by certain criteria,
but no single method will meet all the necessary criteria. In addition, the prediction has to be
based on established scientific knowledge that is still very limited in ecosystems in most
DMCs. For this reason, the prediction
of ecological changes and their impacts often does not generate concrete conclusions on the
magnitude of the impacts.

3. Formulating Mitigation Measures

7. Once the impacts have been analyzed, their significance will be determined,
i.e., whether they are acceptable, require mitigation, or are unacceptable. Subsequently,
measures will be devised to mitigate anticipated environmental changes and consequential
impacts during project implementation and operation, or further reduce the residual
environmental changes inherent in the selected project design. They normally include
technical, social, and institutional measures to be implemented as integral elements of the
project. Examples are sound operating rules of a reservoir to ensure minimum impacts on
downstream water users, and installation of
an electrostatic precipitator to remove fly ash in a coal-fired power plant project, and adequate
drainage system in an irrigation project.
4. Preparing the Institutional Requirements and Environmental Monitoring Plan

8. Environmental management involves the implementation of environmental

protection and mitigation measures and monitoring for significant environmental impacts.
Environmental protection measures are taken to: (i) mitigate environmental impacts, (ii)
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provide in-kind compensation for lost environmental resources, or (iii) enhance environmental
resources. These measures are usually set out in a plan, which covers all phases of
the project from pre- construction through decommissioning, and outlines mitigation and
other measures that will be undertaken to ensure compliance with environmental
regulations and reduce or eliminate adverse impacts. The basic implementation
arrangements should be presented - taking account of the local conditions.
Responsibilities for mitigation and monitoring shall be defined along with arrangements
for information flow, and for coordination between agencies responsible for
mitigation A plan should specifies who/which agency is responsible for undertaking the
mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring,
training, and financing. A third party may be contracted in case the local authorities’ capacity is
limited. Institutional strengthening activities may be proposed, including
establishment of appropriate organization arrangements; appointment of key staff
and consultants; and arrangements for counterpart funding.

9. Environmental monitoring involves: (i) planning a survey and sampling program

for systematic collection of data/information relevant to environmental assessment and
project environmental management; (ii) conduct of the survey and sampling program; (iii)
analysis of samples and data/information collected, and interpretation of data and
information; and (iv) preparation of reports to support environmental management.
Environmental monitoring is normally carried out before and during planning to
establish baseline data needed for Environmental assessment and evaluating
environmental impacts during project implementation. It continues through project
operation to detect changes in the key environmental quality parameters, which can
be attributed to the project. The results of the monitoring program are used to evaluate
the following: (i) extent and severity of the environmental impacts against the predicted
impacts; (ii) performance of the environmental protection measures or compliance with
pertinent rules and regulations; (iii) trends in impacts; and (iv) overall effectiveness of the
project environmental protection measures.

10. Environmental monitoring should have clear objectives, and the survey and
sampling program custom-designed to focus on data/information actually required to meet
the objectives. In addition, the design of the monitoring program has to take into account
its practicability considering the technical, financial, and management capability of the
institutions that will carry out the program and period of monitoring that will be needed to
achieve the objectives (see Table 1). The monitoring program should include action or
emergency plans so that appropriate action can be taken in the event of adverse monitoring
results or trends. It should also be constantly reviewed to make sure that it is effective, and
determine when it can be stopped.

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 Table 1: Features of an Effective Environmental Monitoring Plan

• Realistic sampling program (temporal and spatial)

• Sampling methods relevant to source
• Collection of quality data
• Comparable new data with other relevant data used in environmental assessment
• Cost-effective data collection
• Quality control in measurement and analysis
• Innovations (e.g., in tracing contaminants and automated stations)
• Appropriate databases
• Multidisciplinary data interpretation to provide useful information
• Reporting for internal management and external checks
• Allowance for, and response to, input from third parties
• Presentation in the public arena (external assessment)

11. Both the environmental management and monitoring plans need to include who
will implement them, when, and where. The capacity of the executing agency, local
government, and community organization should be reviewed to identify feasible approach for
implementing the plans. The project lifecycle should be taken into account in setting
the timing of implementation. For example, plans should environmental mitigation
measures should be implemented in the engineering design for the contract documents, and
materials to be avoided in procurement, among others. On the other hand, the location for
monitoring should be selected based on where the impacts would occur, and the areas to be
affected. To ensure that the environmental management and monitoring plans will be
implemented, it is necessary to identify the key management issues to be included as a
requirement either as a loan covenant
or conditions for implementing the project.

Documenting IEE Studies

12. IEE reports and their summaries (SIEE) should be presented in certain way to meet
the requirements of ADB and the DMC. However, wherever possible, ADB requests that
the Borrower follow ADB-prescribed format for IEE. This is to ensure that
environmental assessment results are presented in a clear and concise fashion to contribute
most effectively to decision-making. However, if several other financial institutions fund the
proposed Project in the form of co-financing modality, it is necessary for ADB to come up with
an agreement with those institutions on IEE reporting requirement. In this context, it is
necessary to ensure that the content of the IEE reports cover all issues required by ADB.
Although the presentation of the IEE report may not follow ADB’s standard, it is necessary
to ensure that the SIEE should be formulated and presented in accordance to ADB’s
guideline.

1. Initial Environmental Examination

13. The content and format of the IEE report is in Table 2. If the approved IEE
concludes that the project will not have any significant adverse environmental
impacts, then the environmental assessment is deemed complete. If there are
unresolved issues, the recommendation should be either that further studies be undertaken
to resolve the issues, or that a full EIA is required.
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Table 2: Outline of an IEE Report

A. Introduction
B. Description of the Project
C. Description of the Environment
D. Screening of Potential Environmental Impacts and Mitigation Measures
E. Institutional Requirements and Environmental Monitoring Plan
F. Public Consultation and Information Disclosure
G. Findings and Recommendation
H. Conclusions

a. Introduction

14. This section usually includes the following:

(i) purpose of the report, including (a) identification of the project and project
proponent; (b) brief description of the nature, size, and location of the project and of
its importance to the country; and (c) any other pertinent background
information; and

(ii) Extent of the IEE study: scope of study, magnitude of effort, person or agency
performing the study, and acknowledgement.

b. Description of the Project

15. Furnish sufficient details to give a brief but clear picture of the following (include
only applicable items):
(i) type of project;
(ii) category of Project;
(iii) need for project;
(iii) location (use maps showing general location, specific location, and project site);
(iv) size or magnitude of operation;
(v) proposed schedule for implementation; and
(vi) descriptions of the project, including drawings showing project layout, and
project components. This information should be of the same type and
extent as is included in feasibility reports for proposed projects to give a
clear picture of the project and its operations.

c. Description of the Environment

3. Furnish sufficient information to give a brief but clear picture of the existing environmental
resources in the area affected by the project, including the following (to the extent applicable):

(i) Physical Resources: (e.g.)

ƒ atmosphere (e.g. air quality and climate)
ƒ topography and soils,
ƒ surface water
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 ƒ groundwater
ƒ geology/seismology.

(ii) Ecological Resources: (e.g.)

ƒ fisheries
ƒ aquatic biology
ƒ wildlife
ƒ forests
ƒ rare or endangered species
ƒ protected areas
ƒ coastal resources

(iii) Economic Development: (e.g.)

ƒ industries
ƒ infrastructure facilities (e.g. water supply, sewerage, flood control)
ƒ transportation (roads, harbors, airports, and navigation)
ƒ land use (e.g. dedicated area uses)
ƒ power sources and transmission
ƒ agricultural development, mineral development, and tourism facilities

(iv) Social and Cultural Resources: (e.g.)

ƒ population and communities (e.g. numbers, locations, composition,
employment)
ƒ health facilities
ƒ education facilities
ƒ socio-economic conditions (e.g. community structure, family structure, social
well being)
ƒ physical or cultural heritage
ƒ current use of lands and resources for traditional purposes by Indigenous
Peoples
ƒ structures or sites that are of historical, archaeological, paleontological, or
architectural significance.

d. Screening of Potential Environmental Impacts and Mitigation Measures

16. Using the checklist of environmental parameters for different sector projects, this section
will screen out “no significant impacts” from those with significant adverse impact by reviewing
each relevant parameter according to the following factors or operational stages.
Mitigation measures, where appropriate, will also be recommended environmental problems
due to project location, and related to project design, construction, and operations. Potential
environmental enhancement measures and additional considerations will also be covered.

e. Institutional Requirements and Environmental Monitoring Plan

17. This section should state the impacts to be mitigated, and activities to implement
the mitigation measures, including how, when, and where they will be implemented.
Institutional arrangements for implementation should be described. The environmental
monitoring plan will describe the impacts to be monitored, and when and where monitoring
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activities will be carried out, and who will carry them out. The environmental management and
monitoring costs should also be described.

f. Public Consultation and Information Disclosure

18. This section will describe the process undertaken to involve the public in project design
and recommended measures for continuing public participation; summarize major comments
received from beneficiaries, local officials, community leaders, NGOs, and others, and describe
how these comments were addressed; list milestones in public involvement such as dates,
attendance, and topics of public meetings; list recipients of this document and other project
related documents; describe compliance with relevant regulatory requirements for
public participation; and summarize other related materials or activities, such as press
releases and notifications. This section will provide of summary of information disclosed
to date and procedures for future disclosure.

g. Findings and Recommendations

22. This section will include an evaluation of the screening process and recommendation will
be provided whether significant environmental impacts exist needing further detailed study or
EIA. If there is no need for further study, the IEE itself, which at times may need to
be supplemented by a special study in view of limited but significant impacts,
becomes the completed environmental assessment for the project and no follow-up EIA will
be needed. If an EIA is needed, then this section will include a brief terms of reference
(TOR) for the needed follow-up EIA, including approximate descriptions of work tasks,
professional skills required, time required, and estimated costs. The Bank's Environment
Guidelines provides a guide for preparing the TOR for different projects.

h. Conclusions

19. This section will discuss the result of the IEE and justification, if any, of the need for
additional study or EIA. If an IEE, or an IEE supplemented by a special study, is sufficient
for the project, then the IEE with the recommended institutional and monitoring program
becomes the completed EIA.

2. Summary Initial Environmental Examination Report

20. The summary IEE (SIEE) report is the executive summary of the IEE report. It describes
the significant findings of the IEE report, and recommendations to manage them. The SIEE
report should be presented clearly and concisely as a stand-alone document (see Table
3) for submission to the Board and disclosure to the public.

Table 3: Outline of an SIEE Report

A. Introduction (1/2 page)

This section will include the purpose of the report, extent of the IEE study and brief
description of any special techniques or methods used.

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 B. Description of th e Project (1/2 page)
This section will include the type of and need for the project; and project location, size or
magnitude, operation, and proposed schedule for implementation.

C. Description of the Environment (2 pages)

This section will include the physical and ecological resources, human and economic
development, and quality of life values.

D. Forecasting Environmental Impacts and Mitigation Measures (2-4 pages)

This section will identify "no significant impacts" from those with significant adverse impacts
and will discuss the appropriate mitigation measures, where necessary.

E. Institutional Requirements and Environmental Monitoring Plan (1 page)

This section will describe the impacts to be mitigated, and activities to implement the
mitigation meas ures, including how, when, and where they will be implemented. The
environmental monitoring plan will describe the
impacts to be monitored, and when and where monitoring activities will be carried out, and who
will carry them out.

F. Public Consultation and Disclosure

This section will describe the process undertaken to involve the public in project design and
recommended measures for continuing public participation; summarize major comments
received from beneficiaries, local officials, community leaders, NGOs, and others, and
describe how these comments were addressed; list milestones in public involvement such as
dates, attendance, and topics of public meetings; list recipients of this document and other
project related documents; describe compliance with relevant regulatory requirements for
public participation; and summarize other related materials or activities, such as press
releases and notifications. This section will provide of summary of information disclosed to
date and procedures for future disclosure.

G. Findings and Recommendations (1-2 pages)

This section will include an evaluation of the screening process, and recommendation will be
provided whether significant environmental impacts exist needing further detailed study or EIA.
If there is n o need for further study, the IEE itself, which at times may need to be
supplemented by a special study in view of some small significant impacts, becomes the
completed EIA for the project and no follow-up EIA will be needed.

If further additional study is needed, then this section will include a brief terms of reference
(TOR) for the needed follow-up EIA, including approximate descriptions of work tasks,
professional skills required, time required, and estimated costs. The Bank's Environment
Guidelines provides a guide for preparing the TOR for different projects.

H. Conclusions (1/2 page)

This section will discuss the result of the IEE and justification if any of the need for additional
study or EIA. If an IEE or an IEE supplemented by a special study is sufficient for the project,
then the IEE with the recommended institutional requirements and monitoring program become
the completed EIA.
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