Orientador: Leandro Eugenio da Silva Cerri / Banca: Fábio Augusto Gomes de Vieira Reis / Banca: Flávio Henrique Mingante Schlittler / Resumo: A avaliação da significância dos impactos ambientais continua a ser um importante componente crítico ainda mal compreendido da prática da avaliação de impactos ambientais. Este trabalho é um estudo sobre as conclusões de uma revisão bibliográfica sobre a avaliação e comunicação de avaliação do impacto ambiental praticada no Brasil. É dada especial atenção para a importância da utilização de critérios, padrões e métodos de avaliação de impactos ambientais que pretendendo incorporar mais eficiência nos estudos de impacto ambiental. Assim, o objetivo desta pesquisa foi a realização de uma proposta, incluindo o desenvolvimento de procedimentos e aplicar na avaliação de impactos ambientais situações relativas à sua formulação, aplicação e interpretação da significância dos critérios, conclusões e recomendações pertinentes para respeitar o objetivo da avaliação de impacto ambiental que é garantir a viabilidade ambiental das atividades humanas. / Abstract: The evaluation of the significance of environmental impacts remains an important critical yet poorly understood component of environmental impact assessment practice. This work is a study upon the findings of a bibliographic review about the evaluation and communication of environmental impact assessment in Brazil practice. Particular attention is given to the use of significance criteria, thresholds and EIA methodologies intending to incorporate more efficiency of environmental impact statement. Thus, the aim of this research was the accomplishment of a proposal including the development of procedures to apply in EIA issues surrounding the formulation, application and interpretation of significance criteria, conclusions and recommendations relevant to respect the aim of EIA that in provide environmental viability of men activities. / Mestre

On 18 June 2010 new NEMA 2010 EIA Regulations were promulgated and came into effect on 2 August 2010 in order to improve the effectiveness of EIA. The question of effectiveness, therefore still remains. The quality of EIRs under the 1997 regulations in South Africa has been researched, although not as extensively as in other parts of the world. It was concluded that the quality of EIRs in South Africa are generally satisfactory, although a number of problems were identified, e.g. timing of the EIA, the identification of activities which require authorization or not, the consideration of alternatives, the absence of any time limits, the absence of requirements for monitoring and enforcing compliance, and objectivity. The National Environmental Management Act (NEMA), (Act no 107, 1998) was amended and new regulations promulgated in 2006. No research has been published regarding the quality of EIRs produced in South Africa under the 2006 regulations. Since it was the intent of the new regulations to improve EIA effectiveness, it is necessary that the quality of EIRs produced under the new EIA system be investigated. As in the other studies in South Africa, the Lee and Colley review model was used as basis for the comparative analysis of the EIRs before and after 2006. A sample of 26 EIRs, 11 under the 1997 EIA system and 15 under the 2006 EIA system, obtained from the then Impact Assessment Directorate of the National Department of Environmental Affairs and Tourism (DEAT) archives in Pretoria were reviewed. The main conclusions were that the majority of the EIRs under the 1997 system were of an acceptable standard and that the overall quality of the EIRs did not improve after the promulgation of the 2006 regulations. The descriptive and presentational parts of the EIRs were more satisfactorily addressed, while the analytical parts such as impact significance were addressed less satisfactorily. EIR quality appears to be on par with international standards, but there are areas of distinct weaknesses. As the 2006 EIRs included some of the first EIRs conducted under the new regulations, there is potential for the quality to improve over time. However, the areas that still need attention are the identification and evaluation of impacts, impact magnitude and monitoring programmes. / Thesis (M.Sc. (Geography and Environmental Management))--North-West University, Potchefstroom Campus, 2011.

On 18 June 2010 new NEMA 2010 EIA Regulations were promulgated and came into effect on 2 August 2010 in order to improve the effectiveness of EIA. The question of effectiveness, therefore still remains. The quality of EIRs under the 1997 regulations in South Africa has been researched, although not as extensively as in other parts of the world. It was concluded that the quality of EIRs in South Africa are generally satisfactory, although a number of problems were identified, e.g. timing of the EIA, the identification of activities which require authorization or not, the consideration of alternatives, the absence of any time limits, the absence of requirements for monitoring and enforcing compliance, and objectivity. The National Environmental Management Act (NEMA), (Act no 107, 1998) was amended and new regulations promulgated in 2006. No research has been published regarding the quality of EIRs produced in South Africa under the 2006 regulations. Since it was the intent of the new regulations to improve EIA effectiveness, it is necessary that the quality of EIRs produced under the new EIA system be investigated. As in the other studies in South Africa, the Lee and Colley review model was used as basis for the comparative analysis of the EIRs before and after 2006. A sample of 26 EIRs, 11 under the 1997 EIA system and 15 under the 2006 EIA system, obtained from the then Impact Assessment Directorate of the National Department of Environmental Affairs and Tourism (DEAT) archives in Pretoria were reviewed. The main conclusions were that the majority of the EIRs under the 1997 system were of an acceptable standard and that the overall quality of the EIRs did not improve after the promulgation of the 2006 regulations. The descriptive and presentational parts of the EIRs were more satisfactorily addressed, while the analytical parts such as impact significance were addressed less satisfactorily. EIR quality appears to be on par with international standards, but there are areas of distinct weaknesses. As the 2006 EIRs included some of the first EIRs conducted under the new regulations, there is potential for the quality to improve over time. However, the areas that still need attention are the identification and evaluation of impacts, impact magnitude and monitoring programmes. / Thesis (M.Sc. (Geography and Environmental Management))--North-West University, Potchefstroom Campus, 2011.

The paper identifies three topics in order to evaluate the improvements in the regulation of the National System of EnvironmentalImpact Assessment, looking to benefit the people’s trust in the environmental certification. The first one consists in the gradual transition from the prevention paradigm to the integration one, as the purpose of the different instruments that compose the system; the second involves the enrichment in the evaluation of the Environmental Impact Study (EIS), by incorporating the scoping phase; and the third involves adopting additional measures that reinforce the independence of the teams in charge of the elaboration and evaluation of the EIS. / El artículo identifica tres áreas para evaluar mejoras a la regulacióndel Sistema Nacional de Evaluación de Impacto Ambiental, con miras a favorecer la aparición de confianza ciudadana respecto de la certificación ambiental. La primera tiene que ver con transitar gradualmente del paradigma preventivo al integrativo como finalidad de los instrumentos que componen el sistema; la segunda, con enriquecer la evaluación del estudio de impacto ambiental (EIA) incorporándole una etapa de scoping a cargo del Estado; y la tercera, con adoptar medidas adicionales que refuercen la independencia de los equipos de elaboración y evaluación del EIA.

Made available in DSpace on 2014-06-11T19:26:10Z (GMT). No. of bitstreams: 0 Previous issue date: 2008-07-18Bitstream added on 2014-06-13T20:14:49Z : No. of bitstreams: 1 sandoval_ms_me_rcla.pdf: 689985 bytes, checksum: f333029b423c9df4992d4070398b119c (MD5) / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) / A avaliação da significância dos impactos ambientais continua a ser um importante componente crítico ainda mal compreendido da prática da avaliação de impactos ambientais. Este trabalho é um estudo sobre as conclusões de uma revisão bibliográfica sobre a avaliação e comunicação de avaliação do impacto ambiental praticada no Brasil. É dada especial atenção para a importância da utilização de critérios, padrões e métodos de avaliação de impactos ambientais que pretendendo incorporar mais eficiência nos estudos de impacto ambiental. Assim, o objetivo desta pesquisa foi a realização de uma proposta, incluindo o desenvolvimento de procedimentos e aplicar na avaliação de impactos ambientais situações relativas à sua formulação, aplicação e interpretação da significância dos critérios, conclusões e recomendações pertinentes para respeitar o objetivo da avaliação de impacto ambiental que é garantir a viabilidade ambiental das atividades humanas. / The evaluation of the significance of environmental impacts remains an important critical yet poorly understood component of environmental impact assessment practice. This work is a study upon the findings of a bibliographic review about the evaluation and communication of environmental impact assessment in Brazil practice. Particular attention is given to the use of significance criteria, thresholds and EIA methodologies intending to incorporate more efficiency of environmental impact statement. Thus, the aim of this research was the accomplishment of a proposal including the development of procedures to apply in EIA issues surrounding the formulation, application and interpretation of significance criteria, conclusions and recommendations relevant to respect the aim of EIA that in provide environmental viability of men activities.

Compliance monitoring is a continuous process used to ensure that conditions stipulated in an environmental authorisation are adhered to. Compliance monitoring is a key component of Environmental Impact Assessment (EIA) and EIA follow-up. The aim of this research was to critically assess EIA follow-up conditions formulated for Environmental Authorisations in Mpumalanga Province. The practicability of conditions set out in the authorisation for EIA follow-up are of particular concern. Forty-two (42) environmental authorisations (EAs) issued under the 2010 NEMA EIA regulations were reviewed and assessed to analyse information relating to follow-up practice. In order to synthesise the data effectively and create a comprehensive analysis, the EAs were divided into project type categories rather than listed activity categories. The assessment results on the strengths and weaknesses related to compliance monitoring and enforcement of the authorisation conditions revealed that the EIA follow-up conditions in Mpumalanga do make provision of EIA follow-up. The EAs fulfils the requirements of regulation 37 of the NEMA EIA regulations 2010 by promoting compliance monitoring of impacts. However, some conditions raises difficulty in monitoring due to their impracticability. Another weakness is that conditions focus mainly on the construction phase and very little attention is paid to operational and decommissioning impacts. The analyses results show that the practicability of the authorised conditions for environmental compliance monitoring had the following challenges: conditions intended to mitigate the adverse environmental impacts are generic and do not apply to specific projects or activities being authorised and there are no clearly defined timeframes for conditions requiring repetitive monitoring. Moreover, the study revealed gaps in monitoring of the authorised conditions that included poor clarity of roles of environmental control officers (ECOs) and auditors and a lack of reference to sections to be complied with pertaining to other relevant legislation. The critical assessment of the EIA follow-up conditions formulated for Environmental Authorisations in Mpumalanga Province indicate that the formulation of conditions have implications in ensuring that compliance is effectively implemented. Clearly defined conditions will ensure proper interpretation and correct implementation for compliance purposes. / M (Environmental Management), North-West University, Potchefstroom Campus, 2015

An independent industry of Environmental Control Officers (ECOs) is active on various construction sites across South Africa. It forms part of a global network of verifiers, such as Environmental Impact Assessment (EIA) and EIA follow-up verifiers. This network authenticates statements about and the implementation of sustainability commitments made during the planning phase of major construction projects. International studies show that the construction industry is experiencing many challenges to deliver sustainability commitments, including inadequate collaboration between role players, illdefined roles and responsibilities, and insufficient use of environmental governance approaches. On-site verifiers like ECOs may aid in restraining these challenges by bridging ineffective governance approaches, such as classic EIA with new governance approaches, for instance self-responsibility (e.g. Environmental Management Systems (EMSs)) and involvement of third parties. Moreover, an “independent from all” verification function may be vital in developing countries such as South Africa, where trust between the government, market and public is particularly fragile due to historical injustices. Interestingly, limited learning has been drawn and shared from this function’s real-world experience. There are also differing views on the role, independence and value of ECOs, due to roles, frequent interaction with persons responsible for delivering sustainability commitments, and collaboration with third parties being ill-defined. The overarching purpose of this study is to advance understanding of independent ECOs in major South African construction projects. Three lines of inquiry are followed. The first is to define what the role is, or ideally should be, of an ECO in the South African compliance monitoring and enforcement effort. The second is to identify what factors might influence the independence of verifiers. The third is to appraise how and to what extent independent EIA follow-up verifiers add value in major construction projects in the developing country context of South Africa. This study’s research assumptions are based on the real world of ECOs and uses a mixed method research approach to draw knowledge from the industry. The strategies of inquiry include a survey, interviews, and multiple case study evaluations. The methods for data collection include literature review, a self-administered survey questionnaire, semi-structured interviews, video material, observations of practice at case studies, and the collection of project documentation. The methods used for data analysis are the categorisation and measuring of opinions and statements of survey participants, the analysis of video material and project documentation, and the nominal categorisation and ordinal scaling of case study results. Three journal articles capture the essence of the research results and form part of the thesis report, as prescribed by the North-West University’s rules for doctoral theses in article format. All three articles were peer-reviewed and published in journals aimed at international audiences. Article 1 of the thesis highlights that an industry of ECOs fulfils numerous roles at various construction sites across South Africa. The results identify the importance of ECOs functioning independently of all role-players, but warn that obsessing about independence may compromise the ability of ECOs to fulfil their roles. The results also show that industry is in need of competence and the regulation thereof, as well as support from all role players. By drawing from the research results, the thesis defines an ECO. Article 2 of the thesis reiterates that independence is central to internationally acclaimed verification fields and important to ensure the credibility of EIA. The study identifies 18 factors that might influence the independence of EIA follow-up verifiers and divides the factors into five categories: financial, commercial, professional, personal, and other. By identifying and sharing these factors, this thesis aids in anticipating and avoiding potential conflict of interest between environmental role players. Article 3 strengthens the continuum between environmental governance approaches by conceptualising a framework for appraising the value of independent EIA follow-up verifiers. The framework provides for inter-linking principles and objectives of sustainability to the performance areas of EIA, EIA follow-up and the EMS. The appraisal results indicate that independent verifiers add most value when they are involved in screening, checking compliance, influencing decisions, community engagement, and integrating environmental governance approaches. The study confirms the benefits of adaptable, proactive, experienced, and independent EIA follow-up verifiers, such as ECOs, on major South African construction projects. / PhD (Geography and Environmental Management), North-West University, Potchefstroom Campus, 2015

Compliance monitoring is a continuous process used to ensure that conditions stipulated in an environmental authorisation are adhered to. Compliance monitoring is a key component of Environmental Impact Assessment (EIA) and EIA follow-up. The aim of this research was to critically assess EIA follow-up conditions formulated for Environmental Authorisations in Mpumalanga Province. The practicability of conditions set out in the authorisation for EIA follow-up are of particular concern. Forty-two (42) environmental authorisations (EAs) issued under the 2010 NEMA EIA regulations were reviewed and assessed to analyse information relating to follow-up practice. In order to synthesise the data effectively and create a comprehensive analysis, the EAs were divided into project type categories rather than listed activity categories. The assessment results on the strengths and weaknesses related to compliance monitoring and enforcement of the authorisation conditions revealed that the EIA follow-up conditions in Mpumalanga do make provision of EIA follow-up. The EAs fulfils the requirements of regulation 37 of the NEMA EIA regulations 2010 by promoting compliance monitoring of impacts. However, some conditions raises difficulty in monitoring due to their impracticability. Another weakness is that conditions focus mainly on the construction phase and very little attention is paid to operational and decommissioning impacts. The analyses results show that the practicability of the authorised conditions for environmental compliance monitoring had the following challenges: conditions intended to mitigate the adverse environmental impacts are generic and do not apply to specific projects or activities being authorised and there are no clearly defined timeframes for conditions requiring repetitive monitoring. Moreover, the study revealed gaps in monitoring of the authorised conditions that included poor clarity of roles of environmental control officers (ECOs) and auditors and a lack of reference to sections to be complied with pertaining to other relevant legislation. The critical assessment of the EIA follow-up conditions formulated for Environmental Authorisations in Mpumalanga Province indicate that the formulation of conditions have implications in ensuring that compliance is effectively implemented. Clearly defined conditions will ensure proper interpretation and correct implementation for compliance purposes. / M (Environmental Management), North-West University, Potchefstroom Campus, 2015

An independent industry of Environmental Control Officers (ECOs) is active on various construction sites across South Africa. It forms part of a global network of verifiers, such as Environmental Impact Assessment (EIA) and EIA follow-up verifiers. This network authenticates statements about and the implementation of sustainability commitments made during the planning phase of major construction projects. International studies show that the construction industry is experiencing many challenges to deliver sustainability commitments, including inadequate collaboration between role players, illdefined roles and responsibilities, and insufficient use of environmental governance approaches. On-site verifiers like ECOs may aid in restraining these challenges by bridging ineffective governance approaches, such as classic EIA with new governance approaches, for instance self-responsibility (e.g. Environmental Management Systems (EMSs)) and involvement of third parties. Moreover, an “independent from all” verification function may be vital in developing countries such as South Africa, where trust between the government, market and public is particularly fragile due to historical injustices. Interestingly, limited learning has been drawn and shared from this function’s real-world experience. There are also differing views on the role, independence and value of ECOs, due to roles, frequent interaction with persons responsible for delivering sustainability commitments, and collaboration with third parties being ill-defined. The overarching purpose of this study is to advance understanding of independent ECOs in major South African construction projects. Three lines of inquiry are followed. The first is to define what the role is, or ideally should be, of an ECO in the South African compliance monitoring and enforcement effort. The second is to identify what factors might influence the independence of verifiers. The third is to appraise how and to what extent independent EIA follow-up verifiers add value in major construction projects in the developing country context of South Africa. This study’s research assumptions are based on the real world of ECOs and uses a mixed method research approach to draw knowledge from the industry. The strategies of inquiry include a survey, interviews, and multiple case study evaluations. The methods for data collection include literature review, a self-administered survey questionnaire, semi-structured interviews, video material, observations of practice at case studies, and the collection of project documentation. The methods used for data analysis are the categorisation and measuring of opinions and statements of survey participants, the analysis of video material and project documentation, and the nominal categorisation and ordinal scaling of case study results. Three journal articles capture the essence of the research results and form part of the thesis report, as prescribed by the North-West University’s rules for doctoral theses in article format. All three articles were peer-reviewed and published in journals aimed at international audiences. Article 1 of the thesis highlights that an industry of ECOs fulfils numerous roles at various construction sites across South Africa. The results identify the importance of ECOs functioning independently of all role-players, but warn that obsessing about independence may compromise the ability of ECOs to fulfil their roles. The results also show that industry is in need of competence and the regulation thereof, as well as support from all role players. By drawing from the research results, the thesis defines an ECO. Article 2 of the thesis reiterates that independence is central to internationally acclaimed verification fields and important to ensure the credibility of EIA. The study identifies 18 factors that might influence the independence of EIA follow-up verifiers and divides the factors into five categories: financial, commercial, professional, personal, and other. By identifying and sharing these factors, this thesis aids in anticipating and avoiding potential conflict of interest between environmental role players. Article 3 strengthens the continuum between environmental governance approaches by conceptualising a framework for appraising the value of independent EIA follow-up verifiers. The framework provides for inter-linking principles and objectives of sustainability to the performance areas of EIA, EIA follow-up and the EMS. The appraisal results indicate that independent verifiers add most value when they are involved in screening, checking compliance, influencing decisions, community engagement, and integrating environmental governance approaches. The study confirms the benefits of adaptable, proactive, experienced, and independent EIA follow-up verifiers, such as ECOs, on major South African construction projects. / PhD (Geography and Environmental Management), North-West University, Potchefstroom Campus, 2015

The Tonle Sap is the largest and most important natural wetland in Southeast Asia. It covers an area of more than 15,000 km2 with a unique mosaic of natural and agricultural floodplain habitats that coexist with the largest fishery in the Mekong Basin. Accelerating hydropower development and climate change, however, are altering the Mekong’s hydrology, which could negatively affect downstream ecosystems. The Tonle Sap is facing a two-fold problem. First, the link between its hydrology and ecosystem properties is not well understood. Second, potential ecological changes caused by future hydrological disruptions related to hydropower and climate change are unknown. Thus, the main objective of this thesis was to quantify how alterations to the Mekong hydrology could affect the Tonle Sap ecosystem. The following studies were performed to addressed the objective: (1) an assessment of landscape patterns using geographical information and remote sensing tools; (2) an assessment of habitat patterns based on field surveys of water, vegetation, and soils; (3) ecosystem function modelling to simulate net primary production (NPP) as a function of water quantity, sediments, and habitat type; and (4) fauna habitat modelling linking the results from the assessment of landscape patterns to fauna species. The assessment of landscape patterns revealed a distinct relationship between inundation and vegetation. Habitats in the Tonle Sap were divided into five groups based on annual flood duration, as well as physiognomic factors and human activity: (1) open water, (2) gallery forest, (3) seasonally flooded habitats, (4) transitional habitats, and (5) rainfed habitats. Large habitat shifts could occur as a result of hydropower development scenarios by the 2030s; areas optimal for gallery forest could decrease by 82% from baseline conditions, whereas areas of rainfed habitats could increase by 10-13 % (813-1061 km2). The assessment of habitat patterns demonstrated that despite the complexity and intense human use of this ecosystem, the flood-pulse is the underlying driver of habitat characteristics by (1) determining inundation depth and duration; (2) creating the main soils gradient; (3) limiting the area cleared for agriculture; (4) influencing vegetation structure and water quality; and (5) shaping the composition of plant species. The ecosystem function model was used to estimate a reduction of 9-39% in annual NPP caused by different scenarios of hydropower development and/or climate change during 2032-2042. Cumulative impacts from hydropower would disrupt NPP to a greater extent than climate change. The fauna habitat model revealed that species richness was greatest in the gallery forests and seasonally flooded habitats. Animals that permanently reside in or that rely on these habitats to complete essential life-history stages would be the most affected by future changes. This thesis provides the first quantitative formulation that directly links fundamental components of the Tonle Sap ecosystem to its flood-pulse hydrology. It also provides a comprehensive assessment of the impacts of expected hydrological alterations. Hydropower is expected to bring more abrupt and distinct ecological alterations than climate change in future decades. Relative aerial changes to the gallery forests are expected to be greater than in other habitats. A decline of the Tonle Sap’s ecosystem services will occur if appropriate measures are not implemented. These measures include mitigating hydropower alterations, conserving natural habitats in areas that are likely to remain hydrologically undisturbed, restoring natural habitats in projected areas for optimal growth, and optimizing agricultural practices in the floodplain. Research findings from this thesis focused on the Tonle Sap, but given the fundamental commonalities between this system and other large floodplains, the information presented is highly informative to other large flood-pulse driven systems around the globe.