Miljöbedömning med dess tillhörande dokument, miljökonsekvensbeskrivning (MKB), genomförs för att minska negativ miljöpåverkan från projekt och används som beslutsunderlag. Trafikverket som statlig myndighet gör MKB:er för många av sina projekt. Om utfallet blir så som det står i MKB:erna eller inte, vad det beror på, samt hur avvikelser påverkar miljön har undersökts i det här examensarbetet. Undersökningen har skett genom fallstudier av fyra olika Trafikverksprojekt. Dessa har varit vägprojekten Västra länken; bro över Umeälven, Östra länken; E4 syd – Östteg och Puckdalen; riskobjekt. Det fjärde fallet är ett järnvägsprojekt, Åmsele station; ny mötesdriftplats. För att kunna besvara frågeställningarna har intervjuer, dokumentgranskning, platsbesök och litteraturstudier genomförts. För varje fall har ett antal påverkanskategorier med betydelse för projektet valts ut för fördjupad granskning. Resultatet visar att avvikelser har förekommit mellan det som stått i MKB:erna och faktiskt resultat i alla fyra fallen, men inte i något fall har avvikelserna varit fler än överensstämmelserna. De flesta kontrollpunkter från MKB:erna har därmed stämt med faktiskt resultat, sammanlagt har 76 % stämt. I ett av fallen, Östra länken, har större andel avvikelser upptäckts än i övriga. Här blev resultatet 63 % överensstämmelse, i jämförelse med Västra länkens 77 %, Puckdalen 88 % och Åmsele stations 73 %. Avvikelserna som har upptäckts har gett både positiv, negativ och insignifikant miljöpåverkan, men majoriteten har varit negativ. Orsakerna till avvikelserna har varierat stort för de olika granskade kontrollpunkterna, men för vissa är otillräcklig uppföljning en möjlig orsak. Som resultat av detta arbete föreslås mer uppföljningsarbete med hjälp av Trafikverkets redan befintliga metoder, för att minska avvikelser mellan MKB och verklighet i framtiden. / Environmental impact assessment, with the document environmental impact statement (EIS), are produced to limit the negative environmental impact of projects, and as a base for decision-making. Trafikverket (Swedish Transport Administration) is a public authority that produce EIS for many of their projects. This study has examined if the statements made in the EIS are actually done in practise or not, why eventual deviations may occur and what effects these deviations gives to the environment. The method used have been case studies of four projects performed by Trafikverket. Those are three road projects, The Western link; bridge over Umeälven, The Eastern Link; E4 south – Östteg and Puckdalen; risk object. The fourth project is a railroad project named Åmsele station, new passing place and service site. To answer the research questions also interviews, document studies, field trips and literature studies have been performed. For each of the cases a number of important categories for the project have been selected for further investigations. The result show that in all cases there have been deviations. In summary of the four cases 76 % of the checkpoints have been congruent. In all cases the congruence has been greater than the deviations. In one case, The Eastern Link, more deviations than in the other projects have been noted. In this case the result showed 63 % congruence, compared to 77 % at The Western Link, 88 % at Puckdalen and 73 % at Åmsele station. The deviations found have both given positive, negative, or insignificant environmental impacts, but the majority have been negative. The causes of the deviations have varied between the different checkpoints examined. One reason that is possible for some of the deviations are lack in follow-up. As a result of this study more extensive follow-up in the future, with use of already existing tools in the organisation of Swedish Transport Administration, are suggested to reduce the deviations between EIS and reality.

GOMES, Laécia Gretha Amorim. Análise da Efetividade do Estudo de Impacto Ambiental - EIA/RIMA na Carcinicultura: o Caso do Município de Aracati - CE. 2009. 185 f. : Dissertação (mestrado) - Universidade Federal do Ceará, Centro de Ciências e Tecnologias, Programa de Pós-Graduação em Desenvolvimento e Meio Ambiente-PRODEMA, Fortaleza-CE, 2009. / Submitted by guaracy araujo (guaraa3355@gmail.com) on 2016-05-03T14:16:37Z No. of bitstreams: 1 2009_dis_lgagomes.pdf: 6401398 bytes, checksum: 3b508bc926373ba6c3d2911e21a1b964 (MD5) / Approved for entry into archive by guaracy araujo (guaraa3355@gmail.com) on 2016-05-03T14:17:03Z (GMT) No. of bitstreams: 1 2009_dis_lgagomes.pdf: 6401398 bytes, checksum: 3b508bc926373ba6c3d2911e21a1b964 (MD5) / Made available in DSpace on 2016-05-03T14:17:03Z (GMT). No. of bitstreams: 1 2009_dis_lgagomes.pdf: 6401398 bytes, checksum: 3b508bc926373ba6c3d2911e21a1b964 (MD5) Previous issue date: 2009 / This dissertation proposes to examine the effectiveness of the Environmental Impact Assessment - EIA in the creation of captive shrimp from the perspective of the case study of an EIA prepared for the expansion of a shrimp project located on the Jaguaribe river in the city of Aracati. According to Bolea (1984) apud La Rovere (2001, p.11), the AIA can be defined as "studies to identify, predict and interpret, and prevent the consequences or environmental effects that certain actions, plans, programs or projects may cause to our health, to the human welfare and the environment." According to the author, these studies include alternatives to projects subject to licensing and further induce the engagement and participation of the society, representing not a tool of decision in itself but an instrument of knowledge at the service of the general population. Thus, this essay discusses, so qualitatively, the effectiveness of this study as a serious aid tool in decision making and management and environmental monitoring, and verify if it, nowadays, is not being used only as a mere bureaucratic obstacle for the licensing of projects. In order to achieve the objectives, were established in the methodology, some criteria for analysis, which are: analysis of alternative locations, area of direct and indirect influence, coherence and relevance of environmental diagnosis, assessment of environmental impacts, effectiveness of mitigating measures, environmental monitoring and participation of the communities involved. Besides these features, the Environmental Impact Report - RIMA was also considered as part of the Environmental Impact Assessment, which were discussed and analyzed, topic by topic, always comparing them with the due legislation, in particular, the CONAMA Resolution 001 / 86 and other specific resolutions, such as: CONAMA312/02, CONAMA 237/92, CONAMA 09/87. Moreover, these concepts were also discussed in the light of authors who have addressed this issue in the view of its effectiveness. For this, the theoretical tools that have guided this research were made by Sánchez (2006), Agra Son (1993), IBAMA (1995), which explained the initial concepts on Environmental Impact Assessment, and IBAMA (2005) in the Diagnosis of the Cearense shrimp, which presents data for the creation of captive shrimp in the city of Aracati and the theoretical aspects related to this topic. The expected results were not much different from what was originally thought and from the analyzed aspects, very little presented serious and committed information with the real function of this study. Thus, one can say, after reviewing all topics initially proposed, that the EIA regarding the shrimp project examined was not actively effective for not presenting itself as a consistent tool for public consultation, help in decision making, in management and in environmental monitoring. / Esta dissertação se propõe analisar a Efetividade dos Estudos de Impacto Ambiental - EIA na Carcinicultura dentro da perspectiva do estudo de caso de um EIA elaborado para a expansão de um projeto carcinícola localizado as margens do rio Jaguaribe no Município de Aracati. De acordo com Bolea (1984) apud La Rovere (2001, p.11), a AIA pode ser definida como: “estudos realizados para identificar, prever e interpretar assim como prevenir, as conseqüências ou efeitos ambientais que determinadas ações, planos, programas ou projetos podem causar à saúde, ao bem estar humano e ao entorno”. Ainda segundo o autor, esses estudos englobam alternativas a projetos passíveis de licenciamento e ainda induzem o engajamento e a participação da sociedade, representando não um instrumento de decisão em si, mas um instrumento de conhecimento a serviço da população em geral. Dessa maneira, esta dissertação discute, de modo qualitativo, a efetividade desse estudo como expediente sério de ajuda na tomada de decisão e na gestão e monitoramento ambiental, assim como verificar se o mesmo, nos dias atuais, não está sendo utilizado apenas como um mero entrave burocrático para o licenciamento de empreendimentos. Para que os objetivos fossem atingidos, foram estabelecidos, em metodologia própria, alguns critérios de análise, que são: análise das alternativas locacionais, área de influência direta e indireta, coerência e relevância do diagnóstico ambiental, avaliação dos impactos ambientais, efetividade das medidas mitigadoras, monitoramento ambiental e participação das comunidades envolvidas. Além dessas características, também foi analisado o Relatório de Impacto Ambiental – RIMA como parte integrante do Estudo de Impacto Ambiental, aspectos que foram discutidos e analisados, tópico por tópico, sempre os comparando com a legislação competente, em especial, a Resolução CONAMA 001/86 e outras Resoluções específicas, tais como: CONAMA312/02, CONAMA 237/92, CONAMA 09/87. Além disso, esses conceitos também foram discutidos à luz de autores que já abordam esse tema na perspectiva de sua efetividade. Para isso, as ferramentas teóricas que nortearam esta pesquisa foram constituídas por Sánchez (2006), Agra Filho (1993), IBAMA (1995), que esclareceram os conceitos iniciais sobre Avaliação de Impacto Ambiental, e IBAMA (2005), no Diagnóstico da Carcinicultura Cearense, que apresenta os dados referentes à carcinicultura no Município de Aracati e os aspectos teóricos inerentes a esse tema. Os resultados esperados não se mostraram muito diferentes do que inicialmente se havia pensando, e, dos aspectos analisados, poucos foram os que apresentaram informações sérias e comprometidas com a real função deste estudo. Dessa maneira, pode-se afirmar, depois da análise de todos os tópicos inicialmente propostos, que o EIA referente ao projeto de carcinicultura examinado não se mostrou ativamente efetivo por não se apresentar como instrumento consistente de consulta pública, ajuda na tomada de decisão, na gestão e no monitoramento ambiental.

Regulatory Impact Analyses (RIA) are carried out in order to determine how a project or regulation affects the economy, society and environment. Traditionally, RIAs are carried out through cost benefit assessments and by monetizing different variables in order to assist policymakers with their decision. The main disadvantage of it, is that highly relevant social and environmental factors are difficult to quantify, thus providing weak or "incomplete" support to policy-makers in their final decision and enabling long-term consequences. An option to improving RIAs, is by taking into account such factors with the introduction of Sustainable Development (SD) concerns early in the decision making process. This is a trend that has been gaining more momentum and support, especially in OECD and EU members. The shift towards the inclusion of such concerns at a regulatory and legislative level nonetheless still presents itself to be a challenge and has wide room for improvements. On this research, four different countries and the European Union are analyzed and compared, presenting their current RIA practices and how much they take into account sustainability concerns with the intent on showing where can they be improved and better included.

published_or_final_version / Environmental Management / Master / Master of Science in Environmental Management

Diante dos compromissos mundiais para redução das emissões atmosféricas, a energia eólica se consolida como uma das principais alternativas à crescente demanda energética. Quando comparada a outras fontes de energia, considera-se que a fonte eólica induz menores perturbações no meio ambiente. Porém, empreendimentos eólicos podem causar impactos significativos, principalmente se instalados em áreas sensíveis e concentrados espacialmente. Assim, tendo em vista o cenário de intenso crescimento do setor eólico, o objetivo principal desta pesquisa foi avaliar a efetividade do sistema de Avaliação de Impacto Ambiental (AIA) aplicado a projetos de geração de energia eólica. Foi utilizado como objeto de estudo o sistema de licenciamento ambiental do estado do Ceará, estado pioneiro no setor eólico e ainda em destaque no cenário nacional. Buscou-se, portanto, identificar evidências de conformidade do sistema de AIA adotado no estado com as boas práticas e princípios internacionais da AIA, assim como eventuais deficiências que possam influenciar o processo decisório. Para tanto, foi avaliada a qualidade das informações apresentadas nos Estudos de Impacto Ambiental (EIA) perante às boas práticas de AIA, diretrizes da literatura científica e elementos contextuais, de modo a avaliar seu potencial de contribuir para a tomada de decisão com vistas à prevenção de impactos socioambientais significativos. Foi escopo deste trabalho a análise de documentos do processo de licenciamento de 3 projetos e a avaliação da qualidade de 31 EIAs, com base em uma lista de verificação elaborada no âmbito da presente pesquisa e no método Environmental Statement Review Package. Com a finalidade de delinear os aspectos relevantes a serem abordados no âmbito da AIA, foi identificado o estado da arte dos potenciais impactos ambientais causados por empreendimentos eólicos e as informações importantes para a correta previsão, caracterização e mitigação dos potenciais impactos dessa tipologia de projeto. Os resultados da pesquisa indicam qualidade insatisfatória dos EIAs, com deficiências significativas em todas as etapas, especialmente na avaliação dos impactos e análise de alternativas locacionais e tecnológicas, e ausência de informações importantes para caracterização da vulnerabilidade do meio ambiente. Foram observadas iniciativas pontuais para alteração do conteúdo mínimo exigido aos EIAs, porém, não se observou indícios de que o órgão ambiental esteja considerando atuar proativamente para promover a melhoria da qualidade dos EIAs. Em linhas gerais, o presente estudo indica que se considerados apenas os EIAs, as decisões estão sendo tomadas com base em informações insuficientes e inadequadas e, portanto, que o sistema de AIA não tem se mostrado efetivo para prevenção de impactos significativos. / In order to meet the greenhouse gas emission reduction targets established during the United Nations Conference on Climate Change, the energy generation using wind sources was greatly encouraged to fulfill the rising energy demand. While wind energy may lead to lower damage to the environment when compared to other energy sources, wind farms still have potential for significant impact. With this in mind and considering the scenario of intense expansion of wind energy generation, the main objective of this research was to evaluate the effectiveness of the Environmental Impact Assessment (EIA) system assigned to wind energy projects. The state of Ceara was the object of study, since it was the pioneer in the wind energy generation and still is relevant in the national context. This research aimed to identify evidences of the EIA system compliance with good practice and international principles of EIA, and possible shortcomings that could influence the decision-making process. Therefore, the quality of the information presented in Environmental Impact Statement (EIS) was evaluated in light of AIA best practice, scientific literature and contextual factors. Thus, the objective was to evaluate the potential of EIS to contribute to decision making in order to prevent social and environmental impacts significant. 31 EIS and the licensing process of 3 projects was scope of this research. The EIS\' quality was evaluated through a checklist developed during this project and the method Environmental Statement Review Package. In order to define the relevant aspects that must be addressed during EIA, the potential environmental impacts caused by wind energy projects were identified in literature. The results of the research indicate poor quality of EIS, with significant deficiencies at all phases, especially in the evaluation of impacts and analysis of locational and technological alternatives, and the lack of important information to characterize the vulnerability of the environment. Some occasional measures to improve the minimum content required for EIS was observed. However, the results didn\'t indicate that the environmental agency is willing to act proactively to improve EIS quality. In general, the present work indicates that if the decision-making process is based only in the EIS content, decisions have been made with insufficient and inadequate information. Therefore, the EIA system seems to be not effective to prevent significant environmental and social impacts.

Esta pesquisa analisa o sistema de Avaliação de Impacto Ambiental (AIA) do Estado do Espírito Santo. O objetivo é explorar uma lacuna existente na literatura crítica, chamando a atenção para as evidências empíricas em um estudo de longo prazo sobre a prática da AIA. A efetividade do sistema de AIA foi analisada considerando as dimensões procedimental, substantiva, transativa e normativa e utilizando como métodos: levantamento, pesquisa documental, estudos de caso, consulta a especialistas e entrevistas. Utilizando uma abordagem quali-quantitativa, a pesquisa foi amparada pela análise de 47 processos de tomada de decisão analizando os Estudo de Impacto Ambiental (EIA) e documentos submetidos em um período de dez anos (2007 a 2016). Os resultados indicam que o sistema de AIA se mostrou pontualmente efetivo, ainda que prevaleçam os resultados negativos. Foram identificados elementos de efetividade e evidências de influência da AIA sobre os projetos com resultados favoráveis ao meio ambiente, bem como elementos de aprendizagem a partir da prática da AIA que sinalizam para a perspectiva de aprimoramento do sistema. Como aspectos a serem destacados em busca deste aprimoramento, os resultados alcançados sinalizam para a necessidade de estabelecimento de parâmetros locacionais que possam orientar a triagem dos projetos encaminhados ao processo de AIA; realização de esforços para o aumento da qualidade das informações encaminhadas no EIA à tomada de decisão, sobretudo em relação à identificação e avaliação de impactos relevantes, consideração de impactos cumulativos, previsão de magnitude e avaliação da significância dos impactos. A qualidade dos EIA é apontada como fator que contribui decisivamente para o tempo de tramitação dos processos e custos relacionados à necessidade de reanálise de documentos complementares. Além disso, é importante promover a valorização dos princípios e fundamentos que orientam a AIA, com vistas a corrigir uma perspectiva desfocada quanto à sua prática e ao papel do órgão ambiental identificado no discurso dos atores que integram o órgão de meio ambiente, o que sugere um posicionamento basicamente reativo no âmbito do processo decisório. Embora os resultados indiquem que a prática da AIA ainda tenha um longo caminho para ser considerada efetiva no estado do ES, as evidências pontuais de boas práticas e as lacunas identificadas podem ser utilizadas para orientar ações voltadas para o aprimoramento do sistema de AIA bem como direcionar melhorias dos projetos de desenvolvimento implantados no estado. / This thesis is investigating the Environmental Impact Assessment (EIA) system which is implemented in Espírito Santo State (Brazil). I aim to fill a gap in existing critical literature, by bringing attention to empirical evidence in a long-term study of EIA practice. The effectiveness of the EIA system was analyzed by applying an analytical framework focusing on four dimensions: procedural, substantive, transitive and normative effectiveness. As for the methods used during the analysis, they are: survey, documentary analysis, case studies, expert consultation and interviews. Using a qualitative-quantitative approach, the research was supported by 47 decision-making processes, analyzing the Environmental Impact Statements (EIS) and documents submitted in a period of ten years (from 2007 to 2016). The results indicate that the EIA system proved to be punctually effective, although the negative results prevail. Elements of effectiveness and evidence of EIA influence on the projects with favorable results to the environment were identified, as well as elements of learning from the EIA practice that signal to the perspective of improvement of the EIA system. However, the results indicate weakness related to the absence of locational parameters for the screening of EIA processes. Regarding the quality analysis of EIS, the results indicate faults in the information presented in the decision-making step. The main fragilities are associated with the identification and evaluation of relevant impacts, consideration of cumulative impacts, the prediction of magnitude and the evaluation of the significance of the impacts. The previously-mentioned deficiencies of the EIS information are the main contributors to a longer processing time and to an increase in the costs which is due to the need for reanalysis of complementary documents. In addition, the environmental agency\'s analysts\' opinion reveals a blurred perspective of EIA practice and regarding the role of the environmental agency. This obscure perspective suggests a passive and reactive positioning of actions and decisions within the environmental agency studied. Therefore, it is important to promote the valorization of the principles and foundations guiding the EIA in order to correct this perspective. Although the research findings suggest that EIA practice still has a long way to go in order to achieve effectiveness in the system studied, I identified evidence of best practice and weaknesses. This which can be used to guide actions aimed at enhancement of the EIA system as well as improvements of the development projects implemented in the State of Espírito Santo.

本研究旨在提供一個能針對不同背景的框架來建議如何於中國城市總體規劃中應用戰略環評來體現綠色城市發展，並指出當中的關鍵議題。現時中國正在經歷一個前所未有的城市化趨勢，面臨種種的環境挑戰，中國中央政府在其施政方針中採納低碳發展、生態友好及資源有效利用的發展模式來規劃綠色城市。不過，在規劃綠色城市的過程中無可避免地會面對到障礙。戰略環境評價是被大多數研究確立為一種可達到可持續發展目標的工具，並賦有多種功能，包括影響評估、主動整合及強化管治體制，這些功能都被確立幫助為解決在城市總體規劃中發展綠色城市的障礙策略。 / 由於戰略環評的運作必須適應其實施的背景，本研究會就如何在中國這獨特的背景下有效地應用戰略環評的功能來協助綠色城市規劃建立一個全面的框架，並以此進一步探討這些功能如何在現實中運作。本研究會基於這框架來進行個案研究，探討目前戰略環評在城市總體規劃是如何實踐其三大功能於綠色城市發展上，以及發掘當中的細節及複雜性。此外，在個案研究中亦會分析中國現時城市管治體制會為戰略環評在發揮其功能時帶來的機遇和挑戰。此分析能為以後在中國實踐戰略環評的不同功能時提供具價值的參考，讓戰略環評能被有效地利用在城市總體規劃中協助綠色城市的發展。福州和深圳是本研究的調查個案。調查會基於法定文件、戰略環評技術導則和戰略環評評估報告的文本分析，及與規劃環評從業者、規劃者和專家進行的深入訪談內容。調查會識別出關於如何於中國城市總體規劃中應用戰略環評來體現綠色城市發展的關鍵議題，並作出討論，提出相應的建議。此研究能豐富如何於中國城市總體規劃中應用戰略環評來體現綠色城市發展的具體討論，亦可提供能切合中國背景的建議，以解決在城市總體規劃過程中會面對的障礙，並實踐可持續發展的城市規劃的願景。 / This research aims at providing a context-specific framework to suggest how to utilize the functions of Strategic Environmental Assessment (SEA) for green city planning in China and identify the key issues accordingly. Under an unprecedented pace of urbanization, China is adopting, as a policy, the development mode of low carbon, ecological friendliness and resource efficiency which is generally referred to as “green city“ development. Nevertheless, there are barriers for green city development and transition. SEA, heralded by many as one of the major tools for sustainable development, is noted for its multi-functionality of impact assessment, proactive integration and governance enhancement. / Considering SEA’s context-specificity, a holistic framework has been established in this study to examine how the functions of SEA have been implemented in the unique context of China. Using such framework, two case studies have been undertaken to review how SEA has been applied to urban master planning and to unravel the complexity of its operation in respect of the three functions of SEA. The analysis has identified some lessons that warrant learning as well as the opportunities and challenges provided by the wider China context. This study provides suggestions for improving SEA operation for green city development. Fuzhou and Shenzhen were chosen as cases for analysis. Statutory documents, technical guidance and SEA reports on the urban master plan had been reviewed while in-depth interviews with practitioners, planners and experts were also conducted to explore the SEA process and the key issues. This context-specific discussion can enrich insights on China SEA practice and provide China specific practical suggestions for improving the urban master planning process and attaining urban sustainability. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Chan, Foon Tung. / Thesis (M.Phil.)--Chinese University of Hong Kong, 2012. / Includes bibliographical references (leaves 135-148). / Abstracts also in Chinese. / Abstract (English) --- p.i / Abstract (Chinese) --- p.iii / Acknowledgements --- p.v / List of Tables --- p.x / List of Figures --- p.xi / Abbreviations --- p.xii / Terms in English, Chinese, and Chinese pinyin --- p.xii / Chapter Chapter 1 --- Introduction --- p.1 / Chapter 1.1 --- Background --- p.1 / Chapter 1.2 --- Research objectives --- p.5 / Chapter 1.3 --- Research questions --- p.6 / Chapter 1.4 --- Structure of the thesis --- p.7 / Chapter Chapter 2 --- Literature Review --- p.9 / Chapter 2.1 --- Introduction --- p.9 / Chapter 2.2 --- Urban master planning for green city development --- p.9 / Chapter 2.2.1 --- Elucidation of the concepts of green city --- p.9 / Chapter 2.2.2 --- Master planning for green cities in China --- p.12 / Chapter 2.2.3 --- Barriers for green city development in the planning process --- p.15 / Chapter 2.3 --- Strategic environmental assessment --- p.18 / Chapter 2.3.1 --- Definition of strategic environmental assessment --- p.18 / Chapter 2.3.2 --- SEA of urban master planning in China --- p.20 / Chapter 2.3.3 --- Evolution of SEA --- p.22 / Chapter 2.3.4 --- SEA as a means to address the barriers of green city planning --- p.24 / Chapter 2.4 --- Context specificity of SEA --- p.30 / Chapter 2.4.1 --- Importance of considering context specificity --- p.30 / Chapter 2.4.2 --- Impacts of context on SEA --- p.32 / Chapter 2.4.3 --- The context of China --- p.35 / Chapter 2.5 --- Summary --- p.38 / Chapter Chapter 3 --- Methodology --- p.40 / Chapter 3.1 --- Research approach --- p.40 / Chapter 3.2 --- Research framework --- p.42 / Chapter 3.3 --- Research strategies --- p.48 / Chapter 3.3.1 --- Document review --- p.48 / Chapter 3.3.2 --- Cases study --- p.50 / Chapter Chapter 4 --- Contextualized Framework for Investigation --- p.53 / Chapter 4.1 --- Introduction --- p.53 / Chapter 4.2 --- Review of PEIA mechanism applied to urban master planning --- p.53 / Chapter 4.3 --- Conclusion --- p.61 / Chapter Chapter 5 --- Results of Analysis and Investigation --- p.62 / Chapter 5.1 --- Conceptual level --- p.62 / Chapter 5.1.1 --- Review of statutory documents --- p.62 / Chapter 5.1.2 --- Content analysis of PEIA reports --- p.64 / Chapter 5.2 --- Operational level --- p.68 / Chapter 5.2.1 --- Case study: Fuzhou --- p.68 / Chapter 5.2.2 --- Case study: Shenzhen --- p.80 / Chapter 5.2.3 --- Lessons learned --- p.94 / Chapter 5.2.4 --- Concluding remarks at the operational level --- p.102 / Chapter 5.3 --- Institutional level --- p.103 / Chapter 5.3.1 --- Opportunities and challenges --- p.103 / Chapter Chapter 6 --- Discussion --- p.110 / Chapter 6.1 --- Introduction --- p.110 / Chapter 6.2 --- Key issues --- p.110 / Chapter 6.3 --- Implications and recommendations --- p.112 / Chapter 6.3.1 --- Realizing the multi-functionality of PEIA --- p.112 / Chapter 6.3.2 --- Recognizing existing strengths --- p.113 / Chapter 6.3.3 --- Making up the insufficiency of urban master plan --- p.115 / Chapter 6.3.4 --- Addressing the weaknesses of current PEIA mechanism --- p.116 / Chapter 6.3.5 --- Strengthening current capacity --- p.117 / Chapter 6.3.6 --- Recognizing the role of facilitators and mediators --- p.118 / Chapter 6.3.7 --- Realizing the political dynamics of urban governance --- p.119 / Chapter 6.3.8 --- Encouraging the use of PEIA in decision-making --- p.121 / Chapter 6.3.9 --- Substantiating current guidance notes --- p.122 / Chapter 6.3.10 --- Selection of indicators for reviewing the effectiveness of PEIA for green city development --- p.123 / Chapter Chapter 7 --- Conclusions --- p.124 / Chapter 7.1 --- Key findings --- p.124 / Chapter 7.2 --- Research limitations --- p.126 / Chapter 7.3 --- Recommendations for future research --- p.127 / Chapter 7.4 --- Concluding remarks --- p.129 / Chapter Appendix I --- List of PEIA reports reviewed --- p.130 / Chapter Appendix II --- A full list of the interviewees in this research --- p.131 / Chapter Appendix III --- Guiding questions for semi-structured interviews --- p.132 / References --- p.135

近年来，中国的农村建设飞速发展，农村的建筑格局和生活方式也发生了很大变化。与此同时，中国的建成环境评估体系尚处在起步阶段。面对大规模的新农村建设对农村人居环境产生的巨大冲击，缺乏一个完善的建成环境评估体系已经成为农村建设日益突出的问题。 / 本研究梳理了西南农村地区可持续建筑环境评估的必要性、操作策略和评估框架。通过对国内外可持续发展理论、可持续建筑理论和建筑环境评估体系理论的研究，以及对西南农村地区现状的调查分析，本研究建立起了一套适用于西南贫困农村地区的建成环境可持续性评估框架。它包括评估的目的、范围、项目指标、运作方式等内容。评估系统的项目和指标分涵盖了可持续发展的环境、社会和经济三个方面，这些项目和指标充分强调了西南贫困农村地区的特点，以区别于一般的城市建筑评估体系。此外，本研究对三个不同的村落进行了案例分析，将不同的建筑评估体系对案例的评估结果进行了比较，以考察不同评估体系对西南贫困农村地区的适应性和灵敏度。分析结果显示，西南农村地区建筑环境可持续性评估体系框架最能充分适应当地实际情况，对案例做出全面的评价。 / 研究结果表明，西南贫困农村地区建成环境可持续性评估体系框架结合了可持续发展、可持续建筑理论和西南贫困农村地区的实际情况，为西南贫困农村地区的可持续建筑提供了一个全面的认识和评估的框架。它是西南贫困农村地区可持续建筑评价体系的雏形，也为西南贫困农村的可持续建设发展提供了指导和思路。 / 本研究主要有以下几点成果： / -本研究为中国西南贫困农村地区的建成环境可持续性评估提供了一个全面的理解和认识。与中国目前常规的农村发展模式不同的是，本研究强调了农村的内源性发展模式。 / -本研究建立了中国西南贫困农村地区的建成环境可持续性评估体系框架。该框架可以作为更加具体的评估标准和评估工具的建立基础。 / -对中国西南贫困农村地区的建成环境可持续性评估体系的认识和框架建立，亦可作为农村建设的设计指导依据。 / 本研究的局限性： / -本研究只建立了评估系统的框架，具体的定量评价指标、权重体系和评分方法还未建立。本研究的成果还不能作为评估工具使用。 / -本研究主要针对的是中国西南贫困农村地区。中国各地农村的自然环境和社会发展条件都各不相同，本研究不能覆盖所有的中国农村地区。 / In recent years, China’s rural areas developed rapidly, the settlement pattern and lifestyle in rural areas are also changing rapidly. At the same time, the development of built environmental assessment system in China is still in the initial stage. In the face of tremendous impact on rural settlement environment from the massive New Countryside Construction, the lack of comprehensive built environmental assessment system has become an increasingly prominent issue. / This study furthers the field by clarifying the necessity, strategies and framework of built environmental sustainability assessment in poor rural areas of Southwest China. This study reviewed the sustainable development theories, sustainable architecture theories and built environmental assessment methods in China and abroad; investigated the current situation and problems of village development and built environmental construction in poor rural areas of Southwest China. Based on these theories and context, a framework of rural built environmental sustainability assessment system including the assessment purpose, scope, issues and indicators were established. This framework covers environmental, social, and economic aspects. It provided the main issues and features of built environmental sustainability of poor rural areas of Southwest China which are quite different from urban areas. Then, three different cases were analyzed with different building environmental assessment system. Analysis outcomes were compared and discussed to investigate the applicability and sensitivity of existing assessment systems and the rural built environmental sustainability assessment system established by this study. The result shows that the framework of rural built environmental sustainability assessment system is more suitable for poor rural areas of Southwest China than other existing assessment systems. / Establishing a comprehensive understanding of sustainable development model and assessment system of rural areas is one of the significant strategies to solve the contradiction and problems between rural construction and sustainable development in poor rural areas of Southwest China. Furthermore, the promotion of sustainable rural development is to solve the much larger, longer-term problem of villagers leaving and abandoning their villages to move to the city in search of better living conditions. It is believed that a way to solve the problem is to raise the standard of the villages to a higher level of amenity and comfort for villagers and make it affordable and sustainable for them. / There are several main contributions of this study: / This study provided a comprehensive understanding of built environment sustainability of poor rural areas of Southwest China. Different from conventional rural development model in China, this study emphasizes the endogenous development model of rural areas. / This study established a framework of built environmental sustainability assessment system of poor rural areas of Southwest China. A more specific and detailed standard or rating tool can be developed based on this framework. / The understanding and assessment framework of built environmental sustainability of poor rural areas of Southwest China also can be used as a reference for the design and construction of rural built environment. / There are some limitations in this study: / This study only established the framework of the assessment system. The specific quantitative evaluation criteria have not been developed yet. And the weighting and rating method is also not yet been established. Therefore it is still can’t be used as a rating tool. / This study is mainly focusing on the poor rural areas of Southwest China. The natural and social conditions of different areas of rural China are quite different from each other. This study cannot cover all of the rural areas of China. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Wan, Li. / Thesis (Ph.D.)--Chinese University of Hong Kong, 2013. / Includes bibliographical references (leaves 207-213). / Abstracts also in Chinese. / ABSTRACT --- p.i / ACKNOWLEDGMENT --- p.v / CONTENTS --- p.vi / LIST OF FIGURES --- p.ix / LIST OF TABLES --- p.xii / Chapter CHAPTER 1 --- INTRODUCTION --- p.1 / Chapter 1.1 --- Context and problems --- p.1 / Chapter 1.2 --- Objectives and significance --- p.5 / Chapter 1.3 --- Methodology --- p.6 / Chapter 1.4 --- Research scope and definitions --- p.7 / Chapter CHAPTER 2 --- LITERATURE REVIEW AND HYPOTHESIS --- p.11 / Chapter 2.1 --- Sustainability and building environmental assessment --- p.11 / Chapter 2.1.1 --- Sustainable development and sustainability --- p.11 / Chapter 2.1.2 --- Sustainable architecture and approaches --- p.15 / Chapter 2.1.3 --- Ecovillage and sustainable communities --- p.20 / Chapter 2.1.4 --- Building environmental assessment method --- p.22 / Chapter 2.2 --- Rural construction and rural built environmental assessment --- p.31 / Chapter 2.2.1 --- Rural development and countryside construction --- p.31 / Chapter 2.2.2 --- Rural Built environmental sustainability assessment --- p.37 / Chapter 2.3 --- Hypothesis of this study --- p.41 / Chapter 2.4 --- Summary and conclusions --- p.42 / Chapter CHAPTER 3 --- CONTEXT OF SOUTHWEST RURAL CHINA AND ITS INSPIRATION --- p.43 / Chapter 3.1 --- Context of southwest rural China --- p.43 / Chapter 3.1.1 --- Natural environment --- p.43 / Chapter 3.1.2 --- Social conditions --- p.52 / Chapter 3.2 --- Sustainable development of southwest rural China --- p.54 / Chapter 3.2.1 --- Current situation and ecological potential of southwest rural China --- p.54 / Chapter 3.2.2 --- Development models and sustainable construction practice in southwest rural China --- p.57 / Chapter 3.3 --- Inspiration to built environmental sustainability assessment --- p.60 / Chapter 3.4 --- Summary and conclusions --- p.63 / Chapter CHAPTER 4 --- FRAMEWORK OF BUILT ENVIRONMENTAL SUSTAINABILITY ASSESSMENT SYSTEM OF POOR RURAL AREAS OF SOUTHWEST CHINA --- p.64 / Chapter 4.1 --- Rural Built Environmental Sustainability Assessment System (RBESAS) --- p.64 / Chapter 4.1.1 --- Aims of assessment --- p.64 / Chapter 4.1.2 --- Scope of assessment --- p.64 / Chapter 4.1.3 --- Structure and levels of the system --- p.67 / Chapter 4.2 --- Self-reliance capability issues and indicators --- p.68 / Chapter 4.2.1 --- Issue 1: Land and resources conservation --- p.69 / Chapter 4.2.2 --- Issue 2: Waste management --- p.70 / Chapter 4.2.3 --- Issue 3: Pollution control --- p.72 / Chapter 4.2.4 --- Issue 4: Food self-reliance --- p.74 / Chapter 4.2.5 --- Issue 5: Water self-reliance --- p.77 / Chapter 4.2.6 --- Issue 6: Housing self-reliance --- p.82 / Chapter 4.2.7 --- Issue 7: Safety and security --- p.88 / Chapter 4.2.8 --- Issue 8: Health and well-being --- p.89 / Chapter 4.2.9 --- Issue 9: Energy self-reliance --- p.91 / Chapter 4.2.10 --- Issue 10: Economic self-reliance --- p.103 / Chapter 4.3 --- Development capability issues and indicators --- p.104 / Chapter 4.3.1 --- Issue 11: Sustainable landscaping --- p.105 / Chapter 4.3.2 --- Issue 12: Sustainable agriculture --- p.107 / Chapter 4.3.3 --- Issue 13: Culture and context --- p.109 / Chapter 4.3.4 --- Issue 14: Inclusiveness and participation --- p.112 / Chapter 4.3.5 --- Issue 15: Education and information --- p.114 / Chapter 4.4 --- Summary of issues of the assessment system --- p.115 / Chapter 4.5 --- Evaluation and assessment output --- p.117 / Chapter 4.5.1 --- Quantitative and qualitative evaluation --- p.118 / Chapter 4.5.2 --- User-friendly for rural area --- p.118 / Chapter 4.6 --- Stakeholders and operation --- p.120 / Chapter 4.7 --- Summary and conclusions --- p.122 / Chapter CHAPTER 5 --- CASE STUDY --- p.124 / Chapter 5.1 --- Case I: Liudou Village --- p.126 / Chapter 5.1.1 --- Project description --- p.126 / Chapter 5.1.2 --- Analysis --- p.129 / Chapter 5.1.3 --- Discussion --- p.150 / Chapter 5.2 --- Case II: Group 3 of Ma'anqiao Village --- p.151 / Chapter 5.2.1 --- Project description --- p.151 / Chapter 5.2.2 --- Analysis --- p.154 / Chapter 5.2.3 --- Discussion --- p.172 / Chapter 5.3 --- Case III: Group 2 of Ma'anqiao Village --- p.172 / Chapter 5.3.1 --- Project description --- p.172 / Chapter 5.3.2 --- Analysis --- p.180 / Chapter 5.3.3 --- Discussion --- p.197 / Chapter 5.4 --- Summary and conclusions --- p.197 / Chapter CHAPTER 6 --- DISCUSSIONS AND CONCLUSIONS --- p.200 / Chapter 6.1 --- Research summary --- p.200 / Chapter 6.1.1 --- Fundamental research --- p.200 / Chapter 6.1.2 --- Establishment of the framework of RBESAS --- p.201 / Chapter 6.1.3 --- Case study --- p.204 / Chapter 6.2 --- Conclusion and discussion --- p.204 / Chapter 6.3 --- Research contributions and limitations --- p.205 / Chapter 6.3.1 --- Research contributions --- p.205 / Chapter 6.3.2 --- Research limitations --- p.206 / Chapter 6.4 --- Needs for further research --- p.206 / REFERENCE --- p.207

After 8-19 years of restoration, therefore, there were improvements in the quality of the restored sites in terms of vegetation structure, soil productivity and nutrient cycling. While the degree of improvement increases with age of the plantations, the qualities of the restored sites still lag behind that of the mature forest. / Based on the above findings, an assessment system is developed for the evaluation of restoration progress in the subtropical region. It includes a set of ecological indicators including: species diversity, timber transaction areas, standard deviation of tree height, total crown area, sapling density, species invasion, soil bulk density, soil water-holding capacity, organic carbon content, TKN, pH, seed bank, soil mineralization rate and litter decomposition rate. These findings have, therefore, filled the knowledge gap that there is virtually no study on the ecological assessment of restored subtropical forests in the literature. In addition, the goals and strategy of ecological restoration in Hong Kong are also discussed in the thesis. / Ecological rehabilitation with exotic species, particularly nitrogen-fixing legumes, is capable of ameliorating the degraded soils. While there is no change in the soil texture, ecological rehabilitation lowered pH and bulk density, increased organic carbon (OC) and total Kjeldahl nitrogen (TKN) contents, and elevated field capacity and available water contents of the soil. Intra-layer differences in OC and TKN were widened in R89, a trend comparable to TO. Ammonification and nitrification were detected in the restored soils, where NH4-N predominated over NO3-N and net N mineralization was higher in R89 than R95 and R00. In contrast, TO is dominated by NO3-N and net N mineralization is higher than the restored soils. / Ecological succession is happening in all the restored sites and the evidence of proof include: stem exclusion (declining density); steady increase of tall trees (>12m); invasion of grass, fern, vine and climber though few; increase in species diversity; canopy closure; decreasing standing litter but a simultaneous increase in fruits and seeds; increase of DBH, transaction areas and crown area, etc. Overall, the restored forests are inferior to the mature forest in terms of biodiversity and stand complexity. / Keywords: ecological assessment, forest rehabilitation, soil destruction sites, subtropical area / Litterfall production was characterized by bimodal peaks in TTEBA and by a single peak in TO. Peak production in August through September in Tai Tong was caused by mechanical breakage during the passage of tropical cyclones. In contrast, litterfall in TO was less easily affected by cyclones. Total litterfall production was in the order of TO ≥ R00 > R89 ≥ R95. Litterfall production was only positively correlated with canopy closure of the forests. Nutrient return was higher in the dry season than the wet season, which is governed by the quantity of litterfall. / The decomposition constants (k) for Acacia mangium and Schima superba foliage litter decreased in the order of TO > R89 > R00 > R95. It is positively correlated with SOC, TKN, TP, clay percentage and FC water of the soils but negatively with soil bulk density (p<0.05). Among the restored sites, the half life (T50) of leaf litter was shortest for Acacia mangium (92.4 days) and Schima superba (105.0 days) in R89. Overall, litter decomposition is faster in TO than any of the restored sites. / The present study investigates the successional development of three restored subtropical forests in Hong Kong, with special emphasis on the development of an assessment system suitable for the evaluation of restoration progress. The restored forests, aged 8 (R00), 13 (R95) and 19 (R89) years, were established on severely degraded lands in Tai Tong East Borrow Area (TTEBA) depleted of vegetation and top soil cover. The vegetation, soil and nutrient cycling processes of these restored forests were benchmarked against a mature forest (TO), aged 300+ years, characterized by high biodiversity and undisturbed soil. The restored forests are dominated by exotic species, mostly nitrogen-fixing legumes, and the mature forest by broad-leaved native species. The objectives of this thesis are threefold: (a) to assess the ecological development of the restored forests; (b) to develop an assessment system that can be employed to assess restoration progress; and (c) to revisit the goals and strategy of ecological restoration in Hong Kong. / Zheng, Hailong. / "October 2009." / Source: Dissertation Abstracts International, Volume: 72-01, Section: A, page: . / Thesis (Ph.D.)--Chinese University of Hong Kong, 2010. / Includes bibliographical references (leaves 187-209). / Electronic reproduction. Hong Kong : Chinese University of Hong Kong, [2012] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Electronic reproduction. Ann Arbor, MI : ProQuest Information and Learning Company, [200-] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Abstract also in Chinese.

Humanity's interactions with the supporting environment are, to state the obvious, complex. Humanity's industrial activities effect the environment over time and space, and the same activities even produce different results in different locations. Since the complexities of these interactions may preclude the successful use of eco-performance metrics, humanity may need a means of informing environmental management decisions that accounts for changes with time, spatial patterns and local uniqueness. The objective of this effort is to interface engineering and ecological systems models to better estimate environmental impacts by modeling the dynamic, spatially explicit and location dependent changes caused by industrial activities. Building upon previously developed, dynamic, spatially explicit, location specific ecosystem modeling software, a technical framework for estimating the impacts of industrial systems in ecosystems is developed. Ecological disturbances endemic to engineering systems are integrated into these existing ecosystem models. The results of these integrations are discussed, and from these results, the potential for estimating impacts using dynamic, spatially explicit and location based modeling is evaluated. In other words, one learns the result of placing industrial plants in mother natures garden.