List of approaches to EIA system effectiveness evaluation.
\r\n\t
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From there, the concept quickly spread across the world. European countries adopted EIA very early after that. Most developing countries adopted EIA after 1992. For example, although no African country had mandatory EIA procedures prior to 1992, over 40% had established EIA systems by 1997 [1]. After 1992, EIA was rapidly adopted as a national decision-making tool by many countries. This rapid adoption is in most countries was undoubtedly influenced by the Rio Summit.
\nThe Rio Declaration on Environment and Development and the Local Agenda 21 placed EIA firmly as an important concept in environmental management processes.
\nThe EIA system’s primary role is to incorporate environmental issues into decision-making to ensure that new developments include steps to protect the environment and social well-being. EIA is therefore a series of steps that enable environmentally responsible decisions to be made. A logical question that follows is whether EIA systems actually contribute to environmental protection and, if so, how effectively.
\nAlthough the finer details of how EIA is implemented vary from country to country, the basic idea is the same. In this chapter, it is assumed that the reader has reasonable knowledge about the EIA process; therefore, only a brief description is given. It starts with a detailed knowledge of the proposed project. This detailed knowledge informs the possible impacts that may arise from the implementation of the project.
\nStudies are done to determine the environmental baseline on which possible environmental impacts of the proposed project may be benchmarked. The baseline also enables experts to understand details about the potential impacts such as magnitude, type, severity, and so on. The next step is to plan for ways of reducing any negative environmental impacts that would have been identified and analyzed while enhancing any positive impacts, if any. An environmental management plan is put together and married to project implementation. One of the important steps of EIA is the consultation of affected and interested parties (stakeholder consultation) to gain and incorporate their views.
\nThe effectiveness of the EIA process is a growing subject of scholarly research [2, 3]. Governments and private companies commit many resources to implement the EIA process. The major question that remains partly unanswered is whether EIA is achieving environmental protection as expected. From this question arises another question which is the focus of this chapter. How can the effectiveness of an EIA system be measured?
\nThe MRR model is one such a means introduced to evaluate EIA system effectiveness [4]. The purpose of this chapter is to introduce an updated method, rights, and resources (MRR) model for evaluating EIA system effectiveness [4], an alternative conceptual and practical model based on the evaluation theory. The next section describes the research method of this chapter followed by presenting different approaches to evaluating EIA system effectiveness and then discussing the challenges associated with evaluating EIA system effectiveness. After that the theoretical framework of the MRR model is presented followed by the MRR model and its application and finally the conclusion and recommendations.
\nThis chapter sets out to review and improve the MRR model for EIA system evaluation. To do so, the literature review of the current EIA evaluation models was conducted together with the UN conventions on which the MRR model is based. After adding more theoretical context, the description of the MRR model was reviewed to add rigor and flow diagrams.
\nFurther improvement was made by discussing the pros and cons of the MRR model using a SWOT analysis. Further recommendations toward the application of the MRR model were added.
Firstly, it is important to set apart EIA review models whose primary purpose is to assess the compliance and content of EIA reports/statements. Examples of these are the Lee and Colley review package [5], the European Commission Guidelines on EIS Review, the Oxford-Brookes University EIS review package, and the Guide to Technical Analysis of Environmental Impact Studies.
\nThis chapter is concerned about evaluating the effectiveness of the entire EIA system. Effectiveness of EIA systems has been researched since EIA systems were introduced. EIA effectiveness evaluation approaches were originally divided into two categories, vis-à-vis the procedural and the substantive effectiveness [6].
\nAdherence to the stipulated method of conducting EIA is the focus of procedural effectiveness. For example, in procedural effectiveness, the focus is on whether EIA studies were conducted thoroughly, whether the public had adequate opportunity to air their views, and whether the views were taken into consideration. Hence procedural effectiveness emphasizes on assessing how well information was gathered and used for decision-making and much less on whether tangible environmental stewardship itself was actually achieved. The actual environmental protection objectives are assumed to be achieved once a certain method is followed in conducting EIA studies and making decisions about it.
\nA typical procedural effectiveness viewpoint is the “democratization of governmental decision-making processes” as suggested by Macintosh [7]. In this case, simply ensuring that affected stakeholders have contributed to the decision-making process would be considered an achievement of its objectives.
\nProcedural EIA system evaluation is the easiest to perform since the focus is on whether specific procedural steps have been complied with. There are many procedural EIA evaluation models that have been developed. Two examples are given below.
\nThe first one is the systemic and foundation measures model which was developed by Ahmad and Wood [8]. Features of EIA (system) “that are designed to deliver quality assurance in both practice and the administration are called systemic measures” [9]. Foundation measures are those “actions undertaken to improve the effectiveness of the EIA system and ensure successful application of the systemic measures” [9].
\nThe other model is the EIA evaluation criteria developed by Wood which consists of 18 questions grouped into 3 categories, namely, institutional aspects of the EIA system, EIA process, and other requirements of the EIA system [10]. The EIA evaluation criteria have been widely used [11, 12].
\nThere are a number of other criteria that have been developed and applied such as the 21 criteria [13], 5 criteria [14], 62 criteria [15], and 80 criteria [16]. All these are primarily procedural effectiveness models (\nTable 1\n).
\nApproach/model | \nEffectiveness evaluation | \nFocus | \n
---|---|---|
\n
| \nProcedural | \nQuality of EIA reports | \n
\n
| \nProcedural | \nPresence of the basic conditions and requirements for EIA system implementation | \n
\n
| \nProcedural | \nDiverse including EIA report quality, conditions, and requirements for EIA system implementation Historical view of EIA system | \n
\n
| \nTransactive | \nMore empirical measure of the effectiveness of EIA systems | \n
List of approaches to EIA system effectiveness evaluation.
Substantive effectiveness focuses on whether EIA systems are actually achieving the tangible outcomes, the ultimate tangible outcome being the protection of the environment and improving social well-being. Without achieving the actual protection of the environment, the EIA process is not adequately effective. Therefore, understanding if EIA systems protect the environment is very important.
\nFor that reason, substantive effectiveness of EIA systems is a better measure of EIA system effectiveness than procedural effectiveness because it addresses the actual environmental protection outcomes of the EIA system. To give an example, we can ask the question: “Has the implementation of the EIA system actually resulted in less pollution, less land degradation, or enhancement of the natural and social environment?”
\nTo answer this question requires the use of some metrics which quantify impacts such as pollution, land degradation, and enhancement of the natural and social environment. Only with quantitative information is it possible to objectively measure impact attributable to EIA systems and, as a result, to assert that substantive effectiveness is present. Quantitative metrics go as far as assigning monetary value to environmental goods, services, and impact, to measure whether the society has actually benefitted from implementing EIA systems.
\nHowever, there are challenges with quantitatively measuring environmental and social impacts and even more challenges with monetizing the same. For example, since any country has implemented its EIA system, how much flora and fauna has been saved, and how much is better off because of it?
\nAt a project level, it may be possible to quantify some of the impacts more objectively. For example, a single project can make a case that the level of pollution in an adjacent river has not increased, measured in terms of concentration of pollutants and compared to the baseline before the project started. However, to cascade this measurement to the EIA system level and involving all possible impacts cannot be easily demonstrated.
\nTherefore, substantive models of EIA system evaluation are much more challenging for two reasons. Firstly, methods of measuring environmental goods and services in order to measure environmental damage avoided through the EIA system are contestable. Secondly, even if there was such a widely accepted method, the attribution gap could be impossible to objectively account for.
\nBesides the procedural and substantive models postulated by Cashmore, two more models of EIA effectiveness have been added vis-a-vis the transactive and the normative [15, 17].
\nTransactive EIA effectiveness is one which focuses on relating the cost of carrying out the EIA process to the relative outcomes/benefits of doing so. Hence transactive EIA effectiveness places emphasis on efficiency of resource use. As noted by Veronez and Montaño [18], not much attention has been paid to transactive EIA effectiveness. However, in this chapter cost-effectiveness analysis and cost-benefit analysis are identified as possible tools to use for transactive EIA effectiveness.
\nCEA can be used to compare two alternative courses of action based on the ration of the cost of the course of action to an indicator of the outcomes. The outcomes are not quantified, but a suitable indicator can be used to quantify the outcomes. Although the author could not locate examples where CEA has been applied in EIA effectiveness, it is conceivable how application can be done. For example, the cost of operating the entire EIA system can be compared to its outcomes such as the number of EIA studies conducted, reviewed, and licensed. Similarly, the efficiency of monitoring EIA implementation in the post-certification stage can also be evaluated.
\nCBA [19] is similar to CEA except that in CBA, the outcomes are expressed in monetary value. For example, the efficiency of the extra costs incurred by businesses as a result of implementing the environmental management plan can be evaluated against the zero option or other options.
\nIt is important to note that the use of CBA in EIA is common but at the EIA study level in the pre-certification phase of EIA [20]. How to use CBA for EIA system effectiveness evaluation is not clear yet and still needs to be developed.
\nThe last and fourth approach to EIA effectiveness (after procedural, substantive, and transactive) also postulated by Loomis and Dziedzic [17] and Veronez and Montaño [18] is the normative approach. In normative effectiveness, the focus is on the broader impacts of EIA on “sustainable development and participatory process” involved. Normative EIA effectiveness takes into account EIA best practices for continuous improvement.
\nAs noted by Veronez and Montaño [18], there is a conceptual basis for bringing together the different EIA effectiveness models into an integrative EIA effectiveness model. The method, rights, and resources model, as described in this chapter, is one such attempt to produce a more integrative model of evaluating EIA effectiveness.
\nThis section discusses the challenges that affect evaluation or measurement of EIA effectiveness.
\nThe first is that, by design, at both policy and project levels, EIA systems lack inherent evaluation mechanisms. Concerns by US citizens over environmental degradation triggered the birth of EIA. As a result, emphasis has always been placed on the processes which support popular participation and decision-making in the pre-certification phase but less in the post-certification phase. Another characteristic of its political origins is that the EIA steps did not include a clear path to evaluate its success. The need to evaluate the effectiveness of EIA systems was almost an afterthought.
\nTherefore, EIA systems usually do not have built-in evaluation mechanisms comparable to inherent evaluation mechanisms of policies planned through the logical framework analysis. Indicators of progress to outputs, outcomes, and impact are used in LFA planning approaches to inculcate evaluation before policy implementation even starts.
\nAs discussed before, the second challenge is about quantifying environmental impact. For EIA to be considered effective, the question of how much of the environment and social well-being an EIA system saves in pertinent quantification of environmental damage and social well-being levels is necessary to ensure objective answers to this question. Empirical baseline using environmental and social well-being indicators enables future measurement of chance. For example, before a mine is set up, ground water quality can be measured as a baseline. Future periodic measurements will then be measured against the baseline to determine if negative or positive impact has been made.
\nHowever, other stakeholders may emphasize on monetary value of the impacts so that they can offset against the cost of implementing the EIA. Unfortunately, there are many models of putting a monetary value to the environment, but they all suffer from the challenge of what is the real value of nature. Hence, this challenge will continue to exist.
\nAttribution gap is another challenge. In all policy interventions such as EIA, the impact of policy is often subject to other policies or forces such that the resultant change, whether negative or positive, cannot be attributed to one intervention. Hence the attribution gap requires accounting for unplanned forces of change and unplanned change itself. Such other forces may include environmental awareness campaigns affecting the attitude of citizens toward environmental issues in general and other policies such as local environmental action plans and waste management plans.
\nThe theoretical framework for the method, rights, and resources model is derived from the outcomes of the Rio Summit of 1992. This may be unusual that a theoretical framework is derived from policy documents, but as will be demonstrated, that makes EIA effectiveness evaluation very practical and relevant.
\nThe MRR model starts by recognizing that the EIA system is enshrined in the outcomes of the Rio Summit and national policy and legal documents. Therefore, the MRR attempts to identify what these documents intended to be the elements of the EIA system and draw from them. Method, rights, and resources are the three elements of the MRR model for EIA system effectiveness evaluation.
\nIn the Rio Declaration on Environment and Development [21], the world governments agreed on 27 principles to guide the world toward sustainable development. Principle 17 states that:
\n“Environmental impact assessment, as a national instrument, shall be undertaken for proposed activities that are likely to have a significant adverse impact on the environment and are subject to a decision of a competent national authority.”
\nPrinciple 15 advanced the precautionary principle stating that:
\n“In order to protect the environment, the precautionary model shall be widely applied by States according to their capabilities. Where there are threats of serious or irreversible damage, lack of full scientific certainty shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation.”
\nAfter placing EIA as a tool for environmental decision-making, the necessary elements for implementing sustainable development initiatives were also identified.
\nSection 8.3 (d) of the LA 21 stipulates the need for procedures:
\n“To establish domestically determined procedures to integrate environment and development issues in decision-making.”
\nSection 22 of the LA 21 [22] states the right of affected people to participation in decision-making:
\n“One of the fundamental prerequisites for the achievement of sustainable development is broad public participation in decision-making. … the need of individuals, groups and organizations to participate in environmental impact assessment procedures and to know about and participate in decisions, particularly those which potentially affect the communities in which they live and work.”
\nPrinciple 10 of the Rio Declaration on environment and development also promulgates that “environmental issues are best handled with the participation of all concerned citizens …” and promotes “access to information” and “the opportunity to participate in decision-making processes.”
\nWe can therefore say, by design, compliance (with the method/procedure) is identified as a requirement for implementing EIA systems. The other element is participation (stakeholder’s rights), and the third one is capacity (or resources). It is proposed that EIA systems can be used to evaluate based on these three to gauge whether intended objectives are being achieved. Based on this discussion, we have the three elements as method (M), rights (R), and resources (R), respectively (\nFigure 1\n).
\nMRR model’s theoretical framework.
The figure above shows a schematic representation of the theoretical framework of the MRR model.
\nThis chapter proposes the method, rights, and resources model, which is more flexible and all-encompassing while involving less of subjective assessment of the researcher. This model proposes that the entire EIA system of any country can be broken down into three elements, namely, method, rights, and resources. From this point of view, the MRR model is an integrative model, seeking to bring together procedural, substantive, transactive, and normative issues into EIA effectiveness evaluation.
\nBy nature, evaluation is a process of collecting and analyzing information, with the aim of measuring the difference between the situation and a set standard. Since information collection is involved, decisions must be made about what information to collect and how to analyze it.
\nIn MRR model, the set standard against which effectiveness can be evaluated is derived from the founding principles of the EIA origins as discussed below. On the other hand, what information to collect is guided by indicators specifically chosen for EIA systems.
\nMethod has to do with the procedures or process putting the EIA system into practice. The procedures or process ensures that stakeholder views and environmental issues are taken account of in decision-making. This is the pre-certification phase. Procedures or process also ensures mitigation/enhancement measures stipulated for a project are implemented (post-certification phase). The pre-certification phase is often laid out in the form of step-by-step guidelines (the EIA process). Splitting the EIA process into two (pre- and post-certifications phases) makes it easier to understand.
\nThe main focus of the pre-certification phase is to produce an EIA report which a regulatory authority will use to decide whether a project should be allowed to be implemented or not. The report is produced through a scientific study of environmental and social issues relating to a specific project.
\nThe pre-certification phase process can have the following general steps: screening to eliminate activities which do not need detailed studies followed by scoping the extent of the EIA study, collecting baseline information, stakeholder participation platforms, impact identification analysis, impact analysis (e.g., magnitude, severity, etc.), formulating mitigation/enhancement measures, and formulating the environmental management plan (EMP) and impact monitoring plan (IMP).
\nThe role of the post-certification phase is the implementation of the EMP and IMP within the project activities. Often, reports about the progress of implementation of the EMP and IMP are required to be submitted to the regulatory authority on a regular basis. In this way, the method becomes a reasonable proxy for substantive effectiveness as companies report the achievement of environmental and social protection at that level.
\nGiven the importance of the process in determining the information available to regulatory authorities for decision-making, compliance with the process is a necessity. In fact, the degree of compliance with the process is a measure of the effectiveness of EIA systems including the extent of integration of environmental issues into both decision-making and, if granted permission, the implementation of projects.
\nAn important point to note here is that measurement of environmental and social impacts can be embedded in the method in the post-certification phase, hence giving the opportunity to measure substantive effectiveness, first at project level and by extension at a higher EIA system level. For example, periodic reporting of the success and failure in the implementation of the environmental and impact monitoring plan provides information about the post-certification phase, indicating potential substantive effectiveness of the EIA system.
\nCitizens who are affected by economic and social development have the right to have a say in such activities. The EIA system provides a platform for affected citizens to contribute their views to EIA decision-making. It is therefore essential to measure the effective participation of all stakeholders as this demonstrates the effectiveness of an EIA system. To effectively contribute their views, adequate information and an opportunity to contribute both need to be provided.
\nSome stakeholders participate because of their mandates as organizations. For example, a tourism project that has potential impacts on the river system may require input from the ministry responsible for water even though the ministry responsible for the environment may be responsible for facilitating the EIA system. Environmental associations may also have a say on the mandate given to them by their membership. Hence a wide array of stakeholders may participate in an EIA process where their interests may be at stake.
\nThe participation of all stakeholders can also be measured both in the pre-certification and post-certification phases. In the pre-certification phase, participation is about stakeholders having their views included in decision-making before a project can be implemented. In the post-certification phase, participation is about stakeholders being heard about the environmental and social impacts of the project. Hence a strong post-certification participation is a proxy measure for substantive effectiveness.
\nPolicy implementation requires resources. In fulfilling their roles, the capacity of the EIA system as well as that of the individual stakeholders is dependent on the resources they have. This includes financial, human, institutional, legal, and material resources for the EIA system to function. The LA21 constantly emphasizes on the need for “means of implementation” which imply capacity required to implement the dictates of the declaration.
\nJust as discussed for the method and rights above, resources can also be measured in both pre- and post-certification phases. Similarly, the post-certification measure of the resource capability of each stakeholder is a proxy measure of the substantive effectiveness of the EIA.
\nTherefore, the MRR model is about measuring the level of compliance (with the method), participation (upholding stakeholder rights), and capacity (in the form of each stakeholder’s resources) in the two phases of the EIA system which, together, give the measure of the effectiveness of the EIA system.
\nIn this section, the summarized overview of the MRR model is presented. Development of indicators of effectiveness of the EIA system at all levels is the basis for applying the MRR model. Indicators can be developed based on the three elements presented before, i.e., compliance, participation, and capacity.
\nFurther to that, the indicators must clearly measure the pre- and the post-certification phases separately. The importance of this is that by design, the post-certification phase indicators must be proxies for the actual protection and enhancement of the natural and social environment.
\nThe set of indicators suggested below are categorized according to the three pillars of the EIA system, namely, compliance, participation, and capacity. The author cannot formulate an exhaustive list of indicators. In addition, indicators can be formulated at different levels depending on the focus of the evaluation (e.g., national level or sector level). Similarly, indicators can be developed for each phase of the EIA process, i.e., pre- and post-certification phases.
\nThe indicators individually or collectively measure the effectiveness of the EIA system. The rational further emphasizes that if compliance, participation, and capacity are effective, the objectives of the EIA system are being achieved. The objectives may be procedural, substantive, transactive, or normative.
\nNext, the application of the model indicates the sources of data from where data can be collected to inform the analysis of each indicator. Data can be characterized in several ways including whether it pertains to the pre- or post-certification phase of the EIA system, whether it is secondary, primary, qualitative, quantitative, and so on. The last part of the application suggests methods of data analysis suitable to answer the question about whether a particular indicator is being achieved or not. Emphasis is placed on quantitative analysis.
\nIt is important to note that these indicators are derived from an EIA system with detailed EIA process guidelines. The EIA process guidelines provide the standard against which some of the indicators can be evaluated as shown in the following tables (Tables 2–4).
\nBelow are listed some suggested compliance indicators:
\nData source | \nIndicator explanation | \n
---|---|
Sample of approved EIA report (enumeration) | \nAverage % of steps of the EIA process guideline that are complied with by the EIA studies | \n
Questionnaire survey of EIA practitioners | \nLevel of compliance in general Level of compliance of the pre-certification stage in general Level of compliance of the post-certification stage in general Length of EIA process, from referral/prospectus/scoping to certification Length of approval/review process Integration of the approved environmental management plan and the project’s/business’s environmental management system (if any) | \n
Report of the responsible authority | \n% of EMP monitoring reports submitted to responsible authority compared to overall number of approved projects % projects stalled before certification % projects stalled due to non-compliance after certification % projects approved within prescribed timeframe Length of EIA process, from referral/prospectus/scoping to certification Length of approval/review process | \n
Compliance indicators.
Below are some suggested participation indicators:
\nData source | \nIndicator explanation | \n
---|---|
Sample of approved EIA reports (enumeration) | \nNumber of stakeholders consulted during the EIA study process Stakeholders’ recommendations that are integrated into the EIA report for decision-making Consultation methods used during EIA studies Availability of information/feedback to stakeholders before certification | \n
Report of the responsible authority | \nInvolvement of other government departments in the EIA review stage (collaboration) Involvement of other government departments in impact monitoring (collaboration) Availability of legal complaint systems | \n
Questionnaire survey of EIA practitioners | \nInvolvement of other government departments in the EIA review stage (collaboration) Involvement of other government departments in impact monitoring (collaboration) Availability of information/feedback before certification Availability of information/feedback after certification | \n
EMP monitoring reports | \nAvailability of information/feedback after certification | \n
Participation indicators.
Below are some suggested capacity indicators:
\nData source | \nIndicator explanation | \n
---|---|
Report of the responsible authority | \nCapacity to monitor EMP implementation Capacity to enforce EIA conditions Capacity to review EIA reports Stakeholder capacity to contribute to EIA process Capacity to measure the environmental baseline Capacity to identify and analyze impacts Availability of baseline information Availability of competent experts Capacity to meet EIA study costs Capacity to meet EMP implementation costs Capacity to monitor impacts | \n
Questionnaire survey of proponents and practitioners | \nCapacity to monitor EMP implementation Capacity to enforce EIA conditions Capacity to model impacts Capacity to review EIA reports Stakeholder capacity to contribute to EIA process Capacity to measure the environmental baseline Capacity to identify and analyze impacts Availability of baseline information Availability of competent experts Capacity to meet EIA study costs Capacity to meet EMP implementation costs Capacity to monitor impacts Capacity to produce EIA reports | \n
Sample of EIA reports | \nCapacity to model impacts Capacity to review EIA reports Stakeholder capacity to contribute to EIA process Capacity to measure the environmental baseline Capacity to identify and analyze impacts Availability of baseline information Availability of competent experts Capacity to meet EIA study costs Capacity to produce EIA reports | \n
EMP monitoring reports | \nCapacity to monitor EMP implementation Capacity to enforce EIA conditions Capacity to measure the environmental baseline Capacity to identify and analyze impacts Availability of baseline information Availability of competent experts Capacity to meet EMP implementation costs Capacity to monitor impacts | \n
Capacity indicators.
Data collection follows the scientific research method conventions. There are both primary and secondary sources of data from which to choose from for each indicator. Some of the indicators allow the collection of both secondary and primary data, but some may not. From the tables above, it can be observed that most of the data comes from the EIA reports and questionnaire survey of all stakeholders.
\nSecondary data sources for analyzing the indicators are documents found within the stakeholders such as the government offices, regulatory authorities, proponents, consultants, and any other institution. Reports from the regulatory authority, the EIA reports reviewed by the regulatory authority, and the EMP monitoring reports are the main sources of secondary data. If the regulatory authority produces an annual report, relevant data such as the total annual number of EIA reports approved and rejected can be found. This data is relevant for evaluating the effectiveness of the EIA systems overseen by the regulatory authority.
\nData collection from regulatory authority documents is by reviewing and capturing both qualitative and quantitative data.
\nEIA reports, environmental audit reports, impact monitoring reports, environmental management systems, prospectuses, referrals, project proposals, terms of references, environmental certificates (and conditions), and environmental management plan reviews are other important sources of secondary data. These secondary data sources are mostly found within the regulatory authority but can also be obtained from the proponents implementing approved EIA plans.
\nFrom the EIA reports, data can be collected by reading and enumerating. For example, EIA reports do show how much of the EIA guidelines are complied with during their compilation. Hence the number of the steps of the EIA process that each EIA report complies with can be counted or enumerated. Similarly, one can calculate the number of the different types of consultation methods used which indicates how well the stakeholders participated in the EIA process.
\nStakeholders’ experiences are the main source of primary data. The main stakeholders of the EIA system include the government officials, proponents of projects that have undergone the EIA process, consultants who undertake the EIA studies, the public that is affected by the projects undergoing EIA study, and the regulatory authority responsible for deciding on the EIA acceptance.
\nAny suitable primary data collection method can be used. Questionnaire instruments can be designed to collect data on most if not all the indicators. Interviews, if necessary, can be used to provide in-depth information to explain the results of quantitative analysis.
\nFrom the questionnaires, data can be collected to measure any of the indicators that show compliance, participation, and capacity. Questionnaires can be used to capture stakeholder experiences about the achievement of the procedural, substantive, transactive, and normative objectives of the EIA system. Questionnaires collect information that fills in the gaps in secondary data from the regulatory authority and proponents.
\nThe MRR model places emphasis on quantitative analysis of data since the primary focus of EIA effectiveness evaluation is to benchmark the achieved versus the planned. Below are some suggested statistical tests which can be used to analyze the quantitative data that arise from enumeration and scoring of EIA reports and regulatory authority reports as well as questionnaire data (Tables 5 and 6).
\nStatistical analyses | \nExample | \n
---|---|
\n
| \nFor example, if desired compliance is set at say 70% percent, a test of association can determine whether the compliance level is significantly below, above, or equal to 70% | \n
\n
| \nFor example, projects in the mining sector can be compared to projects in the tourism sector in terms of compliance or participation or capacity indicators | \n
\n
| \nFor example, the pre-certification phase can be compared to the post-certification phase in terms of compliance or participation or capacity indicators | \n
Set an expected benchmark of compliance, participation, or capacity, and compare with the observed/actual compliance, participation, or compliance | \nFor example, if desired capacity is set at say 70% percent, a test of association can determine whether the capacity level is significantly below, above, or equal to 70% | \n
\n
| \nFor example, from the questionnaire data, calculate the mean compliance, and perform a test of association to determine if the mean compliance level is equal or less than a set benchmark such as 70% | \n
\n
| \nFor example, grouping all EIA reports into the corresponding years of compilation, calculate the compliance indicators for each year, and observe if compliance has been increasing or decreasing | \n
\n
| \n\n |
Suggested data analysis techniques.
Advantages | \nWeaknesses | \n
---|---|
Simplicity | \nCostly extensive data collection | \n
Holistic | \nUnavailability of information | \n
Improved objectivity | \n\n |
Flexible analysis approach | \n\n |
Triangulation | \n\n |
Advantages and weaknesses.
This section will outline the advantages of the MRR model. Firstly, the MRR model has the advantage of simplicity. Being based on the simple pillars of the implementation of any policy intervention (compliance, participation, and capacity), the MRR model is very easy to conceptualize. Further, the MRR model uses the evaluation theory, a commonly accepted and widely used approach in policy interventions and development planning.
\nSecondly, the MRR model provides a framework to encompass all issues related to the implementation of an EIA system. Any conceivable EIA issues including effectiveness, efficiency, relevance, and sustainability of the EIA system can be brought down to indicators within the three elements, i.e., compliance, participation, and capacity (or method, rights, and resources).
\nThirdly, the MRR model is a possible reduction to the subjectivity that sometimes underlies the evaluation of effectiveness using other models. The MRR model ensures that the EIA system is evaluated according to its fundamental principles more than subjective concepts of researchers. For example, the idea of systemic and foundation issues [9] discussed before is very dependent on the authors’ conceptualization of issues. However, compliance, participation, and capacity are more objectively defined.
\nIn addition, the MRR model emphasizes on quantitative data obtained as objective data collection process using standardized data collection tools.
\nIn the MRR model, analysis can be adapted to suit the availability of data. The indicators can also be crafted to suit the expected scope of EIA system evaluation.
\nMultiple sources of data used toward a single indicator are a means of triangulating data collection. This allows a more robust analysis process and a richer and more representative analysis outcome.
\nLastly, the MRR model can be easily adapted to compare EIA systems from different geographical locations and jurisdictions. The MRR model is particularly suitable for use by regulatory authorities who have easy access to all the data required for a rigorous evaluation of the EIA system.
\nIt is suggested that further fine-tuning of the MRR model can enable a more objective and in-depth inter-country comparison of the performance of EIA systems.
\nThere are also challenges with the MRR model. The main challenge is that although quantitative methods can be used with the MRR model, the model still falls short of completely addressing the inherent challenge of quantifying environmental impact. Secondly, applying the model can be very costly depending on other factors. Thirdly, application will vary considerably depending on how the respective country’s EIA system is set up. The MRR model will apply best where the EIA system is elaborate including specific guidelines, monitoring, and report systems from which data can be made available. Where no such elaborate EIA system guidelines exist, applying the MRR model is likely to be more challenging. However, the MRR model can be narrowed down to suit the situation.
\nLastly, data collection proposed in the MRR model is extensive. It may not always be easy to obtain all the data. The availability of data also depends on having a well-developed system of recording and EIA reports and other sources of secondary data. Without a significant pool of practitioners effectively involved in the EIA system, it is not possible to obtain adequate information through the questionnaire surveys.
\nThis chapter introduced the MRR model for EIA system effectiveness evaluation. The chapter shows that the MRR model can address, albeit partially, some of the objectivity and comparability issues of EIA system evaluation. The MRR model does not intend to be a magic bullet to solve all the inherent challenges of quantifying environmental impact. It only suggests presumably a better approach to evaluating the effectiveness of EIA systems based on the evaluation theory and indicator formulation.
\nThe intention of the chapter was not to give a step-by-step guide but the basic thinking behind the MRR model [4], hence opening it up to trial by other evaluators of EIA systems.
\nGlobal warming and climate change are rising issues during the last couple of decades. Buildings including commercial and residential ones are major contributors to energy consumption [1]. Energy consumption in buildings significantly increases on a yearly basis due to the increased human comfort needs and services [2]. Multiple factors affect the energy consumption used for cooling buildings such as wall structure, window to wall ratio, and building orientation in addition to weather conditions [3]. Energy consumed by buildings was reported to compose a relatively large proportion of the global energy consumption [4]. The building construction and the way it is operated and maintained have a significant impact on the total energy and water usage of the world resources [5].
Buildings are the primary energy consumers contributing to more than 40% of the US energy usage [6]. According to the US Department of Energy (DoE), the heating, ventilation, and air-conditioning (HVAC) systems consume approximately 17–20% of the total energy bill of any facility or building [7]. The world equipment demand for HVAC systems has increased worldwide from approximately 50 billion US dollars in 2004 to more than 90 billion US dollars in 2014 and for the United States from almost 11 billion to 19 billion US dollars over the same period [8].
Thermal characteristics of building envelopes have become of rising significance for designers and owners due to its relation to energy consumption reduction. Improper thermal insulations in buildings can lead to higher chances of surface condensation when air has relative humidity higher than 80% and when the convective and radiative heat transfer coefficients of the exterior walls are small [9].
The purpose of this chapter is to discuss benefits and design guidelines for zero energy buildings. NZEBs have tremendous potential to transform the way buildings use energy. In response to regulatory mandates, federal government agencies and many other state and local governments are beginning to move toward targets for NZEBs.
Many states in the United States are mandating many rules and regulations to reduce the buildings’ energy consumption. For example, New York and California, which house more than 20% of the United States’ population, produce less than 10% of its carbon emissions [10]. These two states are leading the way in decreasing energy use through the proliferation of net-zero energy building in addition to other strategies.
According to the US Department of Energy (DoE), a zero-energy building was defined as the building that produces enough renewable energy to meet its own annual energy consumption requirements [11]. According to the European Union Article 2, a nearly zero-energy building is a building that has a very high energy performance where low energy is required by the building which should be covered to a very significant extent from renewable sources including sources produced on-site or nearby [12].
There are several metrics that define the performance of buildings such as the net-zero site energy building, net-zero source energy buildings, net-zero energy cost building, and net-zero energy emission building.
The net-zero site energy building is defined as the building that produces as much energy as it consumes when measured at the site. The net-zero source energy building is the building that produces as much energy on an annual basis as it uses as compared to the energy content at the source. On the other hand, the net-zero energy cost building is the building that uses energy efficiency and renewable energy strategies as part of the business model. Lastly, the net-zero energy emission buildings is the building design that looks at the emissions that were produced by the energy needs of the building. Figure 1 shows various energy efficiency measures.
Various energy efficiency measures.
In the last decade, energy costs have been rising, fuels are running out, and there have been global warming issues. For example, the United Kingdom has only 2 years of gas reserve, which has been put on hold of usage, and is currently buying from other countries such as Qatar and the United States. In addition to that, there have been many other issues such as health, well-being, and pollution which could be reduced if emissions are reduced as a result of better energy consumption plan.
Power stations convert only 30–35% of the input energy into electricity. The rest is rejected as waste heat. The United Kingdom alone wastes £20 billion each year by heat rejection from power plants which if used appropriately could heat Britain.
Earth’s source of fossil fuel is vanishing at a much rapid pace during the last 200 years causing high damage rates to climate change. New reserves of fossil fuels are becoming harder to find. Those that are discovered are significantly smaller than the ones that have been found in the past. Oil reserve is expected to vanish between 2050 and 2060 and so does that for gas. Coal will last longer and is expected to last till 2100 [13].
Other aspects of increased emissions and increased rate of energy consumption are global warming and significant increase rate of ice melting and glaciers. A prominent red flag out of these aspects is that nine of the ten warmest years since 1880 have been in the last decade [14]. For global warming concern, Miami has seen a temperature rise of 3°C.
A building that is designed to be more sustainable has the potential to reduce the human impact on the environment. This effect is shown in Figure 2.
Effect of sustainable buildings on the environment, social life, and economic development.
Sustainable development is the development that meets the present needs without compromising the ability of future generations to meet their own needs [15].
There are three pillars for sustainable development:
Environmental protection
Social concerns
Economic development
The environmental protection aspect deals with climate change issues, resource depletion, land use and ecology, and waste concerns and impact of cities. The human social concerns and issues deal with justice, intragenerational equity, intergenerational equity, and health and well-being issues. On the other hand, the economic development deals with developed and developing counties, employment, modernization, and technological changes.
To solve current issues toward sustainable designs, designers should meet most of the items listed under each of the three pillars. These could be visualized as the intersection common areas shown in Figure 3.
Designers’ choice to achieve the best results that meet sustainable designs.
Spreading knowledge and engagement are ultimately the top most factors to help in reducing energy consumption, pollution and emission, and other issues such as global warming. The process starts with engagement and knowledge spreading, but it should be a closed cycle and thus needs feedback on performance. There has to be supplies that provide low and zero carbon energy and, lastly, investment. With no commitment from big industrial countries, no progress would be achieved.
There are many organizations who started net-zero marketing and application such as environmental organizations, research centers, universities and schools, and some engineering solutions which aimed to save costs and energy. In the United States, California and New York are leading the way to net-zero designs. Although they occupy more than 20% of the total population in the United States, they contribute to less than 10% of the total pollution emissions.
Following design standards is the first step in the design to achieve a net-zero energy building as it is important to define the sources and inputs that would be necessary to quantify the outputs and check what it needs to balance the net-energy consumed. The next step is to simulate the energy consumption using various energy modeling techniques and tools to optimize the following:
Building orientation
Glazing area, exposure, and shading
Heat island reduction
Lighting systems and capacities
Temperatures, humidity, and relative humidity levels
Landscaping
Natural resources
The overall system efficiency
All factors should be considered together by employing passive heating or cooling strategies, such as solar chimney and direct heat gain through south-facing glazing and/or isolated gain or sunspace, considering all possible exterior wall construction that avoids thermal bridging and increasing the R-value in all roof construction, using efficient lighting system, utilizing daylighting sensors and occupancy sensors, and lastly using energy-efficient office equipment for commercial buildings and energy-efficient utilities for residential houses and buildings.
The designer should then implement life cycle analysis, net-zero water system, and net-zero energy and optimize the design as per occupancy levels.
There are three principles to achieve a good net-zero energy building design:
Building envelope measures
Not only the building should be oriented to minimize HVAC loads, but shades and overhangs should be used to reduce the direct sunrays. Multiple options are available such as roof overhangs, shades and awning, and vegetation. To reduce the heat gain through windows, the designer should avoid glazing on the east/west façade. Other measures to reduce heat gains are to increase insulation on opaque surfaces, use glazing with low solar heat gain coefficient values, use double-skin façade, and refine the building envelope to suit location conditions.
Energy efficiency measures
The first utmost factor is selecting the right-size systems for the building. This can be achieved by following ASHRAE Standard 90.1 safety factors in the design, applying factors to reasonable baseline cases, and using simulation to model the design and predict the optimized requirements. In the simulation, part load performance should be considered which would come useful when using variable volume systems, variable speed drives, variable capacity boilers, variable capacity chiller systems, and variable capacity pumping systems as well. In addition to this, the designer should consider using high-efficiency lighting and control systems such as LED lights, high-performance ballasts, dual circuited task lighting, occupancy sensors, and daylighting dimming sensors.
The designer should shift electric loads during peak demand which would optimize the energy consumption. Some recommendations for optimizing the HVAC loads are (1) using heat recovery chillers, (2) using underfloor air distribution systems, (3) using high-efficiency chillers, (4) using passive cooling, (5) applying thermal storage using phase-change materials (PCMs), (6) using combined heating and power (CHP), and (7) using natural ventilation.
At the end of the construction phase, commissioning is a crucial step to ensure the building is performing as the intended design and is meeting its objectives. Commissioning phase verifies that the building’s energy-related systems are installed and calibrated and perform according to the owner’s project requirements, basis of design, and construction documents. The commissioning phase should cover at least the HVAC systems and controls, lighting and daylighting controls, domestic hot water system and any renewable system such as wind and solar. Building commissioning can reduce energy use, lower operating costs, reduce contractor callbacks, and improve occupant productivity. Successful implementation of the commissioning process can yield 5–10% improvements in the energy efficiency.
Renewable energy measures
Go green! Maximizing the energy sources are done through the first two measures, the building envelope which promotes using less energy and the efficient utilities and equipment measures. The renewable energy measures are more expensive than these two measures, and for that designers should start with the first two measures and optimize their design which would reduce the energy requirement needed in this step.
There are various renewable energy resources, such as solar which can be used for generating electricity, storing energy, and heating water, wind, biomass systems, and other sources.
Solar water heating systems include roof-mounted solar collectors that heat a fluid which would be used to heat water stored in a cylinder. Two collector types are usually used: the flat plate and the evacuated tube type. Flat plate collectors are usually cheaper. The solar water collectors heat the water that would be stored in a cylinder directly or indirectly by heating another fluid that would heat the water. Photovoltaic systems can be used to store energy and help in shifting the peak load.
Wind systems provide energy a very effective cost if the wind is continuous and steady and its speed above 10 mph (4.47 m/s), but it is recommended to be above 25 mph (11.2 m/s).
Biomass systems could provide heat by burning the biomass material. Some examples include forests, urban tree pruning, farmed wastes, wood chips, or pellets. However, the burners usually require more frequent cleaning than oil and gas boilers.
Geothermal systems provide good source for both cooling and heating by running the refrigerant pipes under the ground that usually provide nearly constant temperatures. These systems do not produce emissions. Such systems can provide coefficient of performance of 3 or even higher.
In this section, different case studies will be presented that implemented sustainable development and net-zero energy principles. The cases were selected based on their impact as reduced energy consumption and optimized sustainable resources used for energy and water.
The Bullitt Center in Seattle was opened on Earth Day on April 22, 2013. The building is shown in Figures 4 and 5 and is rated as the greenest commercial building in the world. It is a six-story building and has a total area of 52,000 ft2 (4800 m2). The building is energy and carbon neutral, but its cost reaches as high as $18.5 million which yields $355 per square foot (per 0.09 m2). The center’s energy efficiency is 83% better than a typical office in Seattle with many efficient and sustainable energy sources including a 242 kW photovoltaic array, ground source geothermal heat exchange system, radiant floor heating and cooling, and retractable external blinds that block heat from warming the building. For water usage aspect, the center is 80% more efficient than a typical office in Seattle with live rainwater-to-portable water system that can collect up to 56,000 gallons (211,948 L) of rainwater [16]. The building also uses gray water reclamation using compositing foam flush toilets that save up to 96% of water as compared to traditional flush toilets. The building has also green roof and wetlands.
Seattle’s net-zero energy building (Bullitt Center) [17].
Seattle\'s net-zero energy building (Bullitt Center).
La Jolla Commons II is a 13-story office at the University Town Center which is considered to be one of the largest NZEB in the United States. The building has a total area of 415,000 ft2 (38,555 m2) and was completed in April 2014 in San Diego, California. The completed building is shown in Figure 6. The building is rated as pre-certified silver as per US Green Building Council and a potential building for LEED platinum. The building has slab on-grade foundation. Other sustainability features include low-emissive coatings that reflect invisible long-wave infrared (IR) heat, reduce heat gain or loss in the building, and provide greater light transmissions. The walls were all glass as shown in Figure 6 [18]. The air was supplied through underfloor air distribution (UFAD) system at 68 F (20°C). The cooling loads were 15 tons per floor and were supplied through two 560 tons cooling towers that served chillers located in the basement of the building. To achieve the net-zero energy efficiency, the building reduced the consumption through efficient designs and sustainable practices in addition to on-site generation. Fuel cells were generated at a rate of 5.4 megawatt-hour, whereas the historical expected consumption was approximately 4.5 megawatt-hour. The fuel cell technical data are shown in Table 1. The fuel cells are shown in Figures 7 and 8. The building is fed by biogas which would reduce energy costs. The cost per square footage was higher but it came with more benefits.
La Jolla Commons [18].
Inputs | |
---|---|
Fuels | Natural gas, directed biogas |
Input fuel pressure | 15 psi, gage (6.89 kPa, gage) |
Fuel required at the rated power | 1.32 MMBtu/h of natural gas |
Outputs | |
Base load output (net AC) | 200 kW |
Electrical efficiency (LHV net AC) | >50% |
Electrical connection | 480 V at 60 Hz, three- or four-wire three-phase |
Physical | |
Weight | 19.4 tons |
Size | 26\' 5" × 8\' 7" × 6\' 9" (8 m × 2.6 m × 2 m) |
Technical highlights for the La Jolla Commons fuel cells.
Fuel cells used at the La Jolla Commons building.
Fuel cells used at the La Jolla Commons building.
It is classified as one of the greenest buildings on the planet as depicted by the US Green Building Council Prez [19]. The project consists of three one-story buildings. The project is located in Baraboo, WI, with cold and humid air conditions, with over 11,900 ft2 area (1105 m2). It has a platinum rating from the USGBC LEED-NC with net-zero energy rating. The first features of this project were the reduction in water consumption which reached up to 65% through the usage of waterless urinals, dual-flush toilets, and efficient faucets. The other features were the efficient irrigation features implemented using crushed gravels instead of blacktop or concrete paving which increased the rainwater infiltration and helped in blending the developed areas with the surrounding landscape which eliminated the need for irrigation. The utmost feature for this project was the significant reduction in energy usage which reached to 70% less than a comparable conventional building by using 39.6 kW rooftop photovoltaic arrays that produces more than 110% of the project’s annual electricity needs. A sketch for the design is shown in Figure 9, and a picture showing the installed cells on the roof is shown in Figures 10 and 11.
Aldo Leopold Legacy Center in Wisconsin [20].
Photovoltaic cells used for the Aldo Leopold Legacy Center project [20].
Photovoltaic cells used for the Aldo Leopold Legacy Center project [21].
The buildings were oriented properly to have the maximum solar radiation source. Not only ground heat pumps were used as sources for heating and cooling, but Earth tubes were used to preheat and precool ventilation air, as well. Windows were utilized and properly oriented toward the south to get the maximum daylight that can reduce heat needs and lighting. The window area was maximized to optimize these two factors as shown in Figure 12.
Window orientation used to aid heating and lighting in the Aldo Leopold Legacy Center [21].
For additional heat, EPA-approved wood stove or fireplace was used. The final couple features were the usage of displacement ventilation and demand-controlled ventilation through the usage of variable frequency drives for fans that would control the amount of cooling or heating supplied to the spaces based on actual load and not the maximum designed.
The payback period for this project is expected to be around 14 years [20].
The center is located on the island of Hawaii and is used by the Natural Energy Laboratory of Hawaii. The center is used for energy and technology research and development. The center is shown in Figure 13.
Hawaii Gateway Energy Center [20].
Natural ventilation is used through copper roof that radiates heat from the sun into a ceiling plenum as shown in Figure 14. Fresh outdoor air is pulled through the natural ventilation process into the occupied space from a vented underfloor plenum. Seawater at around 45 F (7.2°C) is used to cool the air to 72 F (22.2°C) as shown in Figure 14. As with the Leopold Legacy Center, the building is properly oriented to benefit from daylighting that aids lighting and reduces the energy needed to light the interior of the building. In summer, to prevent the negative affect of solar heat gain, shades are used on all windows. The center uses photoelectric daylight sensors to control the lights in addition to occupancy sensors. This prompted lights to be off 100% during daylight hours.
Hawaii Gateway Center radiant roof system.
The building has 20-kW photovoltaic array which produces approximately 25,000 kW-hr due to high insolation in the area. Part of this power is used to power the pumps that draw seawater to cool the air and power the lights and other auxiliary electrical equipment. The building itself consumes 20% of the energy that comparable buildings use. In 2006, adjustments were made to the pumping systems which resulted in excess energy from the photoelectric system.
This chapter reviewed various techniques and designs that help achieve a net-zero energy building. The most important techniques are optimizing HVAC designs to reduce energy consumptions and usage of renewable sources. Some of the techniques include geothermal heat pumps, underfloor air distribution, radiant floor heating and cooling, retractable external blind on windows, and proper orientation of the building which would maximize heat gains in cold weather and minimize it in summer using trackable blinds, photoelectric daylight sensor, and occupancy sensor. Renewable sources include fuel and biomass cells, biogas, photovoltaic cells, and EPA wood stove for heating. Water usage as well could be optimized by using gray water reclamation and by using rainwater-to-potable live water systems.
Net-zero energy building design starts with ethical clients and demonstrators. Designers and users need to be lean in their designs to reduce the energy consumption, be clean by using energy-efficient utilities and systems, and be green by using renewable energy sources such as biomass, wind, solar, geothermal heat sink, and rivers. Canals could be a good source for heat pumps in cold weather regions [22].
Future buildings will focus more on renewable and sustainable energy resources by implementing an efficient building envelope and utilizing energy-efficient and high-performing utilities promoting reduced energy consumption levels. Future design will benefit from various potential energy resources including solar, wind, tidal, biomass, and other resources. Future system design and selection will need to simulate the various cases, variables, and scenarios to decide on optimized building design such as exposure, orientation, window to wall ratio, shading, building envelope, etc. In addition to that, artificial intelligence (AI) will play a major role in the operation and maintenance of such buildings including smart meters, smart display boards that recommend actions to tenants to reduce energy consumption, lighting control versus shading, and air-conditioning operation. Governments, local states, and cities have to commit to get this into track. They should facilitate sources access and should force using the guidelines and codes.
NZEB | net-zero energy buildings |
HVAC | heating, ventilation, and air-conditioning |
DOE | |
USGBC | US Green Building Council |
LEED | Leadership in Energy and Environmental Design |
LEED-NC | LEED-New Construction |
EPA | |
HEPA | high-efficiency particulate air |
CFM |
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