6

ENVIRONMENTAL MANAGEMENT SYSTEMS AND PROCESSES

“Only within the moment of time represented by the present century has one species—man—acquired significant power to alter the nature of his world

—Rachel Carson”

From an ecocentric perspective of nature, man is the only one among the millions of species co-existing in this planet’s biosphere, who has assumed dominion gradually over all others after a period of settled agriculture. This dominion has extended to all other components of the environment after the industrial revolution resulting in degradation of the environment. The industries have depleted the natural resources and polluted the environment. Environmental management systems and processes are the developments emanating from an enlightened anthropocentric perspective assuming that man has the ability to manage the environment thereby reducing harm to other fellow beings of the present generation and the future. This anthropocentric view presupposes that man knows all intricacies and complexities of nature and that everything about the nature can be managed, planned, implemented, controlled, modified, checked and monitored.

6.1 ENVIRONMENTAL MANAGEMENT SYSTEMS

Systems are a set of inter-related parts or a set of elements standing in inter-relations. Environment is a series of overlapping systems with inter-relationships of water, cloud, storm, lake, hurricane, farming, food, insects, animals, plants, soil, etc. Planet Earth is a system. Cosmos is another system in which planet Earth is a subsystem. The Earth as a larger system has many biomes that are its subsystems. Each biome consists of many ecosystems as further subsystems and an ecosystem is the unit of systems study in the environmental management. Even though there are closed and open systems, in nature or environment, all systems at all levels are open systems.

6.1.1 Characteristics of open systems

• Inter-relationships (interconnections) of the parts that make up the whole as a system.
• Interdependence of parts. There is a reciprocal relationship between components. For example, each culture developed specific proscriptions, prohibitions, norms and principles to sustain the reciprocal relationship between man and nature in an ecosystem.
• Health of an overall system is contingent on subsystem functioning.
• Open systems have permeable boundaries with import and export of materials and energy through the boundary.
• Systems regulate permeability.
• Entropy—natural tendency for systems to expend energy and produce increasing disorder.
• Synergy—whole is greater than sum of its parts.
• Equifinality—a system can reach the same final state from different initial conditions and by a variety of different paths. There are three types of equifinality: suboptimal, trade off and configurational.
• Complexity—many parts in a system are related in intricate arrangements.
• Dynamic homeostasis—balance of energy exchanges.
• Equivocality—uncertainty and ambiguity of system’s functioning is a characteristic.
• Emergent actions and outcomes—actions and outcomes at the collective level merge from the actions and interactions of the individuals that make up the collective.

Business organizations and ecosystems are open systems having all of the above characteristics. Burns and Stalker (1968) classify business organizations further into mechanistic systems and organic systems. Environmental Management System (EMS) is a subsystem within the organization when firm is considered as a system. A manufacturing organization is a subsystem within an industrial system and an industrial system is a subsystem within an economic system at the macro level.

6.1.2 Implementation of EMS

The facet of an organization’s overall management structure that addresses the impacts of its products, services and processes on the environment is called as the EMS. It involves developing, implementing, achieving, reviewing and maintaining an environmental policy in an organization. A policy is the intent which guides all decisions and the decisions in turn leads to environmental actions. There are four concepts of EMS in business organizations:

1. Everything done in business has some environmental impact
2. Management systems control everything done in a business
3. Standards can be set for the EMS
4. All environmental actions primarily originate from a policy.

All organizations have some type of EMS regardless of what each one does: for example, every organization has waste baskets to collect and dispose wastes. They may not use water more than necessary. Modern recognized EMS focuses on a more formalized and structured approach defined in the international EMS standards called ISO 14001. ISO14001 is a more formal type of EMS that encourages organizations to take action towards continual improvement. An effective EMS supports a variety of goods, is in harmony with the mission and recognizes continual improvement.

6.1.3 Stages of an EMS

The EMS is a process which starts from unprepared and non-systematic actions in an organization and progresses to reactive compliance measures of various regulations in the second stage that are insisted by regulatory authorities. The third stage is more proactive and graduates to participatory approaches especially focusing on pollution prevention and reducing ecological footprints. The fourth stage is mainstreaming the environmental management within the overall management system of the business organization. The final stage is a mature and highly integrated sustainable development (integrated SD) paradigm operationalized fully by the management and reaping strategic benefits from EMS.

6.1.4 Benefits of EMS

There are economic and strategic benefits by implementing a highly integrated EMS in a business organization.

6.1.4.1 Economic benefits

• Cost saving from less energy consumption, less waste disposal costs, less penalties and less risk of compensation.
• Revenue increase from market share, demand for products that contributes to environment, redesigning and marketing green products at high price.

6.1.4.2 Strategic benefits

A firm which plans and implements a system as part of its overall management system sends out a strong message about its intent to outside that the firm is environmentally conscious and concerned about the health of other persons (Fig. 6.1). It also will have less risk from environmental hazards and accidents. Consumers and other stakeholders want to support a firm which spends money on enhancing the environmental quality. There are a set of long-term advantages to a firm as listed below.

• Enhanced public image and public relations
• Access to foreign markets
• Easier compliance
• Staff commitment
• Productivity increase when environmental concern becomes part of the organizational culture and strategy
• Openness to challenges
• Stakeholder support
• Better bond rating. The firm will be able to access finance at cheaper rates.
• Potential privatization. The firm will become attractive to buyers for take-over and to investors for investments
• Example of leadership
• Trade group recognition.

6.1.5 Basic elements of EMS

In ISO14000 method of EMS, the basic elements are “Plan–Do–Check–Act” in a cyclic manner. All the disparate actions are grouped into these four basic elements. The elements from the implementation perspective comprise the following:

• Commitment to an environment management plan and to implement an EMS
• Having an environmental policy
• Organization of environmental functions with adequate personnel, role definition, responsibilities and expertise
• Maintaining environmental aspects/impact registers
• Register of regulations
• Developing environmental objectives and targets
• Developing environmental management plan, programs and budgets
• Advancement of the environmental program of the firm through the supply chain with life-cycle assessment
• Integration of environmental plans into day-to-day operations
• Environmental management manual
• Operational control with yearly action plans
• Communication through training and information, education and communciation materials
• Records/documentation
• Measurement of environmental management performance
• Environmental audit (EA)—internal and external
• Review
• Emergency preparedness.

6.1.5.1 Environmental policy

The basic element of an EMS and the first step towards its implementation is the development of an environmental policy. It is a statement of an organization’s intentions, principles and framework in relation to its expected overall environmental performance that is within the overall business strategy of the firm. The environmental objectives and targets are drawn in accordance with the policy, considering the organization’s environmental mission, vision and core values. Environmental management plan, manual, procedures, operating criteria, records, etc. are also developed and implemented in pursuance of the policy.

6.1.5.2 Environment management plan (planning)

From the raw materials sourcing stage onwards all the activities, products, services and processes of the organization are examined in order to identify significant environmental aspects and impacts. The environmental aspects of activities, products and services that the organization can control and influence are only addressed in the EMS. For example, air emissions, water discharges, soil contamination, energy use, use of raw materials, waste segregation, etc. are manageable by the firm. Then the legal requirements for compliance, executive orders and voluntary practices are identified. Environmental objectives, targets, programs and budgets are developed based on an assessment of the environmental aspects significant to the firm, applicable regulations, competitive positioning desired and the organizational resources required and available at its command. The plan of action will describe who will do what, when, how, at what cost, what will be measured and at what periodicity, what the schedule will be, stakeholders and expected outputs. The environmental management plan will then be integrated into the strategic plan, budgets and programs of the organization. The plan also includes a communication plan and a contingency/emergency response plan.

6.1.5.5 Implementation (Doing)

Implementation of the environmental action plan needs mobilizing and organizing the resources, allocating responsibilities to different roles, delegating authority and building competencies by training. Awareness creation about the environmental impact of each person’s activities, mock drills on emergency preparedness in case of accidents and emergencies and other specific actions related to environmental aspects of the firm are carried out. Developing innovative technologies and methods to mitigate impacts is a part of the implementation process. Training includes suppliers, contractors and retailers who perform tasks and functions on behalf of the organization, in addition to employees.

The steps in the control function document the parts of the EMS and how they work together by maintaining dated, approved documents for all operations and activities associated with significant environmental aspects. Benchmarking criteria are defined on how much water, electricity, waste, fuel and raw materials are used for each activity. Procedures to cover situations, where absence of benchmark criteria or environmental standards could lead to deviations from policy, and procedures to address deviations from the plan are developed. The documents are maintained either in electronic or in paper form.

6.1.5.4 Checking and corrective action

It involves monitoring and measuring the documented procedures and non-conformances related to significant aspects, in order to determine success towards objectives and targets. Checking is done to see whether someone is specifically responsible for mitigating impacts, identifying causes, assessing training effectiveness and corrective actions taken during implementation. Corrective actions involve modifying the operations and procedures to prevent recurrence of non-conformity and deviance. Internal EMS audits are conducted to determine if the EMS is being properly implemented and maintained. Audits find out whether procedures, products, processes, measures and results are as per the plan. The effectiveness of the management tools like Initial Environmental Examination (IEE), IEA and organization of environmental functions, expertise and responsibilities are also checked during internal audit.

6.1.5.5 Management review (Act)

The aim of management review is to assess the suitability, adequacy and effectiveness of the EMS, in order to determine the need for any change or modification to the environmental policy, environmental objectives or other elements of EMS. Review starts from the EA report and other progress reports. The review examines changes in technologies, facilities, activities, products or processes by way of observation and information from interested parties. An effective EMS is alive, constantly measuring performance, making adjustments and looking for opportunities for continual improvement.

The EMS cycle of Plan–Do–Check–Act is repeated to ensure that it meets the policy and manages the environmental footprint of the organization with sustainable practices and ecological handprints. Commitment of each individual in the organization system is essential for the success of EMS.

6.2 ENVIRONMENTAL IMPACT ASSESSMENT

 

“The fouling of the nest which has been typical of man’s activity in the past on a local scale now seems to be extending to the whole system

—Kenneth Boulding”

It is a formal process to predict the environmental consequences of development activities, to plan measures to eliminate or reduce adverse effects, and to augment positive effects. Environmental Impact Assessment (EIA) identifies the likely effects of activities or projects on the environmental components, on human health and on continued high standards of living. It also identifies the means and measures to monitor and measure the impacts. The physical environment along with the biological, chemical, social and economic aspects of the environment is considered for impacts.

6.2.1 Principles of EIA

EIA as a systematic process of identifying future consequences of a current or proposed action is carried out based on certain principles.

The five basic principles of EIA are as follows:

1. Focus on the main environmental issues
2. Involve the appropriate persons and groups
3. Link information to decisions about the project
4. Present clear options for the mitigation of impacts and for sound environmental management
5. Provide information in a form useful to the decision makers.

As operating principles, the EIA process should be applied:

• To all decisions: start with the earliest decisions and apply to all the decisions throughout the life cycle of the proposed activity
• To all development proposals that may cause potentially significant environmental effects
• To impacts on biodiversity, land, water, air, public health and socioeconomic factors including local culture, income levels, gender, lifestyle, age and cumulative effects consistent with the concept of sustainable development
• To provide for the involvement of communities and industries affected by a proposal and the interested public
• In accordance with the internationally agreed measures and activities.

The operating principles describe how the five basic principles should be applied to the main steps and specific activities of the EIA process like screening, scoping, identification of impacts and assessments of the alternatives. ESCAP has elaborated the EIA concept in terms of eight guiding principles in the form of values as shown in Fig. 6.2.

6.2.2 Functions and purpose of EIA

The EIA is considered as a project management tool for collecting and analyzing information on the environmental effects of a project. As such it is used to:

• identify the potential environmental impacts from the activities or the products of a firm or potential impacts from a proposed project
• examine the significance of environmental implications
• assess whether the impacts can be mitigated
• recommend preventive and corrective mitigating measures
• inform decision makers and concerned parties about the environmental implication of the proposed project
• advise whether the activity/development project/product should go ahead.

The primary purpose of EIA is to encourage the inclusion of environmental considerations in early planning and decision-making stage and to ultimately arrive at actions that are more environmentally compatible. Most of the environmental attributes are spatial (geographical spread) and some are longitudinal (time series) in nature. To understand and manipulate these attributes, suitable spatial and time series database management system is required.

6.2.3 Use of geographical information system and stages in EIA

Geographical information system (GIS) and regression analysis are used for the above two purposes. Geographical information system is a tool not only for collecting, storing, retrieving at will but also for transforming and displaying spatial data for a particular set of purposes. It can provide all desirable requirements for spatial database management of environmental aspects due to the involvement of huge environmental data of spatial nature in every stage of the EIA procedure. Geographical information system has high utility in all EIA stages as given below:

• project description
• screening
• scoping
• baseline data collection
• impact prediction
• evaluation of alternatives
• public participation
• decision making
• monitoring plan.

The essential features of the project such as location of the factory or facility, spheres of impact, source of raw material, market for selling, source of labor, waste collection places, climate conditions, water bodies etc. can be described in an understandable form by using GIS that enables a precise definition for every project and its impacts. In evaluating environmental and visual impacts, geographical information system is applied in assessing the area of the impact sphere, distances, aspects affected, etc. Geographical information system is very helpful in performing the three main tasks involved in EIA:

1. Manage huge and diverse nature of database collected at different locations and seasons
2. Make final interpretation and inferences based on these data
3. Easy checking or comparing of the impacts during implementation phase with the baseline data.

Geographical information system acts as an integrating framework for generation, storage and display of the thematic information facilitating quick decision making. The most valuable and attractive feature of GIS is the ability to present data in map form (Fig. 6.3). Geographical information system reduces the subjectivity in the process of preparing EIA of a project, provides transparency to decide over the possible alternatives and is easy to understand by non-technical decision makers. Geographical information system–based database is to be integrated with remote sensing data, which are dynamic and temporal in nature, and will help to prepare EA of the same project at a later stage.

6.2.4 Baseline situation

In understanding the pre-project or existing situation of environmental components that are likely to be affected by the firm’s activity or upon which the activity depends for its success, baseline study is done. The environmental components that are looked into are:

• Soil: nutrient concentrations, erosion, salinity, profile characteristics of the soil, gradient and slope, soil microflora
• Flora: existing plants, their growth habits, key species, dispersion of species
• Fauna: key species, their food and food chain, population, habitat characteristics, breeding characteristics, ketone species if any
• Water: quality, quantity, sources, accessibility, reliability, water table level, rainfall pattern and distribution, run-off characteristics.
• Environmental health: diseases prevailing in the area, pathogens, vectors, frequency, predisposing factors
• Air: air quality, composition, presence of pollutants, if any
• Social: culture, religion, education, local values about nature and trees, type of community organization
• Economic: social and economic stratification, income levels, economic activities, spending patterns, consumption basket items, type of industries
• Demographics: density of population, age composition, sources of livelihood, etc.
• Vulnerability of the area to natural disasters, environmental risks and public health risks
• Nature of technology and level of technology use
• Types of energy sources, per capita energy use characteristics.

The normal variability in each of the above environmental components and present trends in these components are described.

6.2.5 Types of impact

 

“The most important pathological effects of pollution are extremely delayed and indirect

—Rene Dubos”

The EIA process addresses and observes all types of impacts: direct and indirect impacts, adverse and beneficial impacts, long-term and short-term impacts, visible and invisible impacts, duration, severity, frequency, reversibility and probability of impacts. However, focus will be on significant impacts of activities of a project or program. The EIA process is conducted in three phases: initial enquiries (IEE), full EIA study, if needed and continuing studies after/during project implementation in the form of environmental monitoring.

6.2.6 IEE

Initial Environmental Examination aims at understanding the development objectives of a proposed project or enterprise—what are the activities and why the activities are being proposed. It is conducted as a part of the feasibility study. The stages involved in IEE are:

• Constitution of the investigation team leader and subject experts on different components of the environment
• Screening to know environmental sensitivity
• Scoping—terms of reference (TOR) is developed along with defining the affected parties and environmental components to be examined
• Describing environmental conditions of the project area
• Assessing potential impact in the form of prediction of options and identify impacts
• Formulating mitigation measures—technical, social and institutional measures to minimize adverse impacts
• Preparing institutional requirements and environment monitoring plan
• Reporting to decision-making authorities and disclosures to redesign project
• If there is no significant impact, then the project passes IEE and funds are committed.
• The outlines of the IEE report are given below: the report of the IEE is useful to identify, predict and judge the potential and significance of impacts.
• Introduction with purpose of report and scope of study
• Description of the project
• Description of the environment with environmental resources
• Screening of potential environmental parameters
• Institutional requirement and environmental monitoring plans: how and when of the impacts that are to be mitigated
• Public consultation and information disclosure from design stage
• Findings and recommendations with an assessment whether full EIA is needed.

6.2.7 Full EIA study

It is reserved for activities for which screening or IEE shows significant impacts. Full EIA involves greater efforts and in-depth assessment of all environmental components with more time and resources. Consultation with all stakeholders including public hearing is needed. Often, study is extended to cover all the seasons, and all aspects and impacts on all stakeholders.

6.2.7.1 Terms of reference of EIA

The information gathered from the IEE is used to prepare a TOR for the EIA. The TOR guides and sets the boundaries of the EIA for a project or a firm or an area. It is prepared with expert assistance so that all environmental aspects which are significant for a project are included. An example of a TOR for a sea-port project is given in below.

The proposed sea-port will be developed in two phases consisting of dry non-hazardous cargo handling wharves with a handling capacity of 10 MTPA in Phase I and 17 MTPA in Phase II (cumulative) respectively. The proposed port will be developed in an area of approximately 500 acres which will mostly be on reclaimed land. The port will have three berths in Phase I—one each for coal, general cargo and containers.

The vessel sizes planned at the port are 80,000–100,000 DWT (Phase I) and 120,000 DWT (Phase II) for dry bulk cargo; 30,000 DWT (Phase I) and 40,000 DWT (Phase II) for general cargo; and 3,000 TEU (Phase I) and 5,000 TEU (Phase II) for containers. The project features includes a Northern Breakwater of 2,100 m length and Southern Breakwater of 1,100 m length. The outer approach channel will be approximately 6.3 km and inner approach channel approximately 1.5 km with a draft of 18.5 m (outer) and 17.5 m (inner). The channel width will be 225 m with turning circle of 480 m diameter in the basin.

Out of the total dredging volume of 17.46 million cubic meter, 13 MCM of dredged material is proposed to be used for reclamation of about 450 acres from the sea. The remaining dredged material will be disposed into the off shore dumping ground after conducting modeling studies to identify the suitable location for dredge disposal. Water requirement during the operation is expected to be 50 m³/day and 75 m³/day (cumulative) during Phase I and Phase II development respectively.

The estimated cost for the Phase I development is approximately Rs.13,070 million. It is aimed at achieving commissioning of the port within a period of 36 months.

During the discussions, the expert committee finalized the following additional TOR for a further study.

1. An (high tide level/low tide level) map prepared by an authorized agency on 1:4,000 scale superimposed with project layout
2. S.tate Coastal Zone Management Authority Recommendation ()
3. Submit the details of the site selection studies with justification of particular focus and environmental issues
4. Details of backup stockyard and dust suppression measures
5. Details of land breakup along with land use plan and details of green belt development
6. Details of solid waste and management
7. Water requirement, source and impact on competitive users
8. Details of the waste water treatment
9. Details of the shore line studies to study the erosion and accretion
10. Submit the details of the eco-sensitive areas, if any
11. A comprehensive EIA based on three-season data and actual field measurement, appropriate modeling study, etc. shall be carried out
12. Submit details of Environmental Management Plan and Environmental Monitoring Plan with parameters and costs
13. Submit the details of Oil Spill Contingent Management Plan
14. Dredging material quantity and quality in terms of its toxic metals (at least Chromium, Arsenic, Mercury and Lead) and its disposal methods (reclamation/dredging disposal site). If disposal is in sea location, the justification of selecting such a location, the dispersal of dumped material, its effect on marine environment, effect on fishes, etc.
15. Submit the details of study on connectivity and its carrying capacity (both road and railway)
16. Confirm that the proposed development does not involve court cases
17. Quantitative and chronological CSR (Corporate Social Responsibility) Plan shall be delineated in detail
18. Submit the details of fishing activity and its likely impact due to the activity
19. Submit the details of Risk Assessment and Disaster Management Plan including emergency evacuation during natural and man-made disaster like floods, cyclone, tsunami and earth quakes etc.

General guidelines for the EIA will be as follows:

1. The EIA document shall be printed on both sides, as far as possible.
2. The status of accreditation of the EIA consultant with NABET/QCI shall be specifically mentioned. The consultant shall certify that his accreditation is for the sector for which this EIA is prepared.
3. The details of the consultancy firm along with their accreditation, if any, shall be indicated. While submitting the EIA/EMP (Environment Management Plan) report, the consultant shall give an undertaking to the effect that the prescribed TORs have been complied by with and the data submitted is factually correct (Refer MoEF office memorandum dated 4^th August 2009).
4. The name of the project leader of EIA, experts involved in the preparation of the reports and the laboratories through which the samples have been analyzed will be stated in the report. It will also be mentioned whether these laboratories are approved under the Environment (Protection) Act, 1986 and the rules (Ministry of Environment and Forests [MoEF] office memorandum dated 4^th August 2009). The project leader of the EIA study shall also be mentioned.
5. All the TOR points as presented before the Expert Appraisal Committee and the additional TOR points shall be covered.

Public hearing to be conducted for the project as per provisions of Environment Impact Assessment Notification, 2006 and the issues raised by the public should be addressed in the Environmental Management Plan.

A detailed draft EIA/EMP report should be prepared as per the above additional TOR and should be submitted to the Ministry as per the Notification.

For any further clarification on carrying out the above studies including anticipated impacts due to the project and mitigative measure, the project proponent can refer to the model TOR available on Ministry website http://moef.nic.in/Manual.

The approved TOR is valid for a period of two years for submission of the EIA/EMP reports, after public consultation.

6.2.7.2 Tools and techniques of EIA

The TOR approved by the environmental authorities is entrusted to an expert team for actual conduct of EIA. The EIA also starts with baseline studies by using the data collection tools like observation, survey, interview methods, secondary data and even participatory rural appraisal (PRA) tools to understand local knowledge systems on environment, seasons, climate, variations, etc. Other tools are:

• Environmental impact metrics to understand the cause and effect
• Checklists with data collection sheets and questions
• Participatory rural appraisal techniques like Venn diagram, longitudinal analysis and sociogram
• Network diagrams to show how impacts are related
• Overlay—geographical extent of different environmental impacts are overlaid by GIS
• Mathematical modeling for prediction and flow quantities
• Regression analysis and prediction from past data
• Expert advises through Delphi technique, triangulation, etc. to estimate socio-cultural impacts and to assess implications of modeling prediction
• Economic techniques for quantifying environmental effects and to assess cost benefit ratio
• Environmental health impact assessment to know risks to health and cost of health risk mitigation
• Environmental impact statement which is a document of effects on environment with action plan, guidance and recommendations.

6.2.7.3 EIA process steps

Environmental impact assessment is a process with series of steps involving screening, scoping, predictions, finalizing the mitigation measures, collecting feedback from the stakeholders and management, monitoring and auditing. It has all the steps of IEE in much for detail and wider scope with more attention on prediction of impacts, mitigation measures and management of impacts on a continuous basis. A formal public hearing involving all stakeholders is also conducted for a full debate on all aspects of the impacts, proposed mitigation measures and steps proposed to address the needs of each stakeholder group.

6.2.8 Environmental impact mitigation

 

“While Chrysler competes with Buick for the gateway, cancer competes with emphysema for the layaway

– Robert Rienow”

The purpose of EIA is to assess impacts, avoid impacts and to remediate. Mitigation is the implementation of measures designed to reduce the undesirable effect of a proposed action on the environment. There are three types of mitigation measures.

6.2.8.1 Prevention and control measures

The aim is to prevent an impact or reduce an environmental risk by changing the means or technique of an activity, or changing the site or changing the raw materials or processes. The prevention also includes altogether abandoning a project, if its execution causes irreparable long-term damage to the biodiversity or hydrosphere.

6.2.8.2 Compensatory measures

This is a process of making improvement at some other place or domain in order to off set the environmental impact in one area. For example while purchasing an airline ticket to fly; the carbon footprint from flying is off set by paying additionally to plant trees by a company in some area. Thus the carbon emission contributed by the traveler is off set by planting trees that sequester CO₂ at his own initiative and cost.

6.2.8.3 Remediation measures

This includes repair and restoration of the environment after the damage is done. A mining site is restored by planting trees after terracing or strip planting of grass for stabilizing the soil from erosion. A lake that has huge quantities of water weeds and sedimentation is dredged to remove the accumulated silt, cleaned up by removing all water weeds and then native fish species are reintroduced as a remediation initiative.

6.2.9 Environmental monitoring

EIA does not end with a final report, but is an ongoing process in the form of continuous monitoring, assessment of the gravity and extend of impacts and the sufficiency and effectiveness of the mitigation measures being taken. Environmental monitoring is a process of systematic formal measurement of key environmental indicators over the affected area or environmental component over time in order to identify deviation, both positive and negative, from the baseline data. Verification of the mitigation measures adopted on their effectiveness and sufficiency is also done during monitoring. Indicators of environmental health and ecosystem functions are also measured to ensure that project has no adverse impacts. Mitigation and monitoring are complementary aspects of environmental management plan and designed for every activity and every stage of project implementation. Monitoring is done both at strategic manegment level and project or operations level as depicted in Fig. 6.4.

6.2.10 Sustainability assessment

Instead of impact assessment, more integrated assessment with sustainability perspective is now suggested with spatial (here and there) and temporal (now and later) trade off.

6.2.11 Strategic environmental assessment (SEA)

Environmental issues are addressed at policy level and as part of strategic plans in SEA instead of projects as an EIA. It engages decision makers with environmental aspects at early stages; hence it is a proactive approach to environmental management. The various issues and aspects considered while making strategic plans is illustrated in Fig. 6.5.

6.3 ENVIRONMENTAL AUDIT (EA)

It is a process of systematic, periodic, documented and objective evaluation of the effectiveness, sufficiency and sustainability of the environmental management actions, methods, processes and equipments in an area or an organization. Environmental audit reduces the regulatory risk by giving timely warning to the top management. It gives better control on the implementation of EMS. It is divided into three phases: pre-audit activities, activities at site and post-audit activities. Environmental audit should attempt to capture values which have an impact on the environment that are usually overlooked as depicted in Fig. 6.6.

6.3.1 Pre-audit activities

An audit team is constituted or outsourced and a decision is taken as to which facility or which aspect is to be audited. The audit team consists of a Lead Auditor and two or three competent auditors having expertise in different aspects such as land management, water resources, biodiversity, air quality, ecology, energy, waste management, sociology, etc. The time of conducting an audit is also decided. The items which are usually looked into in an EA are:

• Environmental policy, whether it is effective, sufficient and comprehensive
• Roles, responsibilities and organization of EMS
• Comprehensiveness of environmental objectives, targets and plans
• Awareness and training effectiveness of all employees
• External relations with the community
• Extent of compliance of regulations
• Planning, preparedness and response to emergencies
• Pollution treatment and discharges
• Resource savings and resource use effectiveness, wastages
• Housekeeping
• Land and common goods management
• Metrics of environmental monitoring: whether the measures measure what is relevant.

Depending upon which facility, plant, location or aspect is focused in the audit, an audit protocol is prepared and preliminary data from the available documents are collected during this phase. The method of data collection is also decided at this stage for data reliability, accuracy, validity, authenticity and timeliness.

6.3.2 Audit activities at site

During this phase the audit team visits all sites to observe the reality. Also interviews and discussions are held to understand the working of the systems and the performance of various functions. Questionnaire survey also may be done. All required data as per the protocol are collected from all sources and through all possible methods of data collection.

6.3.3 Post-audit activities

After the full data collection, the collected data is coded and tabulated. Further analysis is done for inferences and meaning. A draft report is prepared and discussed with the top management to get their views and suggestions. An action plan for follow up is agreed during the discussion on the draft audit report and then the final audit report is drawn up. This audit report is used for critical decisions even to the level of making changes in the environmental policy.

6.3.4 Types of audit

There are seven types of audit in environmental terms. They are as follows:

• Decision point audit—examines effectiveness of EIA as a decision-making tool.
• Impact of project audit—studies changes in environmental aspects occurring due to project implementation. The changes or impacts could be of three types: positive, negative and no effect.
• Predictive technique audit—the actual impact observed after an activity is compared with predicted environmental effects. This type of audit examines the accuracy of techniques used for prediction during EIA.
• EIA procedures audit—the sufficiency and effectiveness of the methods, tools and approaches adopted during EIA study are tested.
• Certification audits—certification of environment friendliness of buildings and institutions are done through an audit. Certification audits of LEED, GRIHA and ISO 14001–2004 are few examples.
• Efficiency audit: the energy use, water use, resource reuse, paper recycling, quantity of waste generated while using raw materials, etc. are assessed.
• Performance audit—examines the responses of agencies and individuals in project management as to whether each role is fulfilled to its responsibilities. It also ensures that approved activities and conditions for project implemental are met.

The seven categories for awarding design points in LEED are:
Sustainable sites:	14 points
Water efficiency:	5 points
Energy and atmosphere:	17 points
Materials and resources:	13 points
Indoor environmental quality:	15 points
Design and process innovation:	4 points
LEED accreditation professional:	1 points
TOTAL	69 points maximum

6.3.5 LEED certification

It is an acronym for Leadership in Energy and Environmental Design. It is developed by the US green building council in conjunction with Department of Energy. EPA (Environmental Protection Agency), US General Services Administration, US Air force and many states in the USA. There are six categories of certificates:

LEED NC:   (new construction—which are commercial, complete and in use for four years)

LEED CI:   (commercial interiors)

LEED EB:   (existing buildings)

LEED CS:   (core and shell commercial buildings)

LEED H:   (single family residential)

LEED ND:   (residential neighborhood developments)

There are seven prerequisites for LEED certification. They are:

• Sediment and erosion control
• Minimum energy performance
• CFC reduction
• Storage of recyclables
• Minimum IAQ performance
• Environmental tobacco smoke control
• Fundamental commissioning.

There are four levels of LEED Certification. The buildings which get 26 points are labeled as LEED certified, 33 points as LEED silver; 39 points as LEED gold and more than 52 points as LEED platinum.

6.3.6 ISO 14000 certification

ISO is a network of the Standards Organizations of more than 140 countries. Charted in 1946, ISO facilitates world trade by establishing internationally acceptable standards for manufacturing process. There are different series for different categories. ISO 14000 series of Standards pertain to environmental quality with a focus on continual improvement; EMS started in 1993.

The ISO 14000 Standards are divided into seven groups namely EMS (ISO 14001, 14004), environmental auditing (ISO 14010, 14011, 14012), eco-labeling and four groups for the certification process. Some important standards in the series are given below:

ISO 14001:   EMS

ISO 14004:   EMS guidance

ISO 14010:   Principles of environment auditing

ISO 14011:   Procedures for auditing

ISO 14012:   Auditor qualifications

ISO 14021:   Principles of all claims

ISO 14024:   Eco-label seal of approval program

ISO 14025:   Manufacturer self-declaration claims

ISO 14031:   Environmental performance evaluation systems

ISO 14041:   Guiding principles of life cycle assessment

ISO 14042:   Inventory analysis

ISO 14043:   Impact analysis

ISO 14044:   Improvement assessment

ISO 14060:   Environmental aspects in product standards.

6.4 INTEGRATED ENVIRONMENTAL MANAGEMENT

System perspective points to the fact that there are inter-related parts in an ecosystem and being an open system, there are import and export of materials through the permeable boundary. For a system with different components, with emergent actions and outcomes, consideration of integration is an essential part of environmental management. The mitigation measures in one component or environmental aspect may not hit adversely another environmental component when an integrated approach is taken. There are various types of integration:

• Substantive integration—this aims at integration of environmental, social and economic aspects of sustainable development.
• Integration of assessment methods and tools in environmental assessment stage, monitoring and EA stages. One method and tool alone may not capture all aspects of the complex environmental system.
• Ecosystem level integration: the totality of different subsystems of an ecosystem with food chains, material cycling, water cycle, climate cycle, input–output systems of an ecosystem and other processes are considered for integration.
• Integration of good governance: all the good governance principles such as transparency, participation, accountability, effectiveness, etc. are to be integrated during planning, implementation and review stages.
• Integration of environmental management with strategic management: environmental management aspects and actions are to become an integral part of the entire strategic management process of an organization. This enables long-term competitive advantages for a business firm with long-term stakeholder support and acceptance of the growth of the organization. The environmental competencies that give sustainable competitive advantages to a firm are given in Fig. 6.7.

Integrated environmental management (IEM) is a management-oriented approach to lessen environmental impacts with certain principles and specific processes.

6.4.1 Principles and processes of integrated environmental management

The principles followed in the practice of IEM are briefly listed below:

• Proactive planning to decrease the negative impacts to any environmental component and to enhance the positive impacts of a project or a program
• Informed decision making by involving professionals to get insights
• All alternative options including no project or no development at all are also considered at project planning stage
• Provides a framework for cooperation of all stakeholders: open and participatory approach by involving all interested and affected agencies and actors
• Involves creative thinking in planning and design stage
• Broad understanding of the term environment including physical, biological, social, economic, cultural, historical and political components
• Collection of objective information and reliable data to understand environmental consequences of development proposals
• Accountability is defined by keeping record of decision making with reasoning and maintaining full database
• Environmental consideration to all stages of development process or project cycle
• Ecological complexity and interdependence of humans and nature are assumed in planning and implementation.

The process of IEM involves integration of various aspects of management such as task integration, resource integration, responsibility integration, etc. Continuous development of management capabilities in an interactive and evolutionary manner in the following aspects of management are envisaged.

• Integration of all tasks from planning, resource mobilization, implementation, operation and maintenance, monitoring and continuous evaluation
• Integration of responsibilities by different actors like local self-government, state government, national government, international institutions and regional institutions
• Integration of sectors such as private sector, public sector, civil society and government
• Integration of all resources for management like human resources, funds, materials, traditional knowledge and scientific knowledge
• Integration among disciplines like economics, environmental science, environmental management, agriculture, fisheries, entomology, zoology, botany, public health, law, geology, geophysics, geochemistry, political science, geomorphology, environmental economics, environmental sociology, sociology, marine biology, etc.
• Integration of conflicting interests and uses of natural resources and CPRs (Common Property Resources)
• Integration of development and business sectors such as agriculture, energy, transport, tourism, industries, fisheries, water resources, forests, mining, etc.
• Integration of plans for economic development plans for environmental development, land use plans, waste management, quality management plans, etc.
• Integration of political, cultural, historical, traditional, institutional and economic perspectives/dimensions
• Integration of management issues, management actions and management processes.

6.4.2 Characteristic features of integrated management

The goals, values, participants, production systems, products and business functions of integrated management and the conventional business management approach are compared in Table 6.1.

 

6.4.3 Stages of IEM

There are three main stages of IEM as given below: from the perspective of the most critical decision making and project phases:

1. Development and assessment of any proposal for development or business growth. All stakeholders of the proposed development are identified and EIA requirement is assessed.
2. Decision on accepting/rejecting/modifying the proposal before the start of a project based on stakeholder feedback, IEE or full EIA. At this stage there is an opportunity to raise concerns, put conditions and include an environment management plan and EA.
3. Implementation recognizing the interaction and interdependency of participants, sectors, resources and environmental components. Monitoring protocols are developed to enhance positive environmental aspects during the implementation stage as per the principles of adaptive management.

6.5 PARTICIPATORY ENVIRONMENTAL MANAGEMENT

 

“That which is everybody’s business is nobody’s business

– Izaak Walton”

The potential and enthusiasm inherent in human beings to grow and flourish is the basis of Participatory Environmental Management (PEM). It is the process of people in a project area becoming aware through collective self-reflection and becoming progressively knowledgeable leading to communities playing an active role in the design, implementation and evaluation of environmental management initiatives. Participation is a process of “Voice” and “Choice,” making context specific solutions from experiential learning. Indigenous local knowledge is used in diagnosing environmental problems, causes and thereby search for solutions. Participation offers opportunities for pooling local resources for collective actions by learning to change and learning to enjoy change. It leads to increased self-reliance and sustainability of actions.

6.5.1 Necessity of participatory environmental management

Environmental realities are mostly local in its symptoms, causes, effects and solutions. Even for a seemingly global phenomenon like global warming, the causes are local greenhouse gas emissions; the symptoms are altered rainfall pattern and temperature changes; the effects are on local agriculture, fisheries, sea level rise, etc. and the solution to check GHG emissions also lies at the local level. Each habitat/ecosystem has a specific reality different from one another. Indigenous knowledge is context specific, time tested or co-evolved with an ecosystem; hence it is the most authentic source of knowledge about environmental realities. Thus participation of local people and communities is essential for any effort of environmental management. Few other reasons, which make local knowledge and hence participation of local people essential in environmental management are given below:

• High complexity of ecosystems with the food webs, other material handling cycles, hydrological cycles, etc.
• Diverse environmental situations and issues (ecosystem diversity)
• Environment is dynamic, but resilient
• Environment is unpredictable on an input—introduction of an alien species, a factory or any project into an ecosystem will have impacts on many parts of the ecosystem that cannot be precisely predicted
• Environmental components have multiple linkages and interdependence
• The values and preferences of local people are different.

6.5.2 Process of PEM

Nature conservation, development work and/or mitigation measures are taken up as projects starting with pre-feasibility study and data gathering. At this stage a set of objectives are evolved through PRA or participatory learning approaches (PLA). Understanding the reality of the situation by the primary stakeholders themselves is the first major step in the participatory process. A basket of techniques are thus used to get community involvement and empowerment while the why, how, what, when and who questions about an environmental reality are addressed.

A detailed project report (DPR) or a detailed feasibility report with time schedule, budget, plan of action with a list of activities are prepared through a bottom-up learning process. Roles and responsibilities will be defined often with self-organization of primary stakeholders into a formal community organization. Critical success factors such as objectively verifiable indicators of achievement or progress are identified taking local diversity into consideration. Implementation of the project is a collective action giving increased self-reliance to local people ensuring sustainability for the actions. Monitoring and evaluation are also done in a participatory manner in open dialog for plan corrections and reallocation of budgets. Participatory environmental management process eventually ensures community ownership of projects.

6.5.3 Typology of participation

These actions and approaches are termed as participatory but the ultimate end result of the beneficiaries owning the plan and project may not be observable. This is due to the existence of different levels or degrees of participation. There are seven types of participation:

• Passive participation: It is in the form of unilateral announcements, without much consideration to people’s responses. The local people are informed before an activity is undertaken.
• Participation in information sharing: Local people participate by answering questions put forward by data collectors or professionals. There is no free expression of views as the researchers collect only what they want to collect and that may not be the same as to what the local people want to convey.
• Participation by consultation: External agents listen to the views expressed by local people allowing free expression, but decision making rests with outsiders.
• Participation for material incentives: Local people involve in a project as long as incentives or subsidies are there.
• Functional participation: Local people are formed into groups or community organizations after major decisions about a project are made by external institutions. There is dependency on external institutions and agents.
• Interactive participation: There is equality in status between the external development or sustainability experts and the local people; hence action plans are jointly drawn up. There is sharing of decision making through joint analysis. People will have a stake in maintaining the activities.
• Self-mobilization: Local people take initiative independent of external institutions. Local communities may get support from outsiders, but as per the terms decided by the local community. Here an environmental project is conceived and driven by local community.

The external facilitators’ skills, knowledge and objectives are important factors in the outcome of the participatory process, along with the level or degree of participation of the primary stakeholders. True participation such as interactive participation or self-mobilization takes considerable time and many firms resort to the first four levels of participation for quicker action in the field.

6.6 AIR AND WATER QUALITY STANDARDS AND GUIDELINES

A specification or range of values issued by agencies having competence or authority that regulates the effect of a type of human activity upon the environment or values of an environmental component to be maintained in spite of any human activity in the surrounding is an environmental standard. Environmental standards specify a desired state of an environmental aspect or a component (e.g., lake pH should be between 6.00 and 7.00) or limit alterations (e.g., no more than 50% of the natural forest may be damaged). Environmental standards are notified with the objective of maintaining public health, conserving biodiversity and preserving quality of common goods, in the form of a set of quality conditions or values that are to be adhered to for a particular environmental component and function. Different environmental activities have different concerns and impacts and, therefore, have different standards. Air and water quality standards as a set of values are specified to maintain public health.

An environmental guideline is any document that aims to streamline particular processes according to a set routine. Following a guideline is never mandatory. Guidelines may be issued and used by any organization (government or private) to make the actions of its employees, citizens, corporate entities or divisions more predictable and presumably of higher quality. Guidelines describe the best practices, clarify principles, resolve conflict and further the goals of environmental protection. Some examples are environmental guidelines for major construction sites, environmental guidelines for thermal power plants, environmental guidelines for carbon dioxide capture and geological storage, environmental guidelines for Nano plant of Tata, environmental guidelines for Indian Tourism, etc.

6.6.1 Air quality standards

There are air quality standards for industrial areas, residential areas and sensitive areas. Air quality is affected by automobile exhausts, industrial activities, dusts, burning of biomass and natural causes such as volcanic eruptions, sulfur springs, forest fires, dust storms, etc. Air quality standards for industrial areas in India, issued by the Pollution Control Board prior to 2009 were suspended particulate matter: less than 200 mg/m³, metal dusts: 30 mg/m³, SO₂: 200 ppm, CO: 50 ppm, hydrocarbons: 30 ppm, NH₃: 50 ppm and respirable particulate matter: 50 μg/m³.

Automobile emission standards in India are as follows: smoke density—75 Hartridge smoke units by full load method (5.2 Bosch), carbon monoxide—less than 3% by volume of exhaust. The air quality standards published in 2009 are given in Table 6.2.

6.6.2 Water quality standards

Water quality is an important predictor of public health and quality of life in a region. There are different quality standards for different uses of water—drinking, washing, gardening and industrial activity. Drinking water quality standards in India are given in Table 6.3.

 

 

6.7 ADAPTIVE MANAGEMENT

It is a systematic process of deliberately learning from management actions with the intent of improving subsequent management policy or practice. It is similar to the concept of emergent strategy propounded by Henry Mintzberg. The characteristics of the practice are:

• Each management decision is tentative and actions in pursuance of the decision are experimental: learning is the main objective of the management, thereby reducing key uncertainties.
• The policy is dynamically stable: it is likely to undergo change in the next cycle of implementation based on the learning from previous actions.
• Experimental management: management activities are viewed as experiments to identify and assess the most effective methods in achieving the goals with the premise that there can be many methods and ways to reach a goal considering different contexts, resource endowments and time availability.

6.7.1 Adaptive management process

It is a six-step process as shown in Fig. 6.8 of deliberate experimentation. The first step in the process is assessing the problem leading to design of a project with a detailed project report (DPR) as the second step to solve the problem. The DPR developed in the second step is then implemented as the third step. The fourth step is monitoring, followed by evaluation as the fifth step. Finally, adjustment to the design is done and the process continues in the next cycle. The preceding five stages provide enough data, information and insight to revise the objectives, hypothesis and design of the project in the adjustment phase. New management methods or solutions or new questions to answer may come to notice, leading to another cycle of assessment, design, implementation, monitoring and evaluation.

6.7.2 Integration of science and management

Uncertainties imply risks that call for cautious decision making. Risky choices are opportunities to learn. Adaptive management is an exploratory research where environmental science is integrated with the environmental management. For example, the cutting cycle of teak trees in a forest is calculated based on mathematical modeling as to when the best economic yield of timber is achieved. Such a model can predict the growth and girth based on soil, water and other climatic factors. However, this prediction is beset with many uncertainties as teak is part of an ecosystem. In this context of uncertainties, a strategic range of alternative hypotheses are identified based on the historical experiences. Adaptive management not only addresses uncertainties of the present situation, but also collects data while addressing the situations so that future managers will benefit from the learning. Whether conservation of the timber or harvest of the timber is ecologically and economically better at a point of time in a location is a decision to be taken by the managers, considering the science of conservation and goals of management. Table 6.4 lists the science part and management part of environmental management that demonstrates the need for integration, coordination and adaptation as essential requirements for environmental management.

 

6.8 COORDINATION AND COOPERATION IN ENVIRONMENTAL MANAGEMENT

Cooperation refers to the collective efforts of people who associate voluntarily to achieve specified objectives. Cooperation provides the foundation for coordination.

Coordination is a systematic effort to bring together the activities of various persons in order to provide unity of action. Coordination brings harmony to the efforts of many persons by getting concurrence to the purpose by all persons involved in the action. It requires more than just the willingness to cooperate. Coordination cannot be produced voluntarily by a number of cooperating persons. Coordination is brought about by a manager who harmonizes the efforts of all cooperating persons by specifying the quantity of effort made by each person, quality of effort, timing, defining the role of each person, etc. so that the purpose is achieved. The following illustration of restoration of a mining site clarifies the distinction between cooperation and coordination as well as their significance in environmental management.

A depleted mining site has multiple environmental problems. Mining activities create a lot of dust pollution in addition to denuding the vegetative cover of the land. The activities of mining such as blasting, digging, transportation, etc. might also destroy many species. A restoration of such a depleted/degraded mining site requires the cooperation of many persons and agencies such as the mining companies, forest department, water supply department, pollution control board, revenue department, soil conservation/agriculture department, etc. This cooperation means willingness to help restore the mining site. Willingness alone is not sufficient for the successful restoration of the site. One of the agencies should act as a nodal agency for the purpose of coordination. Coordination function can also be performed by a separate manager or coordinator. The coordinator should convert the willingness of the cooperating parties into efforts and specific activities need to be carried out in parallel or in sequence by each party/agency. For example, the mining company should make efforts to have minimum disturbance and fund the maintenance of the trees planted. The forest department or the agriculture department should organize the saplings to be planted. There should be a contractor to take pits, plant and put the protective cover. The irrigation department shall provide water for life-saving irrigation to the young plants. Unless various agencies’ efforts are coordinated by a manager or a nodal agency, the implementation may not happen on time as per the intention.

Significant learning for management

 

“Life is not about waiting for the storms to pass…. It is about learning how to dance in rain

—unknown”

Majority of the business firms consider their economic environment alone as relevant and important. Some firms consider the firm’s social environment also important mostly for visibility and public relations. Only in the last decade a few firms have recognized their corporate environmental responsibility. The CER is best fulfilled by installing a systematic EMS within the firm as the first step, thereby the firm’s environmental footprints are reduced and handprints are enhanced. Companies employed ISO 9000 series in their quest for quality in the past and the same ISO in its 14000 series proposes a formal procedure for establishing EMS in the organizations. Environmental management initiatives in business firms are designed in the strategy formulation stage with formulating an environmental policy and extends to having green buildings (LEED certified or local green building certification schemes), conducting EIA for all the projects, doing environmental auditing, etc. Companies need to integrate the EMS along with the principles of IEM and PEM for sustainable competitive advantages. Since environmental management is a combination of science and management, the concept adaptive management is relevant for business organizations. A coordinator for unity of action by all cooperating divisions or agencies is required for effective implementation of the environmental policy of the firm and to make changes in the policy as per inputs from the EIA, EA and other reports.

Questions for discussion

1. What is the purpose of conducting environment impact assessment by business firms?
2. What are the benefits of getting a LEED certification for the head office building of a company?
3. Compare and contrast IEM and PEM.
4. Write three examples of environmental aspects where adaptive management is essential and what happens if the steps of adaptive management are not practiced.
5. What are the different types of mitigation measures which a vehicle manufacturing plant should adopt to minimize environmental impact?
6. Identify five ecological handprints a retail mall can adopt to reduce its ecological footprints?
7. Suggest the stages of implementing an EMS in a chili powder manufacturing company located in Andhra Pradesh, India.

Exercises for better understanding

1. Through web search, identify and write the environmental policies of two IT firms, two manufacturing firms, two food processing plants and two educational institutions.
2. Conduct an EA of an educational institution, after preparing an audit protocol. Present the draft audit report to the head of the institution or its management committee.
3. Identify the steps in formulating an environmental policy for a major multispecialty hospital in your town and develop an implementation plan of this policy by adopting the principles of good environmental management.