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DOI: 10.1590/1413-812320172210.

18272017 3205

ARTICLE
Health Impact Assessment (HIA):
analyses and challenges to Brazilian Health Surveillance

Missifany Silveira 1
André Luiz Dutra Fenner 1

Abstract This study aims to discuss the Health


Impact Assessment (HIA), pointing out the main
initiatives of the health sector, challenges and per-
spectives for its implementation in Brazil. HIA is
a methodology recommended by the WHO and
is widely used in several countries, but with few
initiatives in Brazil. Health issues in the context
of large projects are commonly conducted on a
timely basis within the environmental licensing
processes, unlike HIA, which proposes an inte-
grated approach, with the involvement of social
stakeholders in the territory since the beginning
of the project. This is an analytical and explor-
atory research and, thus, a systematic review on
the subject was carried out, as well as a survey of
government documents on the main initiatives al-
ready conducted by the Ministry of Health within
Environmental Health Surveillance in the en-
vironmental licensing processes of large projects.
We sought to analyze the main conceptual frame-
works, pointing out possibilities for their imple-
mentation in Brazil, as well as new perspectives
for Health Surveillance in this area, allowing the
health variable to be evaluated during several in-
1
Programa de Promoção terventions of a policy, program or project.
da Saúde, Ambiente e Key words Health impact assessment, Environ-
Trabalho, Diretoria Regional
de Brasília da Fundação mental licensing, Large projects, Social determi-
Oswaldo Cruz. Av. L3 Norte nants
S/N, Campus Universitário
Darcy Ribeiro. 70910-900
Brasília DF Brasil.
fanysil@gmail.com
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Silveira M, Fenner ALD

Introduction flect the health impacts of a given population


during the implementation of projects7,8. At the
Since the 1970s, there has been a lack of same time, identifying the socio-environmental
health-related aspects during environmental as- and health impacts of large enterprises is com-
sessments of major development projects in the plex and is a major challenge.
global context. In this context, following inten- Thus, this analytical and exploratory study
sive campaigns by the World Health Organiza- aims to discuss the Health Impact Assessment
tion (WHO) through programs such as “Health (HIA), pointing out possibilities for its applica-
for All in the 21st Century” and, most recently, tion in Brazil, and in the future allow the health
the “Healthy Cities Network” strategy, the Health variable to be evaluated during the several inter-
Impact Assessment (HIA) has gained greater vis- ventions of a policy, program or project. There-
ibility as an intersectoral action tool to promote fore, we sought to analyze the main conceptual
health and reduce inequalities, and is apprehend- frameworks, as well as the initiatives of the Bra-
ed by several countries1. zilian health sector, the challenges faced and new
Proposed by the WHO, HIA is an effective perspectives for action in the field of health sur-
methodology to identify the positive and nega- veillance in this area.
tive impacts of an intervention in the territory,
whether policy, plan, program or project2,3. Not Health Impact Assessment (HIA)
overlapping with other evaluations, HIA facili- in the international context and its interface
tates the assessment of the health variable during with other assessment methodologies
the different interventions, providing a new eval-
uation perspective that was not previously taken For the first time, WHO defined HIA as a
into account by decision-makers. “combination of procedures, methods and tools
While adopted almost two decades ago – to assess a proposed policy, plan or program re-
since the Gothenburg Consensus in 1999 – HIA garding its potential health impacts and the oc-
continues to cause a stir among different public currence of these impacts on the population”2.
and private sectors, as well as academics and civ- This definition was a milestone for HIA, when it
il society organizations. A research conducted was launched by WHO in 1999 in the Gothen-
by Balby4 pointed out a significant number of burg Consensus document, during the seminar
publications – scientific papers, manuals, guides, “Health impact assessment: from theory to prac-
books – and international conferences on the tice” prepared by the European Centre for Health
issue. It is also worth mentioning that, in 2011, Policy (ECHP) in Gothenburg, Sweden2.
the Society of Practitioners of Health Impact As- The International Association for Impact
sessment (SOPHIA) was established to gather the Assessment (IAIA)9 says that HIA guiding prin-
professionals involved in the practice of HIA4. ciples are based on the Gothenburg Consensus,
Researchers and scholars, also known as HIA which values democracy, equity, sustainable de-
“practitioners”, maintain that, due to its predic- velopment, ethical use of evidence and a global
tive, multidisciplinary, intersectoral and partici- approach to health. It is also relevant to reinforce
patory nature, with a focus on social inequalities, the need for HIA to assess the effects on the social
this methodology aids decision-making, and aims determinants of health9.
to maximize health gains through an interven- Based on commitments made by the Euro-
tion3,5,6. It is therefore assumed that the HIA is ca- pean Union (EU), the HIA methodology was
pable of optimizing the conditions and quality of applied in the development of public policies of
life of a given population that will undergo some EU countries, originally called European Poli-
type of intervention in its territory, improving the cy Health Impact Assessment Methodology or
health situation in local communities and thus EPHIA methodology. It aimed to inform and
ensuring the sustainability of a project5,6. influence the process of elaborating a policy, pro-
Thus, HIA encompasses the identification, gram or project, taking into account its implica-
prediction and evaluation of the expected chang- tions on health inequities3.
es in health risks – which may be either negative According to Abrahams et al3, this method
or positive, individual or collective – caused by adopts the basic reference of the “social health
a policy, plan, program or development project model”, which extrapolates the lack of disease
that affects a population2. and addresses the physical, mental, social and
In Brazil, the adopted Environmental Impact spiritual well-being of people. To this end, it
Assessment (EIA) model is not sufficient to re- recognizes that health and well-being are affect-
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ed by complex interactions between social and better health outcomes by reducing inequalities
economic factors, physical development and in- identified in this area. Such an approach, which
dividual behavior, as well as hereditary factors. includes health in the context of other social
The analysis of health inequities is one of the key policies – such as transportation, housing, edu-
principles of this methodology, in which the ex- cation, the environment, agriculture – is a signif-
istence of individuals and groups of people with icant influence on health determinants12.
better or worse conditions of health is pointed According to studies submitted by the York
out, emphasizing current inequalities. This factor Health Economics Consortium (YHEC)13, HIA
reflects the differentiated exposure to health risks can be integrated with other forms of impact
associated with factors such as socioeconomic, assessment to determine, based on evidence, the
ethnic and gender conditions, over the lifetime impact on health determinants likely to be affect-
of individuals3. ed by a policy, plan or program. Such integration
According to Winkler6, while it is one of HIA’s would be beneficial in providing information
advantages, the Social Determinants of Health and guidance to professionals who are unaware
(SDH) approach is a complex task because it of the health impacts caused by potentially pol-
involves individual, social, environmental, eco- luting enterprises13.
nomic and institutional factors6. As shown in the Noble and Bronson14 argue that the inclu-
figure below, when HIA is carried out, such as in- sion of health impacts in the Environmental Im-
creased disease burden in developing countries, pact Assessment (EIA) of projects has received
health determinants can have a decisive influence greater attention from health professionals and
on the effect of a policy, program or project eval- institutions, including WHO and Health Cana-
uation. da, in recognition of the need and benefits of an
Thus, the commitment to integrate the dif- approach to health in the Environmental Impact
ferent bodies and institutions responsible for Assessment (EIA)14.
policies, programs and projects is fundamental, A Canadian experience in mining projects
in order to select the main determinants, through has allowed us to conclude how the processes
the most relevant and accessible data and infor- that assess the impacts of the respective projects
mation for analyzing health inequalities and, have not given proper importance to the issue
consequently, reduced inequities6. of human health. The study identified learning
In this regard, the discussion paper for the opportunities to move towards a more inclusive
World Conference on Social Determinants of approach to health in EIA, as highlighted by No-
Health (WCSDH)10, held in Brazil in 2011, cor- ble and Bronson14. Authors say that integrating
roborates this argument because it considered health into environmental impact assessments
that most of the burden of disease occurs due requires a number of considerations, such as
to the conditions under which people are born, assessing the effects of projects on health, based
live, grow, work and age. Therefore, this set of on the recognition that human health, well-be-
conditions called “social determinants of health”, ing and the environment are inseparable. In this
in which the environmental, cultural, econom- aspect, social and health repercussions should be
ic, political and social determinants of health considered with the same scientific rigor that is
are summarized is of paramount importance to given to the biophysical factors during the evalu-
evaluate the conditions related to this aspect in a ation of environmental impacts14.
given population10. From this perspective, some authors dialogue
It is worth mentioning that, in 2013, Helsinki towards the integration of HIA and EIA, enabling
hosted the 8th World Conference on Health Pro- a new category of analysis, aimed at promoting
motion, which indicated, among its main objec- better living and health conditions to the popu-
tives, the implementation of the “Health in All lation in the area covered by a project5. However,
Policies”11. This intersectoral approach aims to Bhatia and Wernham5 affirm that this integration
integrate health in all policies across all sectors so relies on some requirements:
that health and health systems are systematical- • A project proponent who recognizes the EIA
ly incorporated into decision-making. Its main as a regulatory strategy available to public health;
characteristics build on human rights and social • A responsive agency that conducts EIA;
justice as a focus on the formulation, implemen- • Involvement of public health institutions;
tation and evaluation of policies11. • The complementary objectives between com-
In this context, HIA is also cited as one of the munity stakeholders and health professionals; and
components of this strategy, in order to achieve • Collaboration between institutions responsi-
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ble for EIA, affected public health institutions and inherent to these projects and were limited pri-
stakeholders, as well as guidelines, resources and marily to biophysical aspects. Research on this
training for the integrated HIA-EIA practice. topic points out that the poor insertion of health
In a lecture delivered at the National School aspects during the EIA stems from the lack of
of Public Health (ENSP), according to Professor coordination between the different sectors and
Mirko Winkler15, HIA proposes, in its design, the specific legislation or tools7,17.
systematization of information, incorporating Despite the lack of institutional, technical
scientific evidence, with an eye toward identi- and political mechanisms, several instances of
fied problems and the expected health impacts. the health sector concentrate efforts to intro-
Therefore, it is a technical and political tool that duce the proper aspects of this area in the envi-
supports decision-makers. It is worth mention- ronmental licensing processes of large projects7.
ing that one of the most important aspects of this From this perspective, environmental health has
methodology is its integrated approach, with the fulfilled its role of systematically monitoring pro-
participation of social stakeholders in the terri- cesses related to large projects, proposing tools
tory since the beginning of the project around and methodologies to evaluate health impacts
problems that may arise with the new develop- that may contribute to the establishment of ter-
ment 15. ritories with adequate environmental and social
sustainability18.
Health Impact Assessment (HIA) in Brazil: Aiming at defining the guidelines that
advances and challenges strengthen the participation of the health sector
in these processes, and at the same time propos-
The HIA model became the object of study ing to carry out studies to implement the HIA
in Brazil, based on the experiences reported by methodology in Brazil, the Ministry of Health,
other countries, through “HIA practitioners”3-6. through the Environmental Health and Worker
From this perspective, the search for new tools Health Department (DSAST) of the Secretariat
and methodologies that can assess health impacts of Health Surveillance (SVS) has been carrying
is evidenced as a prerogative of the health sector, out some initiatives, as highlighted in the table
reinforcing its role in social policies in order to below (Chart 1).
ensure more effective institutional arrangements In addition to contributing to environmental
and response capacity. health in the country, these initiatives collaborat-
In Brazil, few studies show the health vari- ed to bring professionals from both sectors closer
able in prior evaluations (ex ante) of the impacts in the environmental licensing of large projects,
related to a policy, plan or project. Participation integrating government agendas for the inclu-
in retrospective (ex post) studies, that is, in eval- sion of health in plans and projects, and at the
uations during or after the implementation of a same time setting HIA within the scope of the
project4 is more common. This corroborates the Brazilian health sector7.
analysis of large enterprises, in which the evalu- Based on international experiences and
ation of the health variable is used especially in the various actions, the discussion on the HIA
specific projects or programs – as is the case of methodology acquired a broader scope within
malaria-related disease – during environmental the SUS, with the elaboration of the document:
impact assessments7,8. “Health Impact Assessment - HIA: Methodology
In this regard, during environmental impact adapted for application in Brazil26”. This is the
assessments, under the jurisdiction of a sector most current reference nowadays, published by
with a strong institutional role, socio-environ- the Ministry of Health with the purpose of in-
mental and human health-related aspects are not ducing the development of specific activities for
always considered in the environmental licensing the adaptation and development of HIA in the
processes of projects8,16. This fact demonstrates country. This publication aimed to contribute to
the gap arising from the lack of articulation be- the improvement of the health and environmen-
tween sectoral public policies in the face of the tal policy and to act as a guide for the ongoing
socio-environmental impacts generated by large environmental policy, since it is configured as a
projects8. proposal document that “will address the health
Environmental studies as a requirement for sector’s performance in environmental licensing
the implementation of potentially polluting processes”26.
projects have in fact been inefficient in point- It is also worth noting that this document’s
ing out the impacts and the lack of health risks importance is recognized as the first report in the
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Chart 1. Initiatives of the health sector in the environmental licensing processes of large projects and actions for the strengthening
of HIA in Brazil.
Main initiatives Objectives
Strengthening the health sector in the
First. Workshop on the Evaluation of Projects through the Unified
environmental licensing processes of large
Health System (SUS)19 – Held by the Environmental Health
projects in the discussion of the Health Risk
Surveillance Coordination/SVS/MS, in 2005.
Assessment resulting from Undertakings.
Strengthening the health sector in the
First Meeting on environmental licensing of projects based on the
processes of environmental licensing
experiences of the federal, state and municipal spheres, within
of large projects for the construction
Environmental Health Surveillance – Held by the Environmental
of guidelines for Environmental Health
Health Surveillance Coordination/SVS/ MS, in 2007.
Surveillance.
Seminar on Environmental Health and Worker Health and their
Workshops
interfaces with the Growth Acceleration Program (PAC) 20 – Held
and Strengthening the health sector to address
by the Ministry of Health (MS) and the Brazilian Association
Seminars PAC works.
of Collective Health (ABRASCO) - Held by the Environmental
Health Surveillance Coordination/SVS/MS in 2007.
Workshop on Health Impact Assessment (HIA) – Held by the
Environmental Health Surveillance Coordination/SVS/MS in Launching bases for the operationalization
partnership with ABRASCO and WHO, University of Liverpool of HIA in the Brazilian health sector.
and Canada Collaborators in 2008.
First Brazilian Seminar on Health Impact Assessment (HIA) and
Strengthening HIA in the health sector for
performance of the health sector in Environmental Licensing – Held
integration in the project’s environmental
by the Environmental Health and Worker Health Department/
licensing
SVS/MS in 2013.
Strengthening and combining actions to
Term of Technical Cooperation between Ministries of Health and
benefit the health of the population and the
Environment – Signed in 2001.
integrity of the environment.
Interministerial Ordinance Nº 822, of April 30, 2008, which
establishes guidelines for cooperation between the Ministry of Health
Strengthening cooperation actions between
and the Ministry of Environment, aiming at the integration and
health and environmental sectors.
implementation of common actions and the consolidation of the
bilateral agenda21.
Normative Ordinance N° 2.241, of September 2009, which establishes the
instruments Environmental Health and Licensing Technical Group, with the Strengthening the health sector in the
purpose of structuring the participation of the health sector in the project’s environmental licensing processes
environmental licensing processes of projects22.
Interministerial Ordinance Nº 419 of October 26, 2011, which Establishing mechanisms to streamline
regulates the performance of bodies and entities of the federal public bodies involved in the project’s
administration involved in environmental licensing23. environmental licensing processes
Ordinance No. 1, January 2014, which establishes guidelines, Strengthening the National Malaria Control
procedures, flows and competence for the elaboration of the Malaria Program in the project’s environmental
Control Plan (PACM) for the environmental licensing of projects24. licensing processes
Participation of the Ministry of Health in the environmental
licensing processes of the BR-163 Highway Cuiabá-Santarém, of Strengthening the health sector in the
the Rio de Janeiro Hydroelectric Power Plants (Santo Antônio and project’s environmental licensing processes
Jirau), HPP Belo Monte and the São Francisco Transposition Project integrating governmental agendas.
Institutional
(PISF) – 2006 to 2012.
meetings
Representing the health sector in the Management Committee of the Subsidize decisions and monitor health
Sustainable Regional Development Plan of the Xingu (CGDEX), planning actions in the Xingu Region, where
established by Decree Nº 7.340, of October 2, 201025 – Participation the Belo Monte Hydroelectric Plant is
in the Technical Chamber of Health, between 2010 and 2015. located.
Elaboration of the document Health Impact Assessment (HIA):
Institutional Methodology adapted for implementation in Brazil26 – Performed Strengthen HIA in Brazil within the health
document by the Environmental Health and Worker Health Department/ sector.
SVS/MS in 2014.
Source: Adapted from Silveira7,19-26.
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country that advocates the relevance of health than projects, since they generally have well-de-
impacts, mainly due to the construction and im- fined specifications and standards. This state-
plementation of large projects7. Thus, the causal ment is evident in the EIA, through the Environ-
interrelationships between environmental im- mental Impact Study (EIS), which is mandatory
pacts and the possible effects on human health in the environmental licensing processes of spe-
are undergoing a reorientation to include health cific projects. In this regard, a broader discussion
in the Environmental Impact Assessment (EIA), is required, which will direct the methodological
aiming at strengthening actions that instigate approach towards integrating HIA into other
companies to mitigate and compensate for im- assessments, such as EIA and SEA, including as
pacts on the health of the population. a strategy for strengthening sectoral policies, es-
Since it is a tool that allows estimating the pecially in the implementation phase of a given
impacts caused by a health policy, plan or pro- project.
grams, and especially estimating social inequi- However, HIA should not be seen as a tool
ties, the HIA methodology in Brazil is currently to replace the EIA in the licensing processes, but
conceived from its integration with the EIA26. it could be configured as a complementary tool.
It should also be noted that current regula- However, the environmental sector, which is re-
tions for development projects anchored only sponsible for analyzing health issues in these pro-
in the EIA might be insufficient for more com- cesses, is not manned with technical staff capable
prehensive assessments such as HIA7,8. This pe- of doing the task, which hinders the analyses that
culiarity turns out to be a weakness because, in are sometimes challenged by the control bodies
most cases, strategic decisions have already been due to the lack of effective response of the proj-
made, with little scope for alternatives with lower ect’s conditionants7,8. Thus, until new methodol-
health risks4. Furthermore, it is considered that ogies are built and institutionally accepted within
it is difficult to proceed with the evaluation or the scope of public policies, the few opportuni-
monitoring of health recommendations in the ties for inclusion of the health-related elements
environmental impact assessments following the in the environmental licensing processes of large
conclusion of the licensing process. Hence, HIA projects should continue.
is a fragile methodological tool to “minimize
negative impacts and maximize positive impacts For most HIA “practitioners” in the inter-
in different social, economic and geographical national setting3, 5,6, the HIA is applied to public
contexts”, as explained in the document pub- policies as a planning tool, with the proposition
lished by the Ministry of Health26. of specific health actions with a view to improv-
The document Health Impact Assessment - ing the quality of life of the populations of the
HIA: Methodology adapted for application in Bra- affected areas by predicting possible risks. How-
zil26 could introduce in its conception, according ever, one of the principles of the HIA conceptual
to our understanding, in addition to the EIA, the model is the incorporation of social determi-
Strategic Environmental Assessment (SEA). The nants, which gives greater scope for its evalua-
latter is a tool that enables “analytical and partic- tion.
ipatory approaches that integrate environmental In this regard, we point out the relevance of
considerations into plans, policies and programs, specifying the social determinants of health in the
assessing interconnections with economic and document published by the Ministry of Health.
social considerations”27. Predictive impact as- Thus, the tool would become more robust con-
sessments are essential to support the policy sidering the complexity and interdependence of
formulation phase and, in the case of Strategic socioeconomic factors and conflicts arising from
Environmental Assessment (SEA), are shown as a their interaction with the environment and, es-
decision-supporting tool. They apply to policies, sentially, with the social determinants of health,
plans or programs in the design phase, rather as Winkler6 points out. According to this author,
than in the evaluation during the implementa- when the HIA is considered in the analysis of a
tion phase, as is the case with EIA28. policy, a program or a project, social determi-
According to the Organization for Economic nants are the key points for identifying the im-
Cooperation and Development (OECD)27, while pacts on vulnerable groups in a differentiated
being at the highest level of decision-making, way, evidencing inequalities and inequities in
policies tend to have more flexible propositions health6.
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Final considerations es. The exception is found in procedures related
to malaria endemic areas7,8,16.
While there are studies that point out ways to In Brazil, the Environmental Impact As-
apply HIA in Brazil, research institutions should sessment (EIA) is inadequate to cover the main
be interested in this methodology. In addition, health problems in the territory through the
it is important to sensitize health professionals implementation of large enterprises, in which
toward proposing and disseminating the impor- environmental licenses only have a purely regis-
tance of the tool since there is no availability of try-like role, proving fragile to cover more com-
HIA training in the country, and health institu- prehensive actions from the viewpoint of social
tions should propose a line of technical staff edu- and environmental sustainability7,8. Thus, despite
cation and training to work in this field15. recognizing the positive and negative impacts in
According to research carried out on HIA, certain areas, the health impacts are measurable
this methodology has advantages and limita- and cannot remain invisible in Brazilian legis-
tions4. Therefore, it must meet certain prerequi- lation, even in the face of reformulations to the
sites, such as: the main reasons for adopting HIA; environmental licensing process in the country29.
the context of the proposal; type of institutions Thus, the Health Impact Assessment (HIA)
responsible for costs and decision-making; avail- and its application in Brazil is a challenge. First,
ability of trained evaluators; methods and tools because it is a new object of study to be explored,
used in the evaluation; participation of stake- and there is no significant number of research
holders; human and financial resources, among on the subject. Second, there is a contradiction
other factors4. between the interests involved in the country’s
The same research points out that one of the development and the impacts resulting from this
weaknesses of HIA in projects submitted to en- process7,8,29. The project’s proponent, often the
vironmental licensing analysis in Brazil follows public authority, claims to have sufficient evalu-
a predefined scope by the entrepreneur and the ation tools – such as licensing, for example – and
environmental agency and is to be negotiated any proposed new evaluation tools can be re-
between the parties. In this case, this does not ceived as a “hindrance” to development.
meet one of HIA’s premises, that is, inclusion of Therefore, HIA should be considered as an
the affected parties in the process. The research important mechanism and of systematic use
also indicates ways to overcome this limitation, by decision-makers within the scope of public
towards greater involvement of health agencies in policies, in order to point out preventively ways
defining the scope of the Environmental Impact to efficiently mitigate and compensate for so-
Assessment (EIA), in order to allow integration cio-environmental and health impacts. However,
between health and environment from the onset there are difficulties in the introduction of new
of the process4. evaluation tools in the face of the impacts often
Despite the initiative of the Ministry of identified in large projects, as was observed in the
Health, through the field of environmental health case of hydroelectric plants7. The main hurdle is
surveillance – which has a timely participation that government sectors still address HIA as yet
in these processes – the proposed new analysis another “bureaucratic tool” obstructing infra-
methodology such as HIA appears shyly before structure projects in the country, rather than an
the importance of the connection of develop- essential measure of human health and environ-
ment projects with public health and environ- mental protection.
mental policies7,8,16. Therefore, the advancement Considering that health inequalities stem not
of this initiative in the scope of public policies in only from multiple economic, environmental
Brazil requires a methodological-scientific work and lifestyle factors, but also from the problems
with the support of research institutions and a related to access to healthcare, “it is essential that
political support so that the initiative of the Min- reduced inequalities be considered as a funda-
istry of Health is implemented systematically in mental priority at all levels of a political action,
Brazil. thus pursuing the ‘health in all policies’ strategy
While there is mention in the normative ref- and conducting effective impact assessments that
erence about the importance of the participation take into account the results in terms of equity
of the health sector in the planning of develop- in health”30.
ment projects, there is still no specific legislation Finally, this analysis aims to contribute to
that regulates the systematic participation of the mechanisms such as HIA that can subsidize the
health sector in environmental licensing process- area of health surveillance in Brazil, given that
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the established development policies stem from


diverse interests outside the region and, when
implemented, de-structure the logic of local or-
ganization, increasing environmental and social
conflicts in the area, reflecting on the health and
quality of life of the various communities.

Collaborations

M Silveira worked on the design, data collection,


analysis and writing, and ALD Fenner participat-
ed in the critical review and final writing.
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Article submitted 30/05/2017


Approved 26/06/2017
Final version submitted 19/07/2017

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