Chapter 3

The EIA Process

By Andinet K. (PhD)
Adama Science & Technology University
Nov. 2023
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 Overview of the EIA Process
 EIA process makes sure that environmental issues raised
when a project 1st discussed (effective mang’t).
 Recommendations made by EIA may
 necessitate redesign of some project components,
 require further studies,
 suggest changes which alter project’s economic feasibility
 cause a delay in project implementation.
 Most benefit - EIA done early in project cycle to
incorporate recommendations into design & cost-benefit
analysis no major delays/increased design costs.
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 Overview…
 EIA - carried out in a process comprising a series of steps.

 Main steps in EIA process:

 Screening
 Scoping
 Impact analysis: prediction & mitigation
 Review & Decision-making (reporting)
 Management & monitoring
 Audit

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 Overview…
 Screening: results in categorization of a project & then
decision whether or not a full EIA needed.
 Scoping: most critical issues to be studied determined &
involves community participation.
 Prediction & mitigation: done in // with feasibility studies.
 Review of EIS: to decide whether to proceed or not, or to
modify & resubmit the proposal.
 EIS contains detailed plan for managing & monitoring the
impacts both during & after implementation.
 Audit: done some time after implementation, serves as a
useful feedback & learning function.
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 Main stages in the EIA process
Actions Stages Outcomes
Review of projects to assess (Registration) Decision to proceed with
if EIA is necessary Screening environmental assessment

Identification of major Potential &/or impacts of

environmental impacts of project to be assessed &
project & its alternatives.
Scoping evaluated. TOR for study.

Assessment of impacts, & Impact prediction Magnitude & significance of

identification of mitigation impacts & mitigation or
measures, & alternatives. and evaluation enhancement measures

Preparation & consultation Environmental Impact Environmental Impact

Statement Statement
of draft & final EIS.

Public & legal review of EIS,

Review and decision
and decision on whether to Yes or no to project
proceed. making

Monitoring of key
Public reports (part of
environmental variables, & Environmental
environmental mng’t
auditing against monitoring & auditing system/plan)
standards/plan
1. Registration and Screening
The first step - registration
– 1st step in any project planning process;

– Proponent registers a project with planning authority;

– Part of obtaining official permission for project.

– The planning authority refers it to regulatory authorities;

 include the authority responsible for EIA regulation & review

– The EIA regulator then screens the project.

 Screening
 Process of determining the need for & level of EIA.
 Thus, purpose of screening in EIA is to determine:
o whether or not a proposal requires an EIA
o level of EIA required

 Undertaking screening helps to:

o ensure all projects with potentially significant impacts

are subject to EIA,
o focus resources on those projects most likely to have
significant impacts;
o avoid unnecessary expense of full EIA for a project
which doesn‟t need it.
 Outcomes of Screening
3 decisions possible:
 Full scale EA – sufficient ground for detail assessment
o Significant impact on human health & safety, on rare or
endangered species, protected areas, fragile or valued
ecosystems, air & water quality, or lifestyle & livelihood of
local communities.
 Preliminary Assessment - this is for:
o Projects with limited impacts,
o Projects in which the need of EA is unclear, and
o Proposals with inadequate info

 No EA required
o Seldom - to reject the project, for completely inappropriate
projects, like building a multi-storey hotel in a national park.
 Screening and scoping compared
Screening
 Determines the requirement for EIA

 Establishes the level of review necessary

(full/limited/no EIA)

Scoping
 Identifies the key issues & impacts
 Establishes the ToR of EIA;

 Thus, screening establishes the basis for scoping.

 The two overlap when further study is undertaken for
screening, establishing the basis for scoping.
 Specific Screening methods
 Legal (or policy) definition
 Proposals to which EIA apply or not.
 Inclusion list of projects/Checklists criteria
 Pre-arranged lists of projects subjected to EIAs
 EIA is automatically required
 Criteria for case-by-case (Indicative) screening
 Requiring EIA - potentially significant environmental effects.
 proposals on the borderline in relation to a listed threshold -
environmental impacts may be unclear.
 Focuses on sensitive areas, like wetlands & polluted area.
 Exclusion list of Activities
 Do not require EIA - insignificant or are exempt by law
 e.g. National security or emergency activities
Framework for Screening
 Extended screening
 Screening is flexible process & can be extended into
preliminary forms of EIA study.
 These “extended screening” procedures include:

1. Initial environmental examination (IEE)- carried out in cases

where environmental impacts of a proposal uncertain/unknown
(e.g. new technologies or undeveloped areas).

2. Environmental overview- carried out as a rapid assessment of

environmental issues & impacts of a proposal.

3. Class screening- carried out for a family of small projects or

repetitive activities, where environmental effects & means of
mitigation known, but there is potential for cumulative impacts
(e.g. dredging, road realignment, bank stabilization, etc.).
 Project Lists for Screening

 Internationally & nationally, reference:

 Annex E of the World Bank Operational Directive on EA -
illustrative & provides framework for screening.
 Annex III of Ethiopian EIA Procedural Guideline Series 1.

 Ethiopian EPA - use of lists aids to flexibly (location &

scale) classify proposals into one of the 3 categories.
 Typical proposals requiring a full EIA

• With likely significant adverse environmental impacts.

• Lists of projects under Ethiopian government, include:

 River basin development
 Construction of water and wastewater treatment plants
 Water management projects for agriculture (drainage, irrigation)
 Surface & groundwater fed irrigation projects covering >100 ha
 River diversions and water transfers between catchments
 Hydro-electric power
 Abstraction/utilization of ground and surface water for bulk supply
 Construction of dams, impounding with surface area of >100 ha.
 Canalization of water sources
 World Bank sponsored projects
Projects Requiring Preliminary Environmental Impact Study

• Small - Scale Activities and Enterprises:

 Rain water harvesting
 Rural water supply and sanitation
 Land drainage (small scale)
 Sewerage system
 Fish culture
 Urban Livestock Keeping
 Urban agriculture
 Fish landing stations
 Wood carving and sculpture
 Projects that may not require EIA

 Social infrastructure and services

• Educational facilities (small scale)
• Medical centre (small scale)
• Family planning

 Economic infrastructure and services

• Telecommunication

 Production Sector
 Irrigation
• Surface water fed irrigation of <50 ha
• Ground water fed irrigation of <50 ha

 Agriculture
• All small scale agricultural activities
 Extended Screening - Location & environmental
criteria
 The following are important in determining significant effects:
 assimilative capacity of the natural environment

 environmental sensitivity, e.g. wetlands, coastal and

mountain zones

 environmental quality standards and objectives

 adjacent to protected or designated areas

 within landscapes of special heritage value

 existing land use(s) and commitments

 abundance and quality of natural resources

 2. Scoping
 Begins once screening completed.

 Open, interactive process – involves proponent, public,

competent authority & other responsible gov’t agencies.
 Lays foundation for effective EIA process, by identifying

- Significant effects & factors to be considered

- Boundaries of the EIA studies
- Important issues of concerns

 Establishes ToR (scoping report) for preparation of EIA.

 Ensures EIA studies focused on significant effects, and

time & money not wasted on unnecessary investigations.
 Roles and Objectives of Scoping in EIA
 Issues that matter & results in ToR for EIA give clear
direction to the proponent.

 The key objective:

 Identify main issues & impacts to be addressed;
 Inform the public about the proposal;
 Define scope of EIA studies (time/space/subject matter);
 Define feasible & practical alternatives;
 Describe sources, techniques & use of baseline in EIA
study;
 Establish ToR for an EIA study.
 Steps in the Scoping Process
1. Prepare an outline scope
2. Develop the outline through informal consultation
3. Make the outline available to public
4. Compile the range of concerns (long list)
5. Evaluate these to establish key issues (short list)
6. Organise these into impact categories (study list)
7. Amend the outline to incorporate the above info.
8. Develop Terms of Reference (ToR)
9. Monitor progress against ToR, revising as necessary
 Methods used in scoping
 Which impacts should be considered?
– Impacts during construction, operation &
decommissioning.
– On-site and off-site impacts.
– All types - social, biological & physical.
 Scoping is often undertaken using:
– Checklists
– Cause and effect diagrams and networks
– Impact Models
– Past experience
(Will be discussed under chapter 4)
 Definition of boundaries for EIA study
 Spatial boundaries:
 Indicate if impacts are likely to occur at local, regional,
national or international level.

 Temporal boundaries:
 Refer to project lifespan & reversibility of impacts.
 Impacts can be short-lived or long-term.

 Institutional boundaries:
 Determined from political boundaries, acts and
regulations, and ministerial or departmental mandates.
 Example of spatial boundaries

This example is based on the case of the Pangani Falls

Hydropower Scheme (in Tanzania).
 Example of temporal boundaries

 The temporal boundaries for a mining project would be:

– construction.
– mining operations.
– decommissioning & site restoration.
 Project Alternatives
 Comparison of alternatives helps to
 determine best method to achieve project objectives while
minimizing environmental impacts or,
 more creatively, indicate most environmentally friendly or
best practicable option.
 EIA should consider all project alternatives
 Including the no project alternatives - used as a baseline.
 Assessment of alternatives should occur early in EIA.

 Relative impact of each alternative compared against the

baseline environ (with vs. without the project) to select
preferred alternative.
 Categories of Project Alternative:
 Demand alternatives

 using
energy more efficiently rather than building more
generating capacity or

 usingwater more efficiently rather than building more

water resource. e.g. by reducing loss

 Supply or input alternatives

 e.g. where a mix of energy sources permits

 Activity alternatives

 e.g.
providing public transport rather than increasing
road capacity;
 …Alternatives

 Location alternatives, for entire proposal or for components

 e.g. location of a dam &/or irrigation channels

 Process alternatives
 e.g.use of waste-minimizing or energy-efficient
technology;

 Scheduling alternatives
 e.g.for airport & transport operations, reservoir
drawdown
 Examples of alternatives
Project proposed Alternatives Category
1. Hydropower station in
A. Input/location
highlands
Coal fired power 2. Located away from city
station near a major Location
near river
city. 3. Energy efficiency
Demand
programme
1. Investment in public
B. Activity
transport
Upgrading of a road 2. Construction of relief
to a dual carriage Location
road
way. 3. Phased construction of
Scheduling
road
C. 1. Rehabilitation of existing
5000 ha irrigation small-scale irrigation Activity/location
scheme to increase schemes
food production. 2. Improved rain-fed
agricultural systems Process/location
 Content of Scoping Report (EPA, Ethiopia)
 Scoping process is concluded by preparing ToR for EIA.

 Alternatively, or as supplement to ToR, formal scoping

report may be issued (EPA, Ethiopia).
 Outline of ToR (EPA, Ethiopia)

o Background to the proposal & setting the problem context,

o Consideration of alternatives,

o Institutional and public involvement,

o Required info. regarding project and location, etc.,

o Analysis of impacts, Mitigation and monitoring, and

o Conclusions and recommendations,

 Baseline Studies
 Objectives:

– To introduce concept of baseline info & surveys

required for impact prediction and evaluation.
 Definition:

– Baseline information data: starting point or level of a

particular social, biophysical & economic variable
against which subsequent changes can be detected
and/or predicted through monitoring.
 Defn…..
 Baseline survey:

– Collection of background info on the Biophysical and socio-

economic setting for a proposed development project.

– provides a reference point to analyze and predict impact

related changes.

– Collection of baseline info begins during screening and

continues in scoping.
 Baseline Monitoring
 Measurement of environmental parameters during
representative pre-project period.

 to determine nature and ranges of natural variation and

where possible to establish process of change.

 Impact predictions are made against a “baseline” established

by the existing environment (or by its future state).

 In many cases, it is likely that the current baseline conditions

will still exist when a project is implemented.

 Predictions may need to be made about future state of the

environ (baseline condition for the no-development option),
which is baseline monitoring.
 Application of baseline monitoring

 Is important when:
– Potential interactions b/n project & environment not well
understood;
– Project implementation methods have not been clearly
defined, or are experimental, or are subject to change;
– Potential impacts on the natural or social environment are
controversial;
– Project scheduling is subject to change so that impacts
could be more serious than originally predicted.
 Information required to establish baseline
conditions

 current environmental conditions

 current and expected trends
 effects of proposals already being implemented
 effects of other proposals yet to be implemented
3. Impact Analysis
 The technical heart of EIA process.

 It involves three overlapping stages:

• Identifying (A continuation from scoping)

• Predicting, and
• Evaluating impact

 Done in accordance with ToR specifically established

in scoping.
 Identification
 Identifying impacts associated with each phase of the
project & activities undertaken.

 Prediction
 Forecasting nature, magnitude & extent & duration of
main impacts.

 Evaluation
 Determining the significance of the residual impact
 i.e., after taking into account how mitigation will
reduce significant impacts.
 1. Impact Identification
 There are many, logical & systematic, impact identification
methods/tools

 In practice, relatively simple methodologies & tools

are used (compared to more complex & data-demanding
methods).

 Most common formal methods:

 overlays and GIS
 checklists

 matrices  expert systems

 networks  professional judgement

 2. Impact prediction
 After impacts identified, their potential size &
characteristics predicted.
 Estimating extent of impacts helps proposing realistic &
affordable mitigating measures.
 Undertaken against an environmental baseline,
 Often delineated by selected indices & indicators
(e.g. air/water, noise, ecological sensitivity & biodiversity).
 Additional baseline data, if not complete, will be collected.
 Impact prediction is a technical exercise:
 Uses biophysical, socio-economic & cultural data to estimate
likely impacts (e.g. magnitude, spatial occurrence, etc.).
 Prediction…
 A range of methods & techniques may be employed, to
advanced methods involving mathematical models.

 Impacts - predicted quantitatively.

 If not, methods that allow impacts to be estimated &
compared systematically used.
– e.g. Rating techniques (scenic quality, sense of place or
other landscape characteristics)

 Made against a „baseline‟ established by the existing

environment (or by its future state).
 Important outcome of prediction - recommendations for
mitigating measures (contained in EIS).
 Impact Prediction Activities

 Determining the initial reference or baseline state;

 Forecasting the future state with & without the project;

 Comparing with environmental standards & guidelines,

where appropriate.

 Reference made to confidence limits in impact data,

 In probabilistic terms for quantitative judgments (e.g. 95 %)

or

 In relative terms for qualitative judgments (reasonably high,

best estimate, etc.).
 An Environmental impact

Environmental Parameter
 Uncertainty in impact prediction

 EIA involves prediction & thus uncertainty is

integral part.
 Uncertainty is:
 The state of relative knowledge or ignorance.
 Exists in all stage of the EIA process; but esp.
important for impact prediction.
 Certain impacts unknown until they occur;
o Example, O3 depletion caused by release of CFCs.
 Sources of Uncertainty Include:
 Scientific uncertainty
– limited understanding of the ecosystem or community
affected
 Data uncertainty
– restriction introduced by incomplete information or
insufficient measurement techniques
 Policy uncertainty
– unclear or disputed objectives or standards for managing
potential hazards and effects
 Approaches used to address uncertainty are:

 ‘Best’ & ‘worst’ case prediction to illustrate the

spread of uncertainty;

 attaching confidence limits to impact predictions;

and

 sensitivity analysis to determine the effect of small

changes in impact magnitude.
Impact Significance
4. Environmental Management Plan
 Environmental Action Plan or Environmental Mng‟t Plan –
covers monitoring & management.

 All management proposals need to be clearly defined and

cost incurred.

 Straightforward & effective plan - to set-up monitoring

programme with clear definition as to which agencies are
responsible for

 data collection,

 interpretation &

 implementation of mng‟t measures.

 Purpose of monitoring
 To compare predicted & actual impacts, particularly if
 impacts are either very important or
 scale of the impact cannot be accurately predicted.

 Results of monitoring - to highlight problems early for

action.

 Typical areas of concern in monitoring:

 water quality, both inflow & outflow;
 stress in sensitive ecosystems;
 related health hazards;
 equity of water distributions;
 groundwater levels.
5. EIA Report and Review

Different names for the same document

 Environmental Impact Assessment report (EIA report),
commonly used in Ethiopia

 Environmental Impact Statement (EIS)

 Environmental Statement (ES)

 Environmental Assessment Report (EA report)

 Environmental Effects Statement (EES)

 EIA Report

 Findings of EIA need to be communicated & accessible.

 Usually in the form of written EIA report - The

Environmental Impact Statement (EIS).

 The EIS should:

 Identify, predict & interpret likely impacts of options;

 Provide info to improve decision-making;

 Include plan for impact mitigation & management;

 Include plan for environmental monitoring & auditing.

The EIA report assists:
 Proponent to plan & design in a responsible way;

 Responsible authority to decide

 Public to understand the proposal & impacts

A Successful EIA report:

 actionable – by the proponent

 decision-relevant – to the responsible authority

 user-friendly – for the public

 Responsibilities for EIA report preparation

 Usually consultants work with proponent - responsible

for preparing & writing EIS.

– In Ethiopia, this is usually practiced.

 Usually a multi-disciplinary team, two options:

– Each member writes relevant sections, and team leader

compiles with executive summary into a report;

– Each team prepares a report/section, the team leader then

uses to write the EIS.
 Considerations for EIA reporting
– List names of developer, consultants, planning authorities,
& other stakeholders;
– Focus on issues most relevant to decision-making;
– Minimize use of technical terminology & include a non-
technical summary;
– Ensure the statement is clearly structured, well-written and
clearly presented;
– Ensure the statement is balanced, honest, unbiased, and
clearly state any assumptions made;
– Be specific & quantify impacts where possible, & explain
why some impacts not addressed;
– Clearly state public & stakeholder involvement in EIA
Main elements of an EA report

 Executive summary

 Need for & aims of the proposal

 Description of the proposal & alternatives

 Description of affected environment & community

 Public consultation and views

 Main impacts and their mitigation

 Evaluation of significant residual impacts

 Environmental management plan

 Detailed content of EIA report
• Executive Summary.
• Introduction.
• Terms of Reference.
• Approach to the study.
• Assumptions and/or Gap of knowledge.
• Administrative, Legal and Policy requirements.
• Assessment.
– Baseline Information on the project proposal
– Baseline Information – Biophysical Environment
– Synthesis & Analysis of information to the environmental impacts of a project
• Mitigation measures.
• Conclusions and Recommendations.
• Appendices.
• List of Members of the study team.
• References and personal communications
 EIA report - executive summary

 the proposal and its setting

 terms of reference of the EIA

 results of public consultation

 alternatives considered

 major impacts and their significance

 mitigation and management measures

 any other critical matters.

 Executive summary - target to audience, short, clear and

consistent & having summary of key findings.
EIA Report - description of proposal

 Includes:

 main elements, phases and alternatives

 requirements for materials, water, energy, equipment

 operational processes and products

 summary of technical, economic & environmental

features

 comparison of options (e.g. size, location, etc.)

EIA Report - description of affected environment

 Includes:

 spatial & temporal boundaries

 baseline conditions – biophysical, land use, socio-

economic

 key trends & anticipated conditions

 relationship to other policies, plans and proposals.

 EIA Report - results of public consultation

 Includes:

 identification of interested and affected stakeholders

 method(s) used to inform and involve them

 analysis of views and concerns expressed

 how these were taken into account

 issues remaining to be resolved

EIA Report - evaluating impacts for each alternative

 prediction of each major impact

 proposed mitigation measures

 significance of the residual impact

 limitations, uncertainty and gaps in knowledge

EIA Report - comparative evaluation of alternatives

 adverse and beneficial impacts

 effectiveness of mitigation measure

 distribution of benefits and costs

 opportunities for enhancement

 reasons for preferred alternative

EIA Report- Environmental Management Plan

 Contains:

 proposed mitigation measures

 schedule for implementation

 surveillance and monitoring programmes

 impact management strategy

 reporting, audit and review procedure

 any institution and capacity building requirements

Some common shortcomings of EIA reports

 objective of proposal described too narrowly

 description does not cover complete activity
 alternatives do not account for the environment
 key problems not described
 sensitive elements in environment overlooked
 relevant standards and legislation not described
 best alternative not described (or insufficiently described)
 serious impacts not mentioned (or not correctly described)
 out-dated or ineffective prediction models used
 impacts not compared with standards or targets
 appropriate mitigation measures not considered
 incorrect conclusions drawn
EIS presentation

 Conventionally, submission is in a written report.

 Often appropriate to supplement the EIS with:

– Local language videos, local radio programs, meetings and

workshops - these are of importance for Ethiopia.

 Final presentation of EIS can have major influence on

how it is received. Issues to consider:
– Type of paper to be used.
– Binding (relatively strong, spiral binder most suitable).
– Use of clear maps, photos, graphs, diagrams etc.
greatly help the presentation.
 Quality of EIS/EIA report

• Complete: informed decision can be made

• Suitable: right type of information included

• Understandable: easily apprehended by decision maker

• Reliable: meets established professional & disciplinary

standards

• Defensible: risks & impact qualified as to proposal

uncertainties

• Actionable: provides clear basis for choice & condition setting

Mid exam: from chapters 1-3

Next class: Impact Assessment Techniques