HARAMAYA UNIVERSITY

College of Agriculture and Environmental Sciences

School Natural Resources management and Environmental Sciences

Course title: Environmental and Social Impact Assessment

Course Code: NaRM 422 Course Credit; Cr. Hr./ECTS: 3(2+1) /5

Class Year: IV Semester: II Instructor Name: Tolesa N.

Compiled by Tolesa N. (MSc in Environmental Sciences and Management)

March 2023

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1. INTRODUCTION TO ESIA

1.1. Concepts and Definitions in Environmental and Social Impact Assessment

Any Human developmental Activity has its own implication on the environment. To protect the
environment, it is imperative to conduct environmental and social impact assessment (“ESIA”) of
projects in order to identify their potential harms. Appropriate measures should be taken so as to
avoid or lessen harms to the environment. ESIA helps to enforce environmental standards and
certification processes, which can potentially encourage investors to turn to more environmentally
friendly production methods and practices. Monitoring the implementation of licensed projects is
also essential to ensure that projects are implemented in accordance with the standards and
conditions, and to make sure there are no circumstances that may have been unforeseen at the time
of impact assessment.

The two main categories of the environment components are biotic and abiotic environments. The
biotic and abiotic components constantly affect each other and cannot be isolated from each other.

Utilizing environmental resources releases energy and waste products, which have detrimental
impacts. Environmental impacts associated with socio-economic development harm or improve
the environment in one way or another. environmental impacts is associated with economic, social,
political and cultural practices has to be studies systematically as the carrying and defending
capacity of the environment is limited.

With inadequate environmental planning, human activities have resulted in the disruption of social
and communal harmony, the loss of human livelihood and life, the introduction of new diseases,
and the destruction of renewable resources.

Economic development in developing countries has been focused on immediate economic gains
environmental protection has not been a priority because the economic losses from environmental
degradation often occur long after the economic benefits of development have been realized.

What is Environmental and Social impact assessment?

"Environment" means "everything surroundings us", and includes the sum total of physical,
biological and socio-economic.

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“Social” living together as a group in a situation in which their dealings with one another affect
their common welfare.

"Impact" means an effect, as in changes to the environment resulting from some action.
"Assessment" It is the process of defining, selecting, designing, collecting, analyzing,
interpreting, and using information to increase students' learning and development.

Environmental and Social Impact Assessment (ESIA) is the process of identify, predict and
evaluate the environmental and social consequences that a project/intervention might cause.

Environmental and Social Impact Assessment (ESIA) has two aims:

1) To minimize or avoid adverse environmental and social effects before they occur.

2) To integrate environmental and social concerns into decision-making.

1.2. Objective and Purpose

The purpose of the assessment is to ensure that decision makers consider the ensuing
environmental impacts to decide whether or not to proceed with the project. Specifically, an EIA:

 Identifies the sources of impacts.

 Predicts the possible environmental impacts.
 Finds ways to reduce unacceptable impacts and enhance the positive contributions.
 Presents to decision makers and other concerned agencies the results of impact
identification, prediction, and assessment with options of suggested measures of mitigation
and monitoring.

1.3. Origins and Development

EIA as a formal process started in the US in the National Environmental Policy Act (NEPA) of
1969. On 1st January 1970, then US President Richard Nixon signed the Act into law. The NEPA
created the National Environmental Protection Agency as a Federal agency with the mandate to
coordinate all national environment management activities, and the Council on Environmental
Quality (CEQ) in the Office of the President to prepare annual reports on environmental conditions

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and trends, and to develop national policies to promote environmental quality. The National
Environmental Policy Act also required all Federal agencies to consider environmental protection
in their activities, and prescribed how this would be done in terms of procedures. Thus every
proposal by a Federal agency was required to give a detailed statement on the environmental
impact of the proposed action, any unavoidable adverse environmental effects, alternatives to the
proposed action, the relationship between local short term uses of man’s environment and the
maintenance and enhancement of long term productivity, and any irreversible and irretrievable
commitments of resources which would be involved in the proposed action should it be
implemented. The “detailed statement” came to be known as the “environmental impact
statement”, and was required, not just of Federal projects, but also private projects that required
Federal approval, in addition to Federal programmes, policies and rules. In 1979 the then US
president Jimmy Carter signed an executive order that extended the requirements of EIA to
include US funded projects abroad, and to take account of

(i) Potential impacts. (ii) Transboundary environmental effects on a non-participating foreign

nation. (iii) Actions prohibited regulated because designed to be of international importance.

Following the pioneering efforts of the US legislation, many countries have subsequently enacted
their own laws to require the assessment of environmental impacts before major projects are
undertaken.
1.4. Steps of ESIA Process

Steps of conducting assessment of the planned projects and developments to decide if their impacts
on the environment and well-being. Steps of ESIA are listed as follows:

1. Screening
Screening is the first stage of the ESIA process which results in a key ESIA decision, namely to
either conduct the assessment or not conduct it.
2. Scoping
Scoping is a critical step in the preparation of an ESIA, as it identifies the issues that are likely to
be most importance during the ESIA and eliminates those that are of little concern. Scoping is a
systematic exercise that establishes the boundaries of your ESIA and sets the basis of the analyses

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that conduct at each stage. A quality scoping study reduces the risk of including inappropriate
components or excluding components that should be addressed.
3. Impact Assessment
Impact assessment refers to the detailed evaluation of the environmental and social impacts of the
planned project and identified alternatives, compared to the baseline conditions.

4. Impact Management
Impact management is the creation of a series of plans and protocols aiming to manage and monitor
the identified mitigation measures and risks that may occur over the project lifetime, such as
technology failures and natural disasters.

5. ESIA Report Writing

The EIA Report is a compilation of several important project components including the project
description, the assessment of its environmental and social impacts, mitigation measures, and
related management and monitoring plans. During this step, all the information gathered during
the previous steps is compiled into a comprehensive report that analyzes and synthesizes the data,
structuring it as stipulated in the terms of reference (TOR).

6. ESIA Review
The review is carried out to confirm the quality of the information and methods used in the ESIA,
and to verify that the ESIA report addresses all the relevant mitigation measures as well as all the
critical and cumulative impacts.

7. Decision Making
Decision-making takes place throughout the ESIA process. Many decisions are made by the
proponent(e.g. choices between various alternatives). Others may be made jointly by the
proponent/s and the decision-makers and environmental authorities. However, the main decision
in the ESIA process, whether or not to allow the proposal to proceed is always taken in the public
domain.

8. Monitoring/follow up
Monitoring provides data on the environmental and social impacts of the project for the whole
project lifecycle. The information collected during monitoring activities helps to ensure that the
priorities listed in the Environmental Management Plan (EMP), mitigation measures, and

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contingency plans are properly implemented, and that these plans and measures are effective in
addressing the project’s impacts.

Monitoring is critical to ensuring the fulfillment of all the commitments made in the approved
ESIA. It is one of the ongoing outcomes of ESIA for a given project. Monitoring is also important
for keeping track of any changes that happen in the environment and in communities because of
the project and other local and/or global events, such as changes in livelihoods due to economic
crisis or migration, or differences in water availability due to drought.

Monitoring involve three major groups of activities: Indicator selection and prioritization, Data
collection and Data interpretation and reporting.

1.5. ESIA Related Assessment Processes

1.5.1. Environmental impact assessment (EIA)

EIA is formal process to identify, predict and Evaluate the environmental consequences of human
development activities and to plan appropriate measures to eliminate or reduce adverse effects and
to augment positive effects.

EIA has three main functions:

1. To predict problems. 2. To find ways to avoid problems 3. To enhance positive effects.

1.5.2. Social impact assessment (SIA)

SIA is analyzing, monitoring, and managing the social consequences of development. This
includes the social consequences, both positive and negative of planned interventions.

The primary purpose of SIA is to bring about a more sustainable and equitable biophysical and
human environment.

SIA embodies evaluation of all impacts on humans and all the ways in which people and
communities interact with their socio-cultural, economic and biophysical surroundings.

Social impacts include changes that affect individuals, groups, communities and populations as
well as the interactions between them. They are alterations in the way people live, work, play,
relate to each other and organize their communities and institutions to meet their needs and guide

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their collective actions, as well as changes in their characteristic values, beliefs, norms, traditions
and perceptions of quality of life and well being.

1.5.3. Strategic impact assessment

A Strategic Environmental Assessment (SEA) is a systematic process for evaluating the
environmental implications of a proposed policy, plan or programme and provides means for
looking at cumulative effects and appropriately address them at the earliest stage of decision
making alongside economic and social considerations.

The SEA assesses the extent to which a given policy, plan or programme:

 Provides an adequate response to environmental and climate change–related challenges.

 May adversely affect the environment and climate resilience.
 Offers opportunities to enhance the state of the environment and contribute to climate-
resilient and low-carbon development.

SEA should be integrated into the policy, plan or programme preparation process from its early
stages and the Government must have a high degree of ownership. Public participation is also
essential for a successful SEA.

Compared with the Environmental Impact Assessment (EIA), SEA provides recommendations at
a strategic level and allows a better control over interactions or cumulative effects.

1.5.4. Life cycle assessment

Life Cycle Assessment is a process to evaluate the environmental burdens associated with a
product, process, or activity by identifying and quantifying energy and materials used and wastes
released to the environment; to assess the impact of those energy and materials used and releases
to the environment; and to identify and evaluate opportunities to affect environmental
improvements. The assessment includes the entire life cycle of the product, process or activity,
encompassing, extracting and processing raw materials; manufacturing, transportation and
distribution; use, re-use, maintenance; recycling, and final disposal.

There are four linked components of Life cycle assessment (LCA)

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1. Goal definition and scoping: identifying the LCA's purpose and the expected products of the
study, and determining the boundaries (what is and is not included in the study) and assumptions
based upon the goal definition.

2. Life-cycle inventory: quantifying the energy and raw material inputs and environmental
releases associated with each stage of production.

3. Impact analysis: assessing the impacts on human health and the environment associated with
energy and raw material inputs and environmental releases quantified by the inventory.

4. Improvement analysis: evaluating opportunities to reduce energy, material inputs, or

environmental impacts at each stage of the product life cycle.

1.5.5. Economic assessment

Economic assessment is a tool that calculates the potential costs and assigns values to the expected
benefits of a proposed project. it helps to understand the economic trade-offs between different
alternatives and to select the best and most appropriate projects. There is a basic distinction
between cost-effectiveness analysis (CEA) and cost-benefit analysis (CBA). CEA aims to select
the cheapest (most cost-effective) method of attaining given objectives, while CBA selects the
project with the highest ratio of benefits to costs or benefits surplus (difference between total gains
and total expenditures). Economic assessment techniques take account of all costs and benefits on
a year-by-year basis over the life of the project. This sort of analysis evaluates the total value of a
project using the current and future cash flows which are then discounted according to given rates.

Good economic assessment demands a clear understanding of the direct and indirect impacts of
proposed projects and thus includes environmental costs and benefits. Economic assessments also
identify external impacts and equity (i.e. who pays and who gains the benefits) as well as
efficiency. If carefully carried out and put into the right hands, economic assessments can be used
to increase public awareness on the integrated aspects.

1.5.6. Risk assessment

A risk assessment is a thorough look at area to identify those things, situations, processes, etc. that
may cause harm, particularly to people. After identification is made, you analyze and evaluate how

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likely and severe the risk is. When this determination is made, you can next, decide what measures
should be in place to effectively eliminate or control the harm from happening.

Risk assessments are very important as they form an integral part of an occupational health and
safety management plan.

Risk assessment help to:

 Create awareness of hazards and risk.

 Identify who may be at risk.
 Determine whether a control project is required for a particular hazard.
 Determine if existing control measures are adequate or if more should be done.
 Prevent injuries or illnesses, especially when done at the design or planning stage.
 Prioritize hazards and control measures.
 Meet legal requirements where applicable.

How do you plan for a risk assessment?

 What the scope of your risk assessment will be (e.g., be specific about what you are
assessing such as the lifetime of the product, the physical area where the work activity
takes place, or the types of hazards).
 The resources needed (e.g., train a team of individuals to carry out the assessment, the types
of information sources, etc.).
 What type of risk analysis measures will be used (e.g., how exact the scale or parameters
need to be in order to provide the most relevant evaluation).
 Who are the stakeholders involved (e.g., manager, supervisors, workers, worker
representatives, suppliers, etc.).
 What relevant laws, regulations, codes, or standards may apply in your jurisdiction, as well
as organizational policies and procedures.

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2. SETUPS OF ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT

2.1. International and National Experience

The international Study of the Effectiveness of Environmental Assessment (EA) is a joint exercise
by a number of partner countries and international organizations. It was initiated and led by the
Canadian Environmental Assessment Agency (CEAA) in collaboration with the International
Association for Impact Assessment (IAIA). A pilot feasibility phase of the study, begun at IAIA’
93 Shanghai, concluded at the International Summit on Environmental Assessment held
immediately before IAIA’ 94 in Quebec City. With direction from Summit representatives, the
study comprised a selected review of the recent progress and performance of EA.

Ethiopia is highly vulnerable to grave environmental degradation mainly due to unwise use of
natural resources and poorly planned development projects, prompted by rapid population growth.
This is because the environment has not featured on the development agenda in the past, since
project evaluation and decision-making mechanisms have focused only on short-term technical
feasibility and economic benefits. Thus, neglected environmental and social, as well as long term
economic dimensions, have resulted in a situation where the country experiences a seriously
degraded natural environment that has consequences on negatively impacting the public health.
As a result, further development along this line has to be cut short, as efforts in reversing the
damage to the environment at a later time is usually costly or even irreversible. In order to ensure
sustainable development, it is essential to integrate environmental concerns into development
activities, programs, and policies. The Environmental and Social Impact Assessment is one of the
best environmental management tools, and facilitates the inclusion of principles of sustainable
development aspirations early in a project. However, until 1997 Ethiopia did not have a
comprehensive environment policy. Experience in the past has shown that different development
schemes have caused massive environmental problems as traditional project preparation and
decision-making mechanisms were based on short-term technical feasibility and economic
benefits. As the concern for environmental degradation has increased in recent years, the
Environmental Policy of Ethiopia (EPE henceforward) was issued in 1997 to provide guidance in
the conservation and sustainable utilization of the country’s natural resources in general. Among
the specific objectives that the EPE seeks to achieve are ensuring conservation, development and
sustainable use of essential ecological processes and life support systems, biological diversity and

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renewable natural resources and the empowerment and participation of the people in
environmental management. The EPE lays the foundation for ESIA in the country. Environmental
Policy of Ethiopia (EPE) provides for the enactment of a law which requires that an appropriate
ESIA and environmental audits are undertaken on private and state development projects.

2.2. Legal and Policy Framework of ESIA

In the past several years, an increasing number of countries and multinational institutions have
enacted laws and directives establishing EIA requirements for project reviews. In 1985, the
European Economic Community issued a directive establishing minimum requirements for EIA in
all member countries. The United Nations Environment Program (UNEP) adopted goals and
principles of EIA in 1987. In 1991, twenty-six nations of the United Nations Economic
Commission for Europe signed a Convention on EA in a Transboundary Context, requiring all
signatory nations to establish EIA procedures for transboundary impacts. Increasing emphasis on
EIA is also being observed by official aid agencies and the international banking community. In
1971, the World Bank established an environmental section to analyse environmental
reconnaissance of hydro projects because of the importance of environmental management. In
1989, the World Bank issued an operational directive requiring EIAs for certain categories of
projects. A number of bilateral agencies also have prescribed guidelines for environmental
assessments of projects for which they provide financial assistance. Tracing the environmental
movement from its origin in the 1960s to the present day appears to be a fitting backdrop on which
to weave the evolution of the process of EIA. In essence, it appears that as the understanding of
the environment and its multidimensional interdependent nature matured, so did the size and scope
of environmental legislation.

National legal Frameworks: The concept of sustainable development and environmental rights
are enshrined in article 43, 44 and 92 of the Constitution of FDRE.

In Article 43: The Right to Development, where peoples' right to:

 Improved living standards and to sustainable development.

 Participate in national development and, in particular, to be consulted with respect to

policies and projects affecting their community.

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  The enhancement of their capacities for development and to meet their basic needs, are
boldly recognized.

Similarly, in article 44: Environmental Rights, all persons are entitled to:

 Live in a clean and healthy environment.

 Compensation, including relocation with adequate state assistance.

Moreover, in article 92: Environmental objectives it is declared that,

 government shall ensure that all Ethiopians live in a clean and healthy environment,

 programs and projects design shall not damage or destroy the environment,

 Peoples have the right to full consultation and expression of views, and government
and citizens have the duty to protect the environment.

"Environmental Protection organs Establishment proclamation (proc.no.295/2002)" has

required the need to establish a system that enables to foster coordinated but differentiated
responsibilities among environmental protection agencies at federal and regional levels. The
proclamation has also required the establishment of Sectoral and Regional Environmental, Units
and Agencies, respectively. This shows that institutionalizing and mainstreaming environmental
concerns has a legal foundation.

The Environmental Impact Assessment Proclamation (Proc. no. 299/2002) has made EA to be
a mandatory legal prerequisite for the implementation of major development projects, programs
and plans. This proclamation is a proactive tool and a backbone to harmonizing and integrating
environmental, economic, cultural, and social considerations into a decision making process in a
manner that promotes sustainable development.

Environmental Pollution Control Proclamation (Proc. no. 300/2002) is promulgated with a

view to eliminate or, when not possible to mitigate pollution as an undesirable consequence of
social and economic development activities. This proclamation is one of the basic legal documents,
which need to be observed as corresponding to effective EA administration.

Environmental Policy of Ethiopia (EPE, 1997), provides a number of guiding principles that
indicate and require a strong adherence to sustainable development. In particular EA policies of
EPE includes, among other things, the need to ensure that EA.

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2.3. Applicable Environmental Standards

Environmental standards are administrative regulations applied for the treatment and
maintenance of the environment. Environmental standards are typically set by government and can
include exclusion of specific activities, mandating the frequency and methods of monitoring, and
requiring permits.

Environmental standards may be used produce quantifiable and enforceable laws that
promote environmental protection. The basis for the standards is determined by scientific opinions
from varying disciplines, the views of the general population, and social context. As a result, the
process of determining and implementing the standards is complex and is usually set within legal,
administrative or private contexts.

The human environment is distinct from the natural environment. The concept of the human
environment considers that humans are permanently interlinked with their surroundings, which are
not just the natural elements (air, water, and soil), but also culture, communication, co-operation,
and institutions. Environmental standards should preserve nature and the environment, protect
against damage, and repair past damage caused by human activity.

In recent decades, the popularity and awareness of environmentalism has increased with the threat
of global warming becoming more alarming. Developments in science have been fundamental for
the setting of environmental standards. Improved measurements and techniques have allowed to
understand the impact of human-caused environmental damage on human health and
the biodiversity which composes the natural environment.

2.4. Social and Environmental Baseline Conditions

Baseline condition (information) document shows the existing conditions before the project comes
into implemented.

Why is baseline data collected?

We collect baseline data to serve two purposes in the ESIA study. First, it helps us understand the
current conditions of the area, and how the project needs to be implemented considering these

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conditions. Second, it helps us assess and predict the possible environmental changes that could
occur, once the project is underway.

Baseline data are the data collected about various factors of the project study. This includes-
physical, chemical, biological, socioeconomic, and cultural

2.5. Triggered Safeguards and Risk Considerations

Safeguard policies are essential tools to prevent and mitigate unnecessary harm to people and their
environment during the development process. When identifying and designing a project,
safeguards should help assess the possible environmental and social risks and the impacts (positive
or negative) associated with a development intervention. During project implementation,
safeguards should help define measures and processes to effectively manage risks and enhance
positive impacts. The process of applying safeguard policies can be an important opportunity for
stakeholder engagement, enhancing the quality of project proposals and increasing ownership.

Most International Financing Institutions (IFIs) require the application of safeguards to approve
projects, and while protocols and formats vary, the issues considered are common.

The objective of safeguards policies is to avoid or, when avoidance is not possible, to minimize
and mitigate adverse project impacts on the environment and affected people, and to help
borrowers (and grant recipients) strengthen their own safeguard systems and develop the capacity
to manage environmental risks. Key environmental safeguard considerations include biodiversity
conservation, sustainable natural resource management, pollution prevention and abatement,
pesticide use and greenhouse gas emissions.

3. SCREENING AND SCOPING

3.1. Screening (Methods and Practices)

The output from the screening process is a document called an Initial Environmental
Examination or Evaluation (IEE).

Key contributions of screening to a good ESIA:

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 Facilitates informed decision making by providing clear, well-structured, factual analysis of the
effects and consequences of proposed actions.
 Influences both project selection and policy design by screening out environmentally and/or
socially unsound proposals, as well as modifying feasible action.

An essential aspect of conducting an ESIA is to determine the level of impact of the proposed
project, development or initiative. When we look at major development projects especially those
involving natural resources, such as mining, hydroelectric dams, or oil extraction, we can say for
certain that they require an environmental and social impact assessment. On the other hand, while
the development of a tourism project may seem low-risk at first, a second look could tell that the
project requires large amounts of drinking water, energy, the removal of endangered flora or fauna,
and result in extensive sewage production. It may also lead to increased road and air traffic to
deliver supplies, visitors and workers. Finally, the impacts of project could change over time. Thus,
during the screening step as well as the whole EIA process, impacts are considered over the
lifetime of the project, from the construction phase through to operations and after closing.

Most proposals can be screened very quickly because they have few impacts and may be screened
out of the ESIA process. Only a limited number of proposals, usually large-scale projects, require
a full ESIA because they will likely have major irreversible impacts on environmental resources
or on people’s health, livelihoods or cultural heritage. However, many projects with medium
impacts require an Environmental Management Plan (EMP), which is a component of a full ESIA.

Most countries focus on identifying the types of projects, their size and potential impacts to
determine the need for an ESIA. Overall, we can distinguish two different approaches to
screening.

To determine whether or not the project requires an ESIA, project proponents assess their project
based upon a set of criteria determined by a designated agency. It is important that screening be
done as early as possible in the development of the proposal in order for the proponent and other
stakeholders to be aware of possible EIA obligations. It is also important that screening be applied
systematically and consistently, so that the same decision would be reached if others did the
screening.

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The European Union suggests a set of questions to quickly assess project proposals. These
questions are designed so that a “Yes” answer will generally point toward the need for EIA and a
“No” answer to one not being required.

1. Will there be a large change in environmental conditions?

2. Will new features be out-of-scale with the existing environment?
3. Will the effect be unusual in the area or particularly complex?
4. Will the effect extend over a large area?
5. Will there be any potential for transboundary impact?
6. Will many people be affected?
7. Will many receptors of other types (fauna and flora, businesses, facilities) be affected?
8. Will valuable or scarce features or resources be affected?
9. Is there a risk that environmental standards will be breached?
10. Is there a risk that protected sites, areas, features will be affected?
11. Is there a high probability of the effect occurring?
12. Will the effect continue for a long time?
13. Will the effect be permanent rather than temporary?
14. Will the impact be continuous rather than intermittent?
15. If it is intermittent, will it be frequent rather than rare?
16. Will the impact be irreversible?
Will it be difficult to avoid, or reduce or repair or compensate for the effect?

3.2. Scoping (Baseline and Boundaries)

Scoping involves listing all possible impacts, based on experiences elsewhere of similar projects,
and theoretical knowledge of what the project will involve (in the case of a first time project). The
scope of the project (area, magnitude, sensitive sites, and significance) is placed in the context of
all possible outcomes of the project.

Table 1. Example of a Checklist for Environmental Impacts of Water Resources

Development Projects

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The checklist provided a comprehensive guide to the areas of environmental concern which should
be considered in the planning, design, operation and management of irrigation, drainage and flood
control projects. Project

Name/location………………………………..
Enumerator’s name………………………………….
Assessment: 1st/2nd/……………………… Date …………………

The Terms of Reference (ToRs) can then be modified to detail the strategies of addressing the key
issues. (Some authors suggest that ToRs should only be developed after the scoping stage. But
already, the ESIA experts will have done some considerable work to reach this stage, and that
work should have been captured in the initial ToRs.

Baseline Studies

Baseline studies must document the state of the environment as at the time of the start of the
project. The purpose of a baseline study is to provide an information base against which to monitor
and assess an activity’s progress and effectiveness during implementation and after the activity is

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completed. Sometimes the data needed for a baseline, against which to measure the degree and
quality of change during an activity’s implementation, will already exist. In such cases the only
task is to collate the data and ensure that it can be updated in the longer term. Therefore, it is
important to find out what information is already available.

What are project boundaries?

Project boundaries are the defined identifiers of what clients and project professionals have
determined is included within project work. Within the project scope statement, those completing
the project can include a project boundaries identification section that clearly defines the extent of
project work expectations. The boundaries are measurable characteristics that all involved with the
project can agree upon. Understanding which results clients expect from project professionals can
help everyone involved make clear decisions about project content.

Importance of identifying project boundaries

Identifying project boundaries can clearly articulate the start and end of a project and add other
benefits to the project process such as:

 Reducing the need for project member supervision from managers.

 Guaranteeing projects meet goals.
 Helping efficiently divide responsibilities.
 Increasing accountability for individual work.
 Resulting in clear expectations from clients.
 Contributing to the defined scope statement for the project.
 Increasing the likelihood of satisfied clients.

4. IMPACT AND IMPACT ANALYSIS

Impact analysis is the technical heart of the ESIA process. Impact analysis stage can be broken
down into three phases: Identification, Prediction and Evaluation

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4.1. Impact Identification (Techniques)

A logical and systematic approach needs to be taken to impact identification. The aim is to take
account of all of the important environmental/project impacts and interactions, making sure that
indirect and cumulative effects, which may be potentially significant, are not inadvertently
omitted.

This process begins during screening and continues through scoping, which identifies the key
issues and classifies them into impact categories for further study. In the next phase, the likely
impacts are analyzed in greater detail in accordance with terms of reference specifically established
for this purpose.

Over time, a number of ESIA methodologies and tools have been developed for use in impact
identification.

The most common formal methods used for impact identification are:

Checklists, Matrices, Networks, Overlays and geographic information systems (GIS), Expert
systems, and Professional judgment.

Factors Considered When Choosing an Impact Identification Method

No single impact identification methodology is suited to use on all occasions; nor is it necessary
to use only one method at a time. Combining the useful different techniques is the best approach.

►The choice of methodology can depend upon a number of factors including:

 The type and size of the proposal.

 The type of alternatives being considered.

 The nature of the likely impacts.

 The availability of impact identification methods.

 The experience of the ESIA team with their use.

 The resources available — cost, information, time, personnel.

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When using impact identification methods (such as checklists or matrices) developed by others,
care should be taken to ensure that these are suitable for your purpose. In reviewing them,
particular attention should be given to environmental features that are distinctive or extreme to the
region in which the project is proposed (e.g. flood, drought, temperature, seismic activity, land
instability, disease vectors, etc).

4.2. Impact Prediction (Principles and Approach)

Once all the important impacts have been identified, their potential size and characteristics can be
predicted. Impact prediction or forecasting is a technical exercise. It utilizes physical, biological,
socio-economic and cultural data to estimate the likely characteristics and parameters of impacts
(e.g. magnitude, spatial occurrence etc.). A range of methods and techniques may be employed.
These can be a continuum from simple methods for impact identification to advanced methods,
often involving the application of mathematical models. In many cases, this work needs carried
out by specialists in the disciplines involved or in the application of models and techniques.
However, the sophistication of prediction methods used should be in proportion to the scope of the
ESIA and relevant to the importance of the particular impact. Specialists may become involved in
investigation and methodology that is of interest to them rather than directly related to the impact
of the proposal. This can be avoided by making sure the programme of research and data collection
is focused on addressing the concerns outlined in the terms of reference.

Where possible, impacts should be predicted quantitatively. This makes comparison among
alternatives and with baseline conditions easier and facilitates impact monitoring and auditing later
in the ESIA process. If quantification is difficult, then it is important to use methods that allow the
impacts to be estimated and compared systematically. Rating techniques, for example, can be used
to assist impact estimation (as well as assign values) where there is insufficient data, a high level
of uncertainty and/or limited time and money (all common in many ESIAs). The results of
qualitative analysis should be communicated clearly, for example in the form of a range of graded
‘dot sizes’ presented.

In most cases, a multi-disciplinary team conduct the ESIA study. The terms of reference dictate
the composition of the team and the knowledge base and skills required. When organizing different
specialists to address a common task or problem, it is important for the study manager to establish

20
a clear process of communication with, and amongst, them. This should extend to communication
with those responsible for overall project management, as it is often possible for design changes
to be incorporated to reduce environmental impacts well before the production of the ESIA report.
This can result in savings of money and time to the proposal in the long run.

Impact predictions are made against a ‘baseline’ established by the existing environment (or by its
future state) known as baseline studies. The collection of data on relevant biophysical, social and
economic aspects provides a reference point against which the characteristics and parameters of
impact-related changes are analyzed and evaluated. In many cases, it is likely that the current
baseline conditions still exist when a project is implemented. However, certain projects have long
lead times. In these cases, predictions may need to be made about the future state of the
environment.

In practice, collecting baseline information can be time consuming and expensive. There can be
difficulties in collecting appropriate and sufficient information. For example, there may be
unexpected circumstances in which the collection of data cannot be completed as required by the
Terms of Reference. In such cases, the ESIA team may have to revise the study strategy and/or
use their judgment to make predictions. When this occurs it should be indicated in the ESIA report
with a short explanation of the reasons.

Specialized knowledge is usually required to oversee, and, where necessary, set limits on the
collection of data required for impact analysis and monitoring. ESIA project managers also need
to ensure that time and effort is not spent on unnecessary data collection or that excessive space in
the ESIA report is not occupied by a description of baseline conditions.

Characteristics of Impacts

An impact can be described as the change in an environmental parameter, which results from a
particular activity or intervention. The change is the difference between the environmental
parameter with the project compared to that without the project. It is predicted or measured over a
specified period and within a defined area. The figure below shows depicts an Environmental
Impact.

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An impact has three main dimensions

1. Magnitude – indicates the change in the change of a variable in the environment within which
a project is located. Magnitude can be a measurement e.g. forest area covered by flood water after
dam is constructed. It can also be a prediction such as the level of noise after a highway is
constructed.

2. Importance – This represents a judgment by an expert on the importance of future

modifications, taking into account the spatial and temporal context in which the project is located.

3. Significance – refers to the value attributed to by local communities to the two above
dimensions. It is the way they perceive the project and how it will affect their living space, they
way they live and how they wish it to evolve.

Parameters to be taken into account in impact prediction and decision-making include:

 Nature (positive, negative, direct, indirect, cumulative).

 Magnitude (severe, moderate, low).

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 Extent/location (area/volume covered, distribution).

 Timing (during construction, operation, decommissioning, immediate, delayed, rate of change).

 Duration (short term, long term, intermittent, continuous).

 Reversibility/irreversibility.

 Likelihood (probability, uncertainty or confidence in the prediction).

 Significance (local, regional, global).

Methods for predicting the characteristics of impacts include:

 ‘Best estimate’ professional judgment.

 Quantitative mathematical models.

 Experiments and physical models.

 Case studies as analogues or points of reference.

4.3. Impact Evaluation (Principles and Approach)

A systematic process should be followed in evaluating significance, distinguishing between ‘as

predicted’ and ‘residual’ impacts.

Step 1: involves evaluating the significance of ‘as predicted’ impacts to define the requirements
for mitigation and other remedial actions.

Step 2: involves evaluating the significance of the ‘residual’ impacts, i.e. after mitigation measures
are taken into account. This test is the critical measure of whether or not a proposal is likely to
cause significant impacts. It is determined by the joint consideration of its characteristics
(magnitude, extent, duration etc.) and the importance (or value) that is attached to the resource
losses, environmental deterioration or alternative uses, which are foregone.

Impact evaluation is a difficult and contestable exercise, which cuts across the boundary between
‘facts’ and values and between ESIA and decision-making. First, a technical judgement must be
made of the extent to which mitigation will reduce ‘as predicted’ impacts. Second, a subjective
value must be placed on the significance of residual impacts. Finally, the attribution of significance
23
usually influence final approval and condition setting; for example by indicating whether or not
the impact of a proposal is acceptable or not.

Criteria and Measures of Significance

Evaluation of significance should take place against a framework of criteria and measures
established for the purpose. These may be defined in ESIA legislation and procedure; for example,
by definition of what constitutes an environmental impact and guidance on how to determine
significance. Often specified criteria are listed to aid such evaluation; for example, environmental
standards and thresholds, protected and sensitive areas. Valued ecological functions and
components and resource and land use capabilities. Where this ESIA guidance is not available, it
can be developed separately by adapting criteria and measures that are relevant to local
circumstances and the type of proposals reviewed.

Key reference points for evaluating significance include:

 Environmental standards, guidelines and objectives.

 Level of public concern (particularly over health and safety).

 Scientific and professional evidence for:

- Loss/disruption of valued resource stocks and ecological functions.

- Negative impact on social values, quality of life and livelihood; and

- Foreclosure of land and resource use opportunities.

A test of significance can be applied by asking three questions:

 Are there residual environmental impacts?

 If yes, are these likely to be significant or not?

 If yes, are these significant effects likely to occur e.g. is the probability high, moderate or low?

4.4. Environmental Media and Socioeconomic Index:

Environmental Media means any air, soil, sediments, land surface (whether above or below water),
subsurface strata, plant or animal life, natural resources, or water (including territorial, coastal and

24
inland surface waters, groundwater, streams and water in drains, tanks or sewers), sewer, septic or
waste treatment, storage or disposal systems servicing real property, buildings or structures.

4.4.1. Environmental (water) Quality indicators

A concerted effort to enhance habitability of our planet is unlikely to succeed unless we know
“where we are” and “where we want to go.” To answer these questions, we first must consider
exactly what we include in the term “environment.” If we restrict our consideration to overly
simplified definitions, such as the amount of a specified pollutant in air, we have very little
difficulty in measuring environment. However, as we broaden our definition to include all the
physical components, or all the physical and biological, or all the physical, biological, and cultural
ones, environment becomes exponentially more difficult to describe. Nonetheless, I believe we
must take the holistic approach at the outset and define environment as that complex of interacting
physical and cultural factors, which routinely influences the lives of individuals and communities.
This indeed is a broad definition, but we should not forget when we study the individual
components that the entirety functions as a system of interacting components

Water Quality Indicators

Water quality is often described by the concentration of different chemicals of interest.

Determining whether water quality is “good” or “bad” depends on the purpose of the assessment—
for example, water with naturally elevated concentrations of some metals may not be suitable for
drinking water, but may be suitable for industrial uses. Assessing water quality generally involves
comparing measured chemical concentrations with natural, background, or baseline concentrations
and with guidelines established to protect human health or ecological communities.

In Water quality index (WQI) Points to remember are:

►Water quality parameter

The parameters involved in the WQI are dissolved oxygen, pH, Total dissolved solids, Calcium,
Magnesium, Electrical conductivity, Iron, Fluoride, Turbidity

►Parameters should be have standards limit prescribed by WHO.

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►Select methods

‫٭‬Weighted arithmetic index method (Brown et al., 1972)

Calculation of WQI

Step1: Calculate the unit weight factor (Wn) for each parameter
𝐾
Wn =𝑆𝑛

1 1
K= 1 1 1 1 = 1
+ + +⋯ ∑
𝑆1 𝑆2 𝑆3 𝑆𝑁 𝑆𝑁

Step2: calculating sub indices using

𝑉𝑛−𝑉0
Qn = 𝑆𝑛−𝑉𝑜 *100

Where, Vn = mean concentration of the site of each parameter

V0= actual (ideal) value of pure parameter( others Vo=0 except PH)

Step3: Combination of step 1 and 2

∑ 𝑊𝑛𝑄𝑛
WQI = ∑ 𝑊𝑛

4.4.2. Ecological sensitivity and diversity

Rapid global environmental change, including greater and more frequent extreme climate events,
is profoundly transforming Earth’s ecosystems. Identifying factors that contribute to the
persistence and stability of ecosystems despite these changes is fundamental for ensuring the
continuous provision of services they underpin, such as carbon storage, timber, wildlife habitats
and regulation of the hydrological cycle. Biodiversity plays a critical role in stabilizing ecosystem
functioning. Although fundamental to our basic understanding of ecosystem functioning and
stability. Yet, sustaining ecosystem structure, functioning and services under future environmental
conditions requires a deeper understanding of how biodiversity underpins their stability under
realistic settings, across ecosystem types, and along climate gradients.

The magnitude and stability of many ecosystem processes, such as vegetation productivity and
biomass production, are largely controlled by climate variability acting at multiple temporal scales.
26
This variability ranges from short-term climate extremes (e.g., heat waves) to seasonal climate
dynamics that affect plant phenology, and to longer-term processes that can reflect climate change.
These patterns may at least in part reflect natural selection of a combination of successful plant
life-history traits to patterns of climate variability in different regions. For example, arid
ecosystems (e.g., savannas and grasslands) show large amplitudes in vegetation green-ups to inter
annual variability in precipitation while vegetation dynamics in seasonally cold ecosystems (e.g.,
temperate, arctic, and boreal biomes) are largely controlled by intra-annual variability in
temperature, including climate-driven phenology. Even while climate variability influences
vegetation dynamics and idiosyncrasies of assemblage composition, it also reflects large-scale
gradients of energy, resources, and other abiotic conditions that constrain, the diversity of plants,
animals, and microbes, which is generally highest in temporally stable, warm and wet
environments. Yet, limited empirical evidence exists demonstrating that biodiversity can mediate
the stability of ecosystems to climate variability at large spatiotemporal extents.

Landscapes of greater diversity are more likely to include a range of species that respond
differently to environmental variation and utilize different components of the resource base. It is
therefore expected that diverse landscapes would increase ecosystem stability via temporal and
spatiotemporal niche partitioning. This would occur because species may respond asynchronously
to environmental fluctuation, such that variability of biomass production through time is reduced.

4.4.3. Socio-economic indices

Socio-economic indicators provide a background to understanding the health scenario in a country.

It provides data on education, gender, poverty, housing, amenities, employment and other
economic indicators

What are the of socio-economic indices include

Material living conditions, Education and work, Economic risks, Health, Social relations,
Participation and trust, Safety; and Environment

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Socioeconomic status is typically broken into levels (high, middle, and low) to describe places a
family or an individual may fall. When placing a family or individual into one of these categories,
any or all of the three variables (income, education, and occupation) can be assessed.

4.4.4. Health indicators

Environmental health indicators describe the link between the environment and health. They are
based on known or plausible cause-and-effect relationships between the environment and health.

The indicators provide information for action. They provide key evidence to help decision-makers,
and raise awareness of environmental health risks, to improve human health.

Environmental health indicators help identify potential risks to human health, including emerging
risks. The indicators can help to guide policy actions, target action and allocate resources.

The key purposes of Environmental Health Indicators are:

 To monitor trends in the state of the environment.

 To compare the environmental health status of geographic areas.

 To monitor the effectiveness of policies and other interventions on environmental health.

 To help raise awareness about environmental health issues.

 To help initiate further investigations into links between the environment and health.

4.4.5. Historical and cultural indicators

Cultural and creative activities are critical for improving quality of life in communities. Culture
helps members of communities feel connected to one another by maintaining and expressing their
society’s beliefs; creativity promotes new ways of thinking, which helps individuals and societies
better adapt to changing conditions and build their capacity to address problems. However,
creativity and culture, like love and compassion, are themselves impossible to measure. Creativity
happens every day. Culture is expressed everywhere. However, what can be measured are outputs,
economic activities, participation, and levels of support. Creativity and culture are best understood
by their outputs – objects, performances, and social activities (such as festivals).

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5. IMPACT MITIGATION AND MANAGEMENT PLAN

5.1. Impact Mitigation Measures

Mitigation is the stage of the EIA process when measures are identified to avoid, minimize or
remedy impacts. These measures are implemented as part of the process of impact management
together with any necessary adjustments to respond to unforeseen impacts. Both avoid and
minimize are integral to ensuring that the ESIA process leads to practical action to offset the
adverse environmental impacts of proposed developments. The purpose of mitigation is to identify
measures that safeguard the environment and the community affected by the proposal. Mitigation
is both a creative and practical phase of the ESIA process. It seeks to find the best ways and means
of avoiding, minimizing and remedying impacts.

Mitigation measures must be translated into action in the correct way and at the right time if they
are to be successful. This process is referred to as impact management and takes place during
project implementation. Mitigation is a critical component of the ESIA process. It aims to prevent
adverse impacts from happening and to keep those that do occur within an acceptable level.
Opportunities for impact mitigation occur throughout the project cycle. The objectives of
mitigation are to:

 Find better alternatives and ways of doing things.

 Enhance the environmental and social benefits of a proposal.

 Avoid, minimize or remedy adverse impacts.

 Ensure that residual adverse impacts are kept within acceptable levels.

Early links should be established between the ESIA and project design teams to identify mitigation
opportunities and incorporate them into consideration of alternatives and design options. In
practice, mitigation is emphasized in the ESIA process once the extent of the potential impact of a
proposal is reasonably well understood. This typically takes place following impact identification
and prediction, and recommended measures for mitigation will be an important part of the ESIA

29
report. Usually, these measures will be incorporated into the terms and conditions of project
approval and implemented during the impact management stage of the EIA process.

Main Elements of Mitigation and Principles for Application the elements of mitigation are
organized into a hierarchy of actions:

 First, avoid adverse impacts as far as possible by use of preventative measures.

 Second, minimise or reduce adverse impacts to 'as low as practicable' levels.

 Third, remedy or compensate for adverse residual impacts, which are unavoidable and cannot
be reduced further.

EIA good practice in mitigation requires a relevant technical understanding of the issues and the
measures that work in the circumstances.

Mitigation can be carried out by Structural measures and Non-structural measures:

 Structural measures: such as design or location changes, engineering modifications and lands
(site treatment)

 Non-structural measures: such as economic incentives, legal, institutional and policy

instruments, provision of community services and training and capacity building.

5.2. Environmental and Social Impact Management Plan

The Environmental and Social Impact Management Plan (ESIMP) is recognized as the tool that
can provide the assurance that the project proponent has made suitable provision for mitigation.

The ESIMP provides a description of the methods and procedures for mitigating and monitoring
impacts. The ESIMP also contains environmental objectives and targets which the project
proponent or developer needs to achieve in order to reduce or eliminate negative impacts. The
ESIMP document can be used throughout the project life cycle. It should be regularly updated to
remain aligned with the project as it progresses from construction to operation and, finally to
decommissioning.

30
There are three broad categories of Environmental and Social Impact Management Plan (ESIMP)
in the project lifecycle:

1. The construction Environmental and Social Impact Management Plan.

2. The operations Environmental and Social Impact Management Plan.

3. The decommissioning Environmental and Social Impact Management Plan.

The objectives of these ESIMP are all the same, namely to:

► Identify the possible environmental impacts of the proposed activity; and

► Develop measures to minimize, mitigate and manage these impacts.

The difference between these ESIMP is related to the difference in mitigation actions required for
the different stages of the project cycle

1 The Construction Phase Environmental and Social Impact Management Plan

The construction phase Environmental and Social Impact Management Plan provides specific
environmental guidance for the implementation and construction phase of a project. It is intended
to enable the management and mitigation of construction activities so that environmental impacts
are avoided or reduced. These impacts range from those incurred during start up (e.g. site clearing,
erection of the construction camp) to construction activities (i.e. erosion, pollution of watercourses,
noise, dust). Information presented in the Environmental and Social Impact Management Plan
is typically characterized as follows:

* identify the specific activity or potential impact that requires management.

* determine the mitigation measures to be implemented.

* identify the performance indicator.

* identify who would be responsible for implementation; and

* identify who would be responsible for monitoring.

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2. The Operational Phase Environmental and Social Management Plan

The operational phase ESIMP provides specific guidance related to the operational activities
associated with a particular development. The roles and responsibilities for mitigation, monitoring
and performance assessment for the operational life of the development are specified in ESIMP.

3. The Decommissioning Phase Environmental and Social Management Plan

As the final phase in the project cycle, decommissioning may present positive environmental
opportunities associated with the return of the land for alternative use and the cessation of impacts
associated with operational activities. However, depending on the nature of the operational
activity, the need to manage risks and potential residual impacts may remain well after operations
have ceased. Examples of potential residual impacts and risks include contamination of soil and
groundwater, stock that has been abandoned (e.g. oil drums, scrap equipment, old chemicals) and
old (unserviceable) structures. The decommissioning phase ESMP provides specific guidance with
respect to the management of the environmental risks associated with the decommissioning stage
of a project. The decommissioning phase ESMPs are typically encountered within extractive
industries such as minerals mining and oil and gas exploration and extraction.

6. ESIA REPORT, ESIA QUALITY REVIEW, AND DECISION MAKING

6.1. ESIA Report

The ESIA report is a primary document for decision-making, and for informing stakeholders about
likely environmental impacts of a proposal and the measures for mitigating them. ESIA reports
must be written to an appropriate technical standard, in compliance with the terms of reference
and in an easy-to-understand style. They also must be carefully edited, designed and produced.
Money should be allocated in the budget for these purposes, and for distribution.

The ESIA report find many critics, and any inaccuracies make it more open to challenge. It is the
responsibility of the ESIA Project Manager to provide overall quality control, checking each detail
of the report for consistency and accuracy. Proponents may be tempted to either ignore or hide
material they feel is detrimental to the project. This can be highly contentious and the best defence
is for the ESIA Project Manager to point out that errors often raise much greater opposition and
can contribute to delaying or even stopping the proposal.

32
Little is achieved if the findings of final report are not successfully communicated. It is necessary
to avoid misleading or ambiguous terms, which can be interpreted in different ways. Clear
definitions should be given for terms such as significant, severe, moderate or negligible impact,
remembering the many audiences of the EIA Report.

Often, the final period of report editing and production is a crisis time for the ESIA project
Manager and the team. It can be helpful to have a competent outsider review the report for
consistency, accuracy and completeness before it is reproduced and distributed. Remember, too,
most reports go through a quality check as part of the ESIA process, and it is helpful to replicate
this internally to anticipate the findings of an ‘official’ review.

The environmental assessment report should be concise and limited to significant environmental
issues. The main text should focus on findings, conclusions and recommended actions, supported
by summaries of the data collected and citations for any references used in interpreting those data.
Detailed data are not appropriate in the main text and should be presented in appendices or a
separate volume. Unpublished documents used in the assessment may not be readily available and
should also be assembled in an appendix. Organize the environmental assessment report according
to the outline below:

►Executive Summary.

►Policy, Legal and Administrative Framework.

►Description of the Proposed Project.

►Baseline Data.

►Significant Environmental Impacts.

►Analysis of Alternatives.

►Environmental Management Plan.

►Appendices:

‫٭‬List of Environmental Assessment Preparers

‫٭‬References Record of Interagency/Forum/Consultation Meetings

33
6.2. Review of ESIA Quality

6.2.1. ESIA process review

Review is a mechanism employed in Environmental Impact Assessment (EIA) to judge the

adequacy of the process and quality of the EIA report. The review is conducted with reference
to legal conformity and good practice

Review process includes: Screening and Scoping; Project Alternatives and Base Case Design;
Existing Environmental and Socio-Economic Conditions; Impact Assessment; Residual Impact
Identification; Disclosure and Stakeholder Consultation; and Monitoring and Mitigation.

The Review help developers and their consultants prepare better quality Environmental Impact
Statements and competent authorities and other interested parties to review them more effectively,
so that the best possible information is made available for decision making.

The following steps can help to achieve good practice in the review of EIA reports:

►Set the scale/depth of the review;

►Select reviewer(s);

►Use input from public involvement;

►Identify review criteria and aspects to be considered;

►Carry out the review;

►Determine how to remedy any deficiencies; and

►Report the findings

These all steps engaged through all ESIA process

6.2.2. ESIA report review

The purpose of review is to assure the completeness and quality of the information gathered in an
ESIA. When undertaken as a formal step, it acts as a final check on the quality of the EIA report
submitted to obtain a project authorization. Often, this process leads to a requirement for additional
information on potential impacts, mitigation measures or other aspects.

34
Key objectives of EIA review are to:

► assess the adequacy and quality of an EIA report.

► take account of public comment.

► determine if the information is sufficient for a final decision to be made.

► identify, as necessary, the deficiencies that must be addressed before the report can be
submitted.

In many EIA systems, the review stage is the major opportunity for public involvement. However,
the arrangements for this purpose vary considerably from country to country. They range from
notification of a period for receiving written comments on the EIA report to holding public
hearings. Typically, the latter mechanism is part of an independent review by an ESIA panel or
inquiry body, which is considered a particularly transparent and rigorous approach. Whatever
procedure is followed a rigorous approach is in many EIA systems, the review stage is the major
opportunity for public involvement. However, the arrangements for this purpose vary considerably
from country to country. They range from notification of a period for receiving written comments
on the ESIA report to holding public hearings.

A comprehensive review of the adequacy and quality of an EIA report would address many or all
of the following issues:

► Does the report address the Terms of Reference?

► Is the necessary information provided for each major component of the ESIA report?

► Is the information correct and technically sound?

► Have the views and concerns of affected and interested parties been taken into account?

► Is the statement of the key findings complete and satisfactory, e.g. for significant impacts,
proposed mitigation measures, etc.?

► Is the information clearly presented and understandable by decision makers and the public?

► Is the information relevant and sufficient for the purpose of decision making and condition
setting?

35
Specific procedures for ESIA review that are in place in different countries can be divided into
two main types:

 Internal review - undertaken by the responsible authority or other government agency, with or
without formal guidelines and procedure; and

 External review - undertaken by an independent body, separate from and/or outside

government agencies, with an open and transparent procedure for public comment.

6.3. Decision making

Decision-Making is done by the project proponent and the appropriate government authorities.
They decide as to whether the project should go on or not. If it is to go on, which, among the
alternatives and mitigation measures are to be adopted. The recommendations of the ESIA may be
accepted, accepted with modifications, or rejected all together. Sometimes, decision-making is
influenced by strategic and other political considerations, in addition to environmental
considerations.

Rules and conventions for decision-making have been adopted by leading EIA systems
(Wood 1995):

 No decision will be taken until the EIA report has been received and considered.

 The findings of the ESIA report and review are a major determinant of approval and condition
setting.

 Public comment on the EIA report is taken into account in decision-making.

 Approvals can be refused or withheld, conditions imposed, or modifications demanded at the

final decision stage.

 The decision is made by a body other than the proponent.

 Reasons for the decision and the conditions attached to it are published, and

 There is a public right of appeal against the decision (where procedures have not been followed
or they have been applied unfairly).

36
Steps to effective decision making

Step 1: Identify the decision

You realize that you need to make a decision. Try to clearly dene the nature of the decision you
must make. This first step is very important.

Step 2: Gather relevant information

Collect some pertinent information before you make your decision: what information is needed,
the best sources of information, and how to get it. This step involves both internal and external
“work.” Some information is internal: you seek it through a process of self-assessment. Other
information is external: you earn it online, in books, from other people, and from other sources.

Step 3: Identify the alternatives

As you collect information, you probably identify several possible paths of action, or alternatives.
You can also use your imagination and additional information to construct new alternatives. In this
step, you list all possible and desirable alternatives.

Step 4: Weigh the evidence

Draw on your information and feelings to imagine what it would be like if you carried out each of
the alternatives to the end. Evaluate whether the need identified in Step 1 would be met or resolved
through the use of each alternative. As you go through this cult internal process, you begin to favor
certain alternatives: those that seem to have a higher potential for reaching your goal. Finally, place
the alternatives in a priority order, based upon your own value system.

Step 5: Choose among alternatives

Once you have weighed all the evidence, you are ready to select the alternative that seems to be
the best one for you. You may even choose a combination of alternatives.

Step 6: Take action

You are now ready to take some positive action by beginning to implement the alternative you
chose in Step 5.

Step 7: Review your decision & its consequences

In this step, consider the results of your decision and evaluate whether or not it has resolved the
need you identified in Step 1. If the decision has not met the identified need, you may want to

37
repeat certain steps of the process to make a new decision. For example, you might want to gather
more detailed or somewhat different information or explore additional alternatives.

7. IMPLEMENTATION FOLLOW-UP/MONITORING AND AUDITING

7.1. Implementation

Project implementation is the process of putting a project plan into action to produce the products
or services. Implementation involves coordinating resources and measuring performance to ensure
the project remains within its expected scope and budget. It also involves handling any unforeseen
issues in a way that keeps a project running smoothly.

To implement a project effectively, project managers must consistently communicate with a team
to set and adjust priorities as needed while maintaining transparency about the project's status with
the clients or any key stakeholders.

Project implementation that relies on strategic planning outlined earlier in the process can help a
team achieve the project objectives while staying within budget and meeting relevant deadlines.
Implementation is the part of the project cycle that bridges the planning process and the project
outcomes. This step of the process, and how well it is implemented, can ultimately determine the
success of a project.

During the implementation phase, a project manager establishes how closely the team is meeting
the project objectives, making changes as necessary to keep the project on track. Implementation
allows project managers to take control of a project and empower the team to reach common goals,
building trust and transparency among those directly involved with the project.

There are several steps involved in implementing a project, including some planning that must
occur before the implementation can begin. Here is a list of steps for implementing a project
effectively: Assess the project plan, Execute the plan, Make changes as needed, Analyze project data,
Gather feedback, Provide final reports

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7.2. Monitoring and Follow-up

Monitoring provides data on the environmental and social impacts of the project for the whole
project lifecycle. As part of their operations, most development projects involve regular
monitoring of indicators. More specifically, the information collected during monitoring activities
helps to ensure that the priorities listed in the Environmental Management Plan (EMP), mitigation
measures, and contingency plans are properly implemented, and that these plans and measures are
effective in addressing the project’s impacts.

Monitoring is critical to ensuring the fulfillment of all the commitments made in the approved
ESIA. It is one of the ongoing outcomes of ESIA for a given project. Monitoring is also important
for keeping track of any changes that happen in the environment and in communities because of
the project and other local and/or global events, such as changes in livelihoods due to economic
crisis or migration, or differences in water availability due to drought. After the project is
implemented, basic monitoring efforts will continue during project remediation.

The approaches to monitoring involve three major groups of activities:

1. Indicator selection and prioritization: identified environmental and social impacts and
mitigation measures is core part of monitoring efforts.

2. Data collection: Once the indicators are selected, it is important to define data collection
protocols for the indicators.

3. Data interpretation and reporting: Once the data has been collected it is important to make it
available to the designated authorities, communities and other stakeholders (such as local
municipalities) so that it can be used for planning purposes and for cumulative assessments, and
to help ensure that the commitments agreed upon in the ESIA are being met. A central part of this
reporting is providing an interpretation of the indicator trends. This includes describing the key
factors that influenced the trends (even if these factors are beyond the control of the project) and
identifying possible additional corrective measures and indicators needed to address any negative
trends.

39
Environmental monitoring is carried out during the stages of site preparation, construction,
operation and closure (if applicable). It should aim to ensure the efficiency of the proposed actions,
allowing regular assessment of the implementation, and the adoption of corrective measures if
required. The frequency of monitoring activities is determined by the nature of the project.

7.3. Auditing

Auditing refers to the examination and assessment of a certain type of performance. In the case of
an ESIA, an audit assess the actual environmental impact, the accuracy of prediction, the
effectiveness of environmental impact mitigation and enhancement measures, and the functioning
of monitoring mechanisms. The audit should be undertaken upon a project run in operation, for
some time, and is usually performed once or twice in the entire project cycle.

The following types of audit that are recommended to be implemented in different phases of the
EIA process:

Types of Audit

Decision Point Audit: examines the effectiveness of ESIA as a decision-making tool.

Implementation Audit: ensures that approved conditions have been met.

Performance Audit: examines the responses of agencies concerned with project management.

Project Impact Audit: examines environmental changes arising from project implementation.

Predictive Technique Audit: examines the accuracy and utility of predictive techniques by
comparing actual against predicted environmental effects.

EIA Procedures Audit: critically examines the methods and approach adopted during the ESIA
study.

Not all the audit types mentioned above are required to be implemented in ESIA process. However,
at the project approval stage, both project proponent and authorizing agency should considered
whether an application of a particular audit technique is likely to result in new information or an
improvement in management practices. Particular attention should be given to the project cost-
effectiveness of any proposed audit and to technical difficulties likely to be encountered. Since the

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ESIA concept is a relatively recent, the use of environmental audits play a significant role in
evolving a systematic approach of the application of ESIA.

Environmental auditing should compare monitoring results with information generated during the
pre-project period. Comparisons can be made with similar projects or against standard norms.
Relating actual impacts with predicted impacts, help in evaluating the accuracy and adequacy of
EIA predictions.

Steps in an ESIA Audit

1. Select project ESIAs to Audit

Focus the study and limit cost by selecting representative projects that has been operating long
enough to cause actual impacts and for which at least some post project information is available.

2. Identify likely project impacts

Undertake extensive network with agency expert, local government, and citizen groups directly
familiar with effects from the selected or similar projects.

3. Initial review to determine if ESIA has been incorrectly predicted impacts

Review ESIA to identify potential errors or mitigation failure: this includes impacts where the
ESIA itself noted uncertainty, and those impacts predicted using methods that are suspect. This
step provides a general sense of issues to be examined in the audit.

4. Prioritize impacts for further investigation

Impacts selected based on: Magnitude of apparent error (especially underestimates of serious
impacts); importance impacts to agency program; degree of public argument and or scientific
uncertainty and easy of study.

5. Prepare protocol for field investigation

Develop a detailed plan of study to evaluate each prioritized impact.

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6. Identify actual project impacts

Use method to identify what actually happened in the area of the project including the
identification of cause effect relationships possibly accounting for actual impacts.

7. Compare actual impacts and predicted impacts

Assess ESIA to determine if an error actually occurred. The null hypothesis is that the ESIA is
presumed correct unless clearly wrong. Step 8 and 9 apply to error identify in step 7

8. Determine causes of error

Explain why prediction was not correct. This typically requires determining why an impact did
occur (cause-effect analysis). Errors may result because of limit on the ESIA scope, as when a
project change after the ESIA was completed. Other error sources include poor data prediction
method and or poor use of good data and method.

9. Apply lesson learned

Use audit result to modify the ESIA process used in future work. Minor errors may be corrected
by greater awareness among practitioners; Major errors may require special training, new expertise
or new investigation.

8. PUBLIC AND STAKEHOLDERS INVOLVEMENT IN ESIA

8.1. Actors and Stakeholders in ESIA

Actors and stakeholders defined as all those people and institutions who have interest in the
successful design, implementation and sustainability of the project. This includes those positively
and negatively affected by the project. Stakeholder participation involves processes whereby all
those with a stake in the outcome of a project actively participate in decisions on planning and
management. They share information and knowledge, and may contribute to the project, so as to
enhance the success of the project and hence ultimately their own interests.’

There are three principle stakeholder groups involved in any project undergoing EIA. They
are proponent/s, regulators, and community.

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One objective of stakeholder involvement is to provide information about the development and its
likely impacts. Lack of information, or misinformation about the nature of a proposed
development, prevents adequate stakeholder involvement, and can cause resentment and criticism
of the project. Another objective of stakeholder involvement is to identify issues that concern local
stakeholders and other interest groups. These issues are often not necessarily the same as those of
concern to the proponent or ESIA practitioner. Stakeholder involvement should thus seek to
establish two-way dialogue and flow of information

8.2. Purpose of Public Involvement

The general aim of public participation is to enable project or programme success. An essential
precondition for the success of any project is the public appropriation and support. This activity
should be carefully planned and organized.

When a decision needs to be taken for a plan such as building a harbor, a factory or developing
tourism all options should be discussed openly within administration and in public to weigh their
benefits against each other and to discover synergies.

8.3. Typology and Level of Public Involvement

There are Typology of participation in the project activities and some of them are stated as follows:

1. Passive participation: People participate by being told what is going to happen or has already
happened, often based on unilateral announcements.

2. Participation in information giving: People participate by answering questions posed by

extractive investigators using questionnaire surveys or similar approaches.

3. Participation by consultation: People participate by being consulted, and external people listen
to views. These external professionals define both problems and solutions, and may modify these
in the light of people’s responses.

4. Participation for material incentives: People participate by providing resources, for example
labor, in return for food, cash or other material incentives.

5. Functional participation: People participate by forming groups to meet predetermined

objectives related to the project, which can involve the development or promotion of externally

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initiated social organization. Such involvement tends to occur after major decisions have been
made. The institutions tend to be dependent on external initiators and facilitators, but may become
self-dependent.

6. Interactive: participation People participate in joint analysis, which leads to action plans and
the formation of new local institutions or the strengthening of existing ones. These groups exert
influence over local decisions, and so people have a stake in maintaining structures or practices.

7. Self-Mobilization: People participate by taking initiatives independent of external institutions

to change systems. They may develop contacts with external institutions for the resources and
technical advice they need, but retain control over how resources are used.

The Level of Participation

There are types Participation levels by the mode of communication and degree of public influence
on decision-making

Level 1: Information

Telling people about your project or service and decisions.

Key points: provide information and inform people about your service

Communication mode: one-way communication

Level of public influence: no

Techniques: pass on information

Examples: newsletters, websites, project introduction, brochures

Level 2: Consultation

Asking for public opinions and ideas, making adjustments possibly and decisions according to
their feedback.

Key points: provide information, inform people, and obtain feedback about your service

Communication mode: two-way communication

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Level of public influence: limited

Techniques: ask and listen to the public, take their voice in decisions

Examples: surveys, message board, interviews, suggestion boxes

Level 3: Collaboration

Sharing responsibilities with citizens, working together, and making decisions collaboratively.

Key points: provide information, inform people, obtain feedback about your service, and involve
them in decision-making

Communication mode: dialogue-based communication.

Level of public influence: moderate.

Techniques: organize events, distribute tasks, and make decisions together.

Examples: forums, mapping, idea-collection and voting, education events, volunteer activities

Level 4: Empowerment

Giving the full managerial power of decision-making to the public.

Key points: provide information, inform people, obtain feedback about your service, citizens
make decisions, and you implement their decisions.

Communication mode: dialogue-based communication.

Level of public influence: full control.

Techniques: organize events for citizens, place the full decision-making power in their hands, and
implement what they have decided.

Examples: citizen proposals, community-run committees.

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8.4. Methods of Public Involvement

The proponent/consultant should establish a list of interested and affected parties as well as
developing methods of notifying the proposal. Consultation with the public should be a two - way
process, in which information about the proposals disseminated and useful local/information and
opinions received. The consultation process should record the fears, interests and aspirations of
the community, so that these can be addressed in the subsequent ESIA study. Public participation
or involvement methodologies may include:

• Public meetings • Newspaper advertisements

• Workshops • Surveys, interviews and questionnaires
• Advisory groups
Whatever methodology, of public involvement is selected should be designed to suit the situations.
It should provide the means of obtaining the views of the interested or affected parties.

8.5. Role of Public Involvement in Stages of the ESIA process

Public participation is a cornerstone of responsible democratic governance and a fundamental

prerequisite to achieve sustainable development. It moves beyond traditional methods of public
consultations by creating opportunities for the open exchange of ideas, transparency, mutual
learning, and informed and representative decision-making processes.

Benefits of Public Participation

Increases Accountability
Public participation can contribute to an accounting of the social, economic, and environmental
impacts of project process and of how the costs and benefits affect different segments of society.
Therefore, public participation helps to ensure that stakeholders are accountable for their actions
and responsive to public interests. By linking the public with decision-makers, citizen confidence
in and support of project process is strengthened.

Improves Process Quality

Meaningful public participation allows officials to be better informed of different opinions and
concerns and ensures that policies and international agreements are more robust because they have
been tested through a comprehensive process of review and revision before being approved. Public

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participation brings not only additional skills, knowledge, concerns, and ideas to the table, but also
solutions that might not have otherwise arisen.

Manages Social Conflicts

Public participation can alleviate social conflicts, by bringing different stakeholders and interest
groups to the same table to assess the impacts of project process. Investment in public participation
at an early stage of the impact assessment can minimize both the number and the magnitude of
social conflicts arising over the course of the implementation of the project process.

Safeguards against Externalities

Active public participation can identify environmental and other externalities that might otherwise
be overlooked. By paying attention to the impact assessment of project process in advance, public
scrutiny can prevent future problems from arising.

Enhances Process Legitimacy

Meaningful public participation in the impact assessment of project policy and international
agreements legitimize the project process. Without significant public participation, citizens may
feel manipulated and suspicious, which undermines an effective dialogue and can create distrust.

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