Lecture 3

• Legislative and Institutional context Of

EIA in Ethiopia

• EIA Process and Methodologies

pril 1/2015 1
A. Legislative context Of
EIA
1. The 1994 Constitution of Ethiopia
2. The Conservation Strategy and the
environmental Policy of Ethiopia
3. Environmental protection laws

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A. Legislative context
1. The 1994 Constitution of Ethiopia
• The first stage is marked by incorporation of environmental issues into the supreme law of the
country. The 1994 Constitution of Ethiopia under Articles 43, 44 and 92 proclaims the following:

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

Article 44: Environmental Rights, all citizens are entitled to:

• live in a clean and healthy environment,
• Compensation, including relocation with adequate state assistance.

Article 92: Environmental objectives it is declared that,

• Government shall endeavor to ensure that all Ethiopians live in a clean and healthy environment

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A. Legislative context…
2. The Conservation Strategy and the environmental
Policy of Ethiopia

• Other National Policies Relevant to the Environment

include:
– Agricultural Development Led Industrialization

– Federal Water Resources Policy

– Federal Energy Policy

– Draft Industrial Environmental Policy and Strategy

– Industrial Sector Strategy

– Urban policy of Ethiopia

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A. Legislative context…
Environmental Policy of Ethiopia

• The overall Environmental policy goal

– To improve and enhance the health and quality of

life of all citizens and to promote sustainable social
and economic development through the sound
management and use of natural, human-made and
cultural resources and the environment as a whole
so as to meet the needs of the present generation
without compromising the ability of future
generations to meet their own needs.

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A. Legislative context…
Contents of Environmental policy of Ethiopia:
The Policy is divided into 10 sectoral and 10 cross-sectoral issues.
I. The Resource Base and the Need for a Policy
– The natural Resource base and the rural environment
– The urban Environment
– Natural and cultural heritage
– The need for a policy on natural resources and the environment

II. The Policy Goal Objectives and Guiding Principles

– The overall policy goal
– Specific policy objectives
– The key guiding principles

III. Sectoral Environmental Policies

– Soil husbandry and sustainable agriculture
– Forest, woodland and tree resources
– Genetic, species and ecosystem biodiversity
– Water resources
– Energy resource
– Mineral resources
– Urban environment and environmental health
– Control of hazardous materials and pollution from industrial waste
– Atmospheric pollution and climate change
– Cultural and natural heritage

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A. Legislative context…
Contents of Environmental Policy of Ethiopia …
IV. Cross-Sectoral Environmental Policies
– Population and the environment
– Community participation and the environment
– Tenure and access rights to land and natural resources
– Land use plan
– Social and gender issues
– Environmental economics (Environmental management,
Environmental Engineering)
– Environmental information system
– Environmental research
– Environmental impact assessment (auditing)
– Environmental education and awareness
V. Policy Implementation
– Institutional framework, responsibilities and mandates
– Legislative framework
– Monitoring, evaluation and policy review

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 A. Legislative context…
3. Environmental protection laws

• Policies are of a framework nature and thus they cannot implement themselves. They need
the formulation and implementation of laws, standards and guidelines as well as
institutional arrangement.

• Therefore, Formulation of environmental protection laws is very important to reach the

objectives fixed by
– the Constitution and
– the Environmental Policy as well as
– the environmental Conservation Strategy of Ethiopia

• Federal Environmental Protection Laws include:

i. Environmental Protection Organs Establishment Proclamation (Proclamation No. 295/2002),
ii. Environmental Impact Assessment Proclamation (Proclamation No. 299/2002),
iii. Environmental Pollution Control Proclamation (Proclamation No. 300/2002),
iv. Solid waste management proclamation
v. Draft Industrial Pollution Prevention and Control Regulation,
vi. Draft Industrial Environmental Policy and Strategy,
vii. Industrial Sector Strategy,
viii.Proclamation 2/01/1981 for the control of air pollution
ix. Proclamation 217/1981 for the control of water pollution
x. Proclamation 94/1994 legislation on Forest Conservation
xi. Legal Notice No. 445 of 1970 on Wildlife Conservation
xii. Special Decree No.20/1990 on Pesticide Control
xiii.Proclamation No. 137/1998 on Pesticide control
xiv.Plant Quarantine Council of Minister’s Regulation 4/1992
xv. Proclamation No. 52/1993 Mining Proclamation
xvi.Regulation No.182/1994 Law on Mining and energy operations
Only those laws which have direct significance to environmental protection are discussed here. 8
 A. Legislative context…
I. Proclamation on the establishment of
environmental protection organs
(Proclamation No. 295/2002):

• The main aim of the law is to establish a system that

fosters coordinated but differentiated responsibilities
among environmental protection agencies at federal and
regional levels so as to foster sustainable use of
environmental resources, thereby avoiding possible
conflicts of interests and duplication of efforts.

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A. Legislative context…
II. Environmental impact assessment proclamation
(Proclamation No. 299/2002):

• Environmental impact assessment is used to predict and manage the

environmental effects that a proposed development activity might
entail and thus helps to bring about intended development.

• The law is prepared to facilitate the implementation of the

environmental rights and objectives provided by the Constitution and
the maximization of their socio-economic benefits by predicting and
managing the environmental effects which a proposed development
activity or public instruments might entail prior to their
implementation.

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A. Legislative context…
III. Environmental pollution control proclamation
(Proclamation No. 300/2002):

• The law recognizes the fact that some social and economic
development endeavors may inflict environmental harm that
could make the endeavors counter-productive.

• To this end the law aims to eliminate or, when not possible, to
mitigate pollution as an undesirable consequence of social and
economic development activities.

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A. Legislative context…
IV. Solid Waste Management Proclamation

Objective of the Proclamation

• To enhance at all levels capacities to prevent the possible

adverse impacts while creating economically and socially
beneficial assets out of solid waste.

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A. Legislative context…
IV. Solid Waste Management Proclamation…

General obligations of Urban Administrations

• Urban administrations shall create enabling conditions to

promote investment on the provision of sold waste management
services

• Any person shall obtain a permit from the concerned body of an

urban administration prior to his engagement in the collection,
transportation, use or disposal of solid waste

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A. Legislative context…
IV. Solid Waste Management Proclamation…

Inter-Regional Movement of Sold Wastes

• Each Regional State shall keep the shipment of solid waste to

other regions for final disposal at the minimum possible.

• Regional States may require any transit of solid waste through their
region to be packaged and transported in conformity with the
directives and standards issued by the concerned environmental
agency.

• Solid waste may be transported from one Regional State or urban

administration to another Regional State or urban Administration
only if the recipient Regional State or urban administration has
notified the sender in writing of its capacity to recycle or dispose of it
in an environmentally sound manner.

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 A. Legislative context…
Environmental component of the Urban policy of Ethiopia

The rationale for Development of Environmental component of the Urban policy

of Ethiopia

• Lack of Urban Green and Recreational areas

• Lack of proper waste management
• Pollution problem
• Heavy pollution caused by dilapidated housing conditions, informal
settlement, and sub standard new housing construction

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 A. Legislative context…
Ethiopia has adopted and ratified several international
conventions and agreements related to the environment.
The major ones are:
International conventions signed and/or ratified by Ethiopia
1. The world Heritage convention
2. Convention on International Trade in Endangered Species of Wild Fauna
and Flora (CITES)
3. Vienna convention for the protection of the ozone layer
4. Montreal Protocol on substances that deplete the ozone layer
(implementing the 1985 Vienna convention for the protection of the ozone
layer).
5. Basal convention on the control of transboundary movements of hazardous
waste and its disposal
6. 1991 Bamako convention on the ban of the import into Africa and the
control of the transboundary movement and management of hazardous
waste within Africa.
7. UN framework convention on climate change (UNFCCC)
8. The convention on biological diversity
9. Un convention to combat desertification
10. Stockholm Convention on Persistent Organic pollutants (POPs) - dirty
dozen
11. The Rotterdam Convention on the Prior Informed Consent Procedure for
Certain Hazardous Chemicals and Pesticides in International Trade;
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A. Legislative context…

The Basel Convention

• The main objective

– to control and regulate the transboundary movement

of hazardous waste.

• The Bamako Convention of 1991 plays a similar role at

the level of the African continent.

• Ethiopia has ratified the Convention by Proclamation No.

192/2000.

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 B. Institutional context
The administrative arrangements and the major role players in
implementing EIA process

• Defining the roles and responsibilities of each party in EA process

would enable to harmonize the various interests and foster cooperation
in a manner that averts duplication of efforts and promote efficiency.

• EA involves all members of society. But, the different actors are

categorized into the following five major groups:

– Competent agency
– Proponent
– Consultant
– Interested and affected parties (IAPs)
– Licensing Agency

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B. Institutional context
– Competent agency
• Either EPA or Regional Environmental Body or sectoral units that are
mandated by a proclamation

– Proponent
• is any person or organization that initiates a project, policy or program

– Consultant
• individual or institution having qualified professional that can
undertake the EA, and meets the requirements specified under the
relevant law
– Interested and affected parties (IAPs)
• are individuals or groups concerned with or affected by the proposed
activity or its consequences.
– Licensing Agency
• Licensing Agency is any organ of government empowered by law to
issue an investment permit, trade or operating license or work permit
or register business organization

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B. Institutional context
Competent Agency

• In Ethiopia, a Competent Agency is either EPA or

Regional Environmental Body or sectoral units that are
mandated by a proclamation provided for the
establishment of Environmental Protection Organs
(Proc. no.295/2002) and Environmental Impact
Assessment Proclamation (Proc.no.299/2002) and other
relevant laws to oversee and facilitate the
implementation or administration of EA.

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 B. Institutional context
Competent Agency ….
Regional Environmental Agencies: In the Environmental Impact
Assessment Process the regional environmental agencies or their equivalent
Competent Authority are responsible to:

• Adopt and interpret federal level EA policies and systems or requirements in

line with their respective local realities

• Establish a system for EA of public and private projects, as well as social and
economic development policies, strategies, laws, or programs of regional level
functions

• Inform EPA about malpractices that affect the sustainability of the

environment regarding EA and cooperate with EPA in compliant
investigations

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The EIA process

Chapter four
 The EIA process

Phase II:
Phase I:
Full EIA study
Initial inquiries
(if needed)

•Understand • Scope
proposed activities • Evaluate baseline situation
• Identify and choose alternatives
•Screen • Identify and characterize potential
•Conduct preliminary impacts of proposed activity and
assessment (if each alternative
needed) • Develop mitigation and monitoring
• Communicate and document

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 Phase 1 of the EIA Process
Understand Screen the Conduct a
Phase I Phase II
proposed activity Preliminary
activity Assessment
Based on the ACTIVITY IS SIGNIFICANT BEGIN
Why is the nature of the OF MODERATE A rapid, ADVERSE
FULL EIA
activity being activity what OR UNKNOWN simplified EIA IMPACTS
RISK POSSIBLE STUDY
proposed? level of study using
environmental simple tools SIGNIFICANT
What is being review is ADVERSE
proposed? indicated? IMPACTS
VERY UNLIKELY

ACTIVITY IS LOW
RISK (Of its nature, STOP
very unlikely to have the EIA
significant adverse process
impacts)

ACTIVITY IS
HIGH RISK (Of its
nature, likely to have
significant adverse
impacts)

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 BASIC EIA PROCESS
Prescreening

Screening

Scoping

Reviewing

  
Monitoring

Note: Each will be discussed in next slides 25

 Generalized EIA Process Flowchart
Proposal
identification

EIA required Screening No EIA

Initial
Scoping environmental
examination

Impact analysis

Mitigation
and impact
management
*Public involvement
Resubmit EIA report
*Public involvement typically
occurs at these points.
It may also occur at any
Redesign Review other stage of the EIA Process

Not approved Decision-making

Approved
Information from this process
contributes to effective EIA in the future
Implementation
and post-EIA
monitoring
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 The EIA process comprises
Project screening - to decide if and at what level
EIA should be applied

Scoping - to identify the important issues and

prepare terms of reference

Impact analysis - to predict the effects of a

proposal and evaluate their significance

Mitigation - to establish measures to prevent,

reduce or compensate for impacts
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Reporting - to prepare the information necessary for
decision-making

Review - to check the quality of the EIA report

Decision-making - to approve (or reject) the proposal and

set conditions

Follow up – to monitor, manage and audit the impacts of

project implementation

Public involvement - to inform and consult with

stakeholders
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1. SCREENING

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What is screening?

 The screening process determines:

 It determines whether EIA is needed or not

for a particular project

 What level of EIA is required

 not required
 partial or
 full
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 Screening outcomes

 Full or comprehensive EIA required

 Limited EIA required

 No EIA required

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 Screening tools (methods)

 legal/policy definition

 Project lists:

 Inclusive — listed projects must undergo EIA

 Exclusive — listed projects exempted from EIA

 Case-by-case examinations:

 determine whether projects may have significant environmental

effects

 if so, project should undergo EIA

 Combination of above
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Typical proposals requiring a full EIA
 Dams and reservoirs

 Resettlement and urban development

 Infrastructure (e.g. transport and sanitation)

 Industrial facilities (e.g. manufacturing plants)

 Energy and minerals extraction (e.g. oil and gas,

coal)

 Waste management and disposal of hazardous and

toxic materials

 Energy development (power stations, transmission

lines, pipelines) 33
An Initial Environmental Examination (IEE)

Describes the proposal

Considers alternatives

Addresses the concerns of the community

Identifies potential environmental effects

Establishes mitigation measures

Includes monitoring and follow up (as necessary)

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Recommended elements for effective screening in
Ethiopia
 Mandatory application of EIA should be based on the list
established in Annex I of the EIA Guideline Document

 Case-by-case screening should be applied, based on criteria

defined in the Procedural EIA Guideline

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2. SCOPING

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 What is scoping?
 An early stage of the EIA process

 Begins once screening is completed

 Identifies key issues and impacts to

be considered

 Establishes the content and scope of an

EIA report

 It is the most important step in EIA which lays the

foundation of an effective process, saves time and
money, and reduces conflict 37
Emphasis to be given during scoping phase

Early step:- begins once screening completed

Open, interactive process: – involves the public

Lays the foundation of an EIA: – by identifying

 Boundaries of the EIA study

 The information necessary for decision-making

 Key issues and significant impacts to be considered

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 Eleandments of scoping
Define the parameters of the EIA study

Identify and inform stakeholders

Identify stakeholder concerns

Agree on the means of public involvement and methods of

analysis

Identify the main issues and impacts to be studied

Consider feasible and practical alternatives

Establish ‘Terms of Reference’ for the EIA

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 Consideration of alternatives

Demand alternatives

Supply or input alternatives

Activity alternatives

Location alternatives

Process alternatives

Scheduling alternatives 40
 Who should be involved in scoping?
o Proponent

o EIA consultant

o Supervisory authority for EIA

o Other responsible agencies

o Affected public

o Interested public
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 EIA ‘ToR’ to be included in outline

Study area and boundaries

Alternatives to be examined

Impacts and issues to be studied

Approach to be taken

Requirements for mitigation and monitoring

Information and data to be included in the EIA report

Timetable and requirements for completion of the EIA process

Opportunities for wider public involvement

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 Screening and scoping compared

Screening

Determines the requirement for EIA

Establishes the level of review necessary

Scoping

Identifies the key issues and impacts

Establishes the Terms of Reference

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3. Impact Analysis/Assessment

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3. Impact Analysis/Assessment

1. Identification of project action and possible key

Environmental effects

2. Measurement and prediction of possible effects

3. Impact Evaluation

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 4. Environmental Management Plan

 A project's environmental management plan (EMP)

consists of the set of mitigation, monitoring, and
institutional measures to be taken during implementation
and operation to eliminate adverse environmental
and social impacts, offset them, or reduce them to
acceptable levels
 5. EIS presentation and EIS Contents

• EIS presentation is the documentation of the

information and estimates of impacts derived from
the various steps in the process. It is a vital step in
the process. (If the report is not done properly,
much good work in the EIA may be negated)

• The non-technical summary is an important

element in the documentation; EIA can be complex
and the summary can help to improve
communication with the various parties involved
6. MITIGATION

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 Purpose of mitigation
• Defined as “measures envisaged in order to avoid, reduce and, if
possible remedy significant adverse effects”.

• A measure before any problem/impact occurs

Find better ways of doing things

To avoid, minimise or remedy adverse impacts

To ensure that residual impacts are within acceptable levels

To enhance environmental and social benefits

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 Framework for impact mitigation

Common (desirable)
Alternative sites or
Avoidance technology to
eliminate habitat loss

Actions during
design, construction and
Mitigation operation to minimise
or eliminate habitat
loss

Used as a last resort

Compensation to of fset habitat loss
Rare (undesirable)

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Impact avoidance can be achieved by:
 Not undertaking certain projects or elements

 Avoiding environmentally sensitive areas

 Use of measures to prevent impacts from occurring

 Site remediation bonds

 Resettlement plans

 In kind measures and offsets

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Impact compensation can be achieved by

Rehabilitation of resource or environmental components

Restoration of the site to its previous state

Replacement of the environmental values lost at another

location

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6. REVIEW

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 Goals of an EIA review

 The purpose of the review process is to:

 Establish if the information in an EIA report is sufficient for

decision-making

 Key objectives are to:

 Review the quality of the EIA report.

 Take public comments into account.

 Determine if the information is sufficient

 Identify any deficiencies to be corrected

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Considerations during an EIA review
• The review complies with terms of reference for the EIA Report

• Information is correct and technically sound

• Public comments are taken into account

• There is a complete and satisfactory statement of key findings

• Information is clear and understandable.

• Information is sufficient for decision-making

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 EIA review types
 Internal review

Features:

 Low operating costs

 Can lack rigour and transparency

 Often no documentation of result

 External review
Features:

 Independent, expert check on EIA quality

 More rigorous and transparent

 Report on sufficiency or deficiency

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 Formal Review of EIA Reports
7- 20 working days to declare if the EIA Report meets the
requirements of the laws or whether it needs additional
information

Series Review Guidelines are prepared to assist Environmental

Protection Agencies in considering the adequacy of EIA reports

The EIA Report is checked against the terms established during

scoping, which includes public participation
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7. MONITORING

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Why is monitoring needed?
 Monitoring is an essential but neglected
component of EIA implementation and
follow up.

 Other components include:

 Supervision, auditing and ex-post evaluation.

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 Aims of monitoring

Ensure the implementation of conditions attached to a decision

Verify that impacts are as predicted or permitted

Confirm that mitigation measures are working as expected

Take action to manage any unforeseen changes

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When is monitoring needed?

 Monitoring and auditing should be undertaken when:

 Potential impacts are significant or uncertain; and/or

 Mitigation measures are untried and outcomes

uncertain

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Design considerations of EIA monitoring
What is required?

 Identify the scope and components.

Who will carry out the activities?

 Specify roles and responsibilities.

How will these be implemented?

 Allocate resources.

 Define procedures and arrangements.

Who can access outcomes of monitoring?

 Only decision-maker and the wider public may access monitoring

outcomes. 62
Public Participation

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 Public participation:- is the direct involvement/consultation of
the public in any development activities, programs or policies

 This is to inform the public about these activities and include their
ideas/knowledge in those development activities, programs or
policies.

Purpose and objectives of public involvement

• Informing stakeholders

• Gaining their views, concerns and values

• Taking account of public inputs in decision making

• Influencing project design

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•
 Key stakeholders
 Local people affected by a proposal/activity, policy, program

 Proponent and project beneficiaries

 Government agencies

 NGOs

 Others, e.g. donors, the private sector, academics

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Public involvement in key stages of the EIA
process
•Screening

•determining the need for, and level of EIA

• Scoping
•identifying the key issues and alternatives
• Impact analysis
•identifying the significant impacts and mitigating measures
• Review
•commenting on/responding to the EIA report
•Implementation and monitoring
•checking EIA follow up

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Principles for successful application of
public involvement techniques
Provide the right information

Allow sufficient time to review and respond

Provide appropriate opportunities/means for stakeholder

involvement

Respond issues and concerns raised

Feed back the results of public input

choose venues and times of events to suit stakeholders

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Principles for minimising conflict
 involve all stakeholders

 establish communication channels

 describe the proposal & its objectives

 listen to the concerns & interests of affected people

 treat people fairly & impartially

 be flexible

 mitigate impacts & compensate for loss and damage

 acknowledge concerns & provide feed-back.

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