1

Environmental Impact
Assessment (EIA)

Processes and Procedure

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Definitions of EIA
• Environmental impact assessment (EIA) is a
systematic procedure for enabling the possible
environmental impacts of developments to be
considered before a decision is made on whether
the project should be given approval to proceed.

 “a process that assesses the impacts of a planned

activity on the environment – physical, social and
economic – providing decision-makers with an
indication of the likely consequences of the
development actions”.
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• Therefore, as an integral component of the

planning process, EIA enables “potentially negative
impacts to be mitigated (and positive impacts to
be maximized) early in the design stages
 EIA is a tool used to guide decision-making in

ensuring that environmental as well as technical

and economic considerations are taken into
account,
 Project and site specific, thus, leading to it being

highly contextual,
 A process with cyclical and simultaneously linked

stages,
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• The legal, methodological and procedural

foundations of EIA were established in 1970 by the
enactment of the National Environmental Policy Act
(NEPA) in the USA

• .At the international level, lending banks and

bilateral aid agencies have EIA procedures that
apply to borrowing and recipient countries.
• Most developing counties have also embraced and
are in the process of formalizing EIA through
legislation.
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Objectives of EIA
 To identify negative environmental impacts that
may be expected to occur due to the
implementation of a development activity.
 To determine the significance of the impacts.
 To incorporate appropriate mitigation into the
development action.
 To identify the environmental benefits and cost of
the development activity or project as well as its
economic and environmental acceptability to the
community.
 To identify critical environmental problems which
require further studies and/or monitoring
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Objectives cont--
 To examine and select the optimal alternative from
the various relevant developmental options available.

 To involve the public in decision-making process

related to good environmental management and
stewardship.

 To assist all parties involved in development and

environmental affairs understand their roles,
responsibilities and overall relationships with one
another.
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EIA Terminology
Environmental Impact Statement (EIS): This is a
report/document with the results of an EIA study.
The report is also sometimes referred to as the
Environmental Statement (ES) or Impact Statement
(IS) or Environmental Impact Reports (EIR).
Environmental Inventory (EI): This is a description of
the environment of an area where a specific
proposed activity is being considered. Its major
aim is to evaluate potential impacts of a proposed
development. Other terms similar in nature include
Environmental Baseline Study (EBS) or
Environmental Setting (ES).
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• Hazard: a potential to damage/harm to people.

• Residual environmental impact: Potential impact
remaining after mitigatory measures have been
adopted into a development activity.

• Environmental audit means the systematic

documentation and periodic objective evaluation of
the protection and management of the environment;

• Decommissioning: closure of operations after the

project’s life span.
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The origin of EIA

• Before the First World War, rapid industrialization and
urbanization in western countries was causing rapid
loss of natural resources.
• This continued to the period after the Second World
War giving rise to concerns for pollution, quality of life
and environmental stress
• In early 60s, there was a global consensus that
human activities were affecting the environment,
resources, raw materials and people.

• As a result of this, pressure groups formed with the

aim of getting a tool that can be used to safeguard
the environment in any development.
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• The USA decided to respond to these issues and

established a National Environmental Policy Act in
1970 to consider its goal in terms of environmental
protection.
• The USA became the first country to enact legislation
on EIA. This was the first time that EIA became the
official tool to be used to protect the environment.
• The United Nations Conference on the Environment in
Stockholm in 1972 and subsequent conventions
formalized EIA.
• At present, all developed countries have
environmental laws whereas most of the developing
countries are still adopting it.
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EIA in developing Countries

• Until recently, EIA as a new concept was not readily
understood and accepted as a tool in developing
countries.
• Developers resisted and argued that it was anti
development because laws and policies supporting
it dictated that lands developments causing
negative impacts should be discontinued.
• Thus, EIA was considered just another bureaucratic
stumbling block in the path of development
• Secondly, it was conceived as a sinister means by
which industrialized nations intend to keep
developing countries from breaking the vicious
cycle of poverty
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• Thirdly, the experts in the developing countries were

foreigners who were viewed as agents of colonization.
• The need for EIAs has become increasingly important
and is now a statutory requirement in many
developing countries.
• Historically, the choice of new projects was primarily
based on one criterion:
economic viability.
Today, a second and a third choice criteria,
environmental and social impact, have become a
strong yardstick,
• This led to the development of the triple bottom-line
approach (economic, environmental and social) to
project viability
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EIA legal, policy & institutional

framework
• EIA takes place within the legal and/or policy and
institutional frameworks established by individual
countries and international agencies.
• EIA provision and procedure can contribute to
successful implementation of project if these
frameworks are adhered to.
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EIA in international environmental law

context
• Key Multilateral Environmental Agreements (MEAs)
have seen review and improvements in EIA legal,
policy and institutional arrangements.
• These key agreements include the following;
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1.Convention on Environmental Impact Assessment

in a Trans-boundary Context (Espoo, 1991).
• This is the first multi-lateral EIA treaty. It looks at
EIA in a trans-boundary context and entered into
force in 1997.
• The Espoo Convention sets out the obligations of
Parties to assess the environmental impact of
certain activities at an early stage of planning.

• It also lays down the general obligation of states to

notify and consult each other on all major projects
under consideration that are likely to have a
significant adverse environmental impact across
borders.
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• Apart from stipulating responsibility of signatory

countries with regards to proposals that have trans-
boundary impacts,

• it describes the principles, provisions, procedures to

be followed and list of activities, contents of
documentation and criteria of significance that
apply.
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2.Rio Declaration (1992)

• Principle 17 of Rio Declaration on Environment and
Development calls for use of EIA as a national
decision making instrument to be used in assessing
whether proposed activities are likely to have
significant adverse impact on the environment.

• It also emphasized the role of competent national

authority in the decision making process.
• The other principle (15) of this declaration that is
relevant to EIA practice is the application of the
precautionary principle.
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Agenda 21, which was also as a result of this

convention, proposes that governments should;

“Promote the development of appropriate

methodologies for making integrated energy,
environment and economic policy decisions for
sustainable development, inter alia, through
environmental impact assessment (9.12(b))

Develop, improve and apply environmental impacts

assessment, to foster sustainable industrial
development (9.18)

Carry out investment analysis and feasibility studies

including environmental assessments for
establishing forest based processing enterprises.
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 Introduce appropriate EIA procedures for proposed projects

likely to have significant impacts upon biological diversity,
providing for suitable information to be made widely
• Agenda 21 also sets the framework within which countries
can establish their national environmental laws under the
following agreements;

a. UN Convention on climate change and Biological Diversity
(1992) cited EIA as an implementing mechanism of these
conventions (article 4 and 14 respectively).
b. Doha Ministerial Declaration encourages countries to
share expertise and experience with members wishing to
perform environmental reviews at the national level
(November, 2001).
c. United Nations Conference on the Environment in
Stockholm 1972.
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National legislations
• National legislation may include a statutory
requirement for an EIA to be done in a prescribed
manner for specific development activities.
• Most legislation lists projects for which EIA is a
mandatory requirement.
• The statutory requirement to carry out an EIA for
specific projects will, for example, require
registered experts to carry out the study, the
authority with the help of lead agencies and
technical committees to review the EIA and
approve the project.
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• Other national legal requirements that govern the

use and protection of resources like water,
fisheries, forests, wildlife, public health etc must
be identified and complied with during an EIA.
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Institutional framework
• EIA institutional systems vary from country-to-
country and reflecting different types of governance.
• In some countries, either the Ministry of Environment
or a designated authority or Planning Agency
administers EIA.
• Environmental issues also involve many disciplines
and many government bodies with general
environmental and resource management laws

• Data will therefore have to be collected and collated

from a wide range of technical ministries, other
government authorities and parastatals where
applicable.
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EIA guiding principles

• International Association for Impact Assessment
(IAIA, 1999) and others have developed guiding
principles for EIA/IA and these include;
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• Participative: The process should provide appropriate

opportunities to inform and involve the interested
and affected publics and incorporate their input in
decision-making.
• Transparency: Assessment process, outcomes &
decisions should be open and accessible.
• Certainty: The process and timing of the assessment
should be agreed in advanced and followed by all
participants.
• Accountability: The decision-makers and project
proponents are responsible to all parties for their
action and decisions under the assessment process.
• Integrated - the process should address the
interrelationships of social, economic and
biophysical aspects
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• Credibility: Assessment is undertaken with

professionalism and objectivity.
• Cost-effectiveness: The assessment process and its
outcomes will ensure environmental protection at the
least cost to the society.
• Practical - the process should result practical outputs,
which can be implemented by proponent.
• Relevant - the process should focus information that
is relevant for development planning and decision-
making.
• Focused - the process should concentrate on
significant environmental effects and key issues that
need to be taken into account in making decisions.
• Interdisciplinary - the process should ensure that the
appropriate techniques and experts in the relevant
disciplines are employed, including use of traditional
knowledge as relevant.
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Legislative provisions for EIA in

Zimbabwe
 Established under Section XI of Environmental
Management Act – and section 2 have listed or
prescribed projects –
 Under Sec 98 the developer has to submit a
prospectus to the DG
 A prospectus is some form of a project initial EIA
or brief upon which the DG can make a decision
regarding EIA
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Section 99 on Contents of an EIA

Statement
An environmental impact assessment report on a
project shall:
a. give a detailed description of the project and the
activities to be undertaken in implementing it;
and
b. state the reasons for selecting the proposed site
of the project; and
c. give a detailed description of the likely impact the
project may have on the environment or any
segment thereof, covering the direct, indirect,
cumulative, short-term and long-term effects of
the project; and
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d. specify the measures proposed for eliminating,

reducing or mitigating any anticipated adverse effects
the project may have on the environment, identifying
ways of monitoring and managing the environmental
effects of the project; and
An environmental impact assessment report on a project
shall:
e. indicate whether the environment of any other country
is likely to be affected by the project and any
measures to be taken to minimise any damage to that
environment;
f. where applicable, indicate how the developer
proposes to integrate biological diversity in the project;
g. describe concisely the methodology used by the
developer to compile the environmental impact
assessment report.
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Legislative provisions for EIA statement

review process
Sec 100 of EMA stipulates that:
1) Within sixty days after receiving an environmental
impact assessment report, the Director-General
shall:
consider the report and reach a decision on it in
terms of this section; and
cause the developer to be notified of his decision;
and, if he fails to do so, the project shall be deemed
to have been approved.
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(2) Upon considering an environmental impact

assessment report, the DG may do any of the
following:

approve the project to which the EIA report relates;

require the developer to conduct a further EIA of
the whole or part of the project;
require the developer to supply such further
information or do such other thing as the DG
considers necessary or desirable
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3) In considering whether or not to approve a project

to which an EIA report relates, the DG:

shall take into account any likely impact of the

project on the environment and the actual impact of
any existing similar project on the environment;

shall have regard to the extent to which the project

complies with the National Plan and any applicable
local authority environmental management plan;

may consult any authority, organisation, community,

agency or person which or who, in his opinion, has an
interest in the project – Public participation
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4) On approval of a project, the DG shall issue to

the developer a certificate:

identifying the project;

stating the name and address of the developer
and, where the developer is a company, the
company’s registered office;
stating the date of issue of the certificate and the
date of its expiry;
setting out any conditions fixed by the DG in
terms of subsection (4); and
setting out such other matters as may be
prescribed.
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• A statement on the impact that a development

activity or proposal may have on the environment
may turn out to be merely a document for
obtaining a permit to implement the proposal

• As such the process of review (which also

involves the public) can minimise this shortfall

• The review process also provides checks and

balances on the genuineness of the involvement
of key stakeholders and the need to achieve
development that is sustainable.
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The general objectives from reviewing EIA

• To objectively evaluate the EIA report in relation to the
terms of reference of the study and the quality of the
findings obtained.

• To assess the views of all stakeholders on the findings.

• To enable decision-makers to arrive at final decisions on

how to proceed with implementing the proposal.

• To ensure strong commitment to the implementation of

recommendations
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Issues addressed in the review

include;
• Compliance with the ToR with which the study
was instituted to investigate the:
Impacts in their various forms and
Provide mitigatory measures

• Plausibility of methods used in gathering and

analysing data.

• Clarity in presentation of report (report structure

and layout).
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Final EIA Statement

• After review, the draft EIS is finalised to become a
manual for managing the environmental aspects of
the development activity.
• Usually, an Agreement/Letter of acceptance
between the development proponent and the EIA
authority is signed and bound together with the final
EIS.
• This agreement shows acceptance of the findings
and, more important, recommendations for the EIS
by the proponent, and a commitment to
implementation.
• Without such a commitment, the EIS may simply be
shelved and its recommendations ignored.
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In terms of Section 101:

1) A certificate issued by the DG in terms of Sec 100
shall be valid for two years from the date of its
issue:
 Provided that, for good cause shown, the Director-General
may extend the validity of a certificate for not more than
one year for a project that has been commenced within
the stipulated period but not yet completed.

2) The DG shall not extend the validity of a

certificate on a project that has not been
commenced within the stipulated period when the
validity of the certificate expires.
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Section 102
Establishes the Register of Certificates

1) The Director-General shall maintain a register of

certificates issued in terms of section one hundred, in
which he shall record, in relation to each certificate:
the project in respect of which the certificate was
issued; and
the developer to whom the certificate was issued; and
the certificate’s dates of issue and expiry; and
any conditions subject to which the certificate was
issued;
any amendment, suspension or cancellation of the
certificate; and
such other particulars as may be prescribed.
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2) The register kept in terms of subsection (1) shall

be open to inspection by members of the public at
all reasonable times at the Director-General’s
office, on payment of the prescribed fee, if any.
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Transfer of certificate under Sec 103

• A developer to whom a certificate has been issued
shall not assign, cede or otherwise transfer the
certificate to any other person without the prior
approval of the DG:

• Provided that if a developer to whom a certificate has been

issued dies or, in the case of a company, is placed in
liquidation, the certificate shall be deemed to have been
transferred to the executor of the developer’s estate or the
developer’s liquidator, as the case may be, and the DG’s
approval shall not be required for any such transfer
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Amendment of certificates Section 104

1) If, while a project is being implemented, the DG is

satisfied, on the basis of new evidence or any
report by the developer, that the project is likely to
be a source of pollution or otherwise to pose a
threat to the environment, the DG may:
cancel the certificate and order the preparation of a
new EIA report; or
amend the certificate or any conditions subject to
which it was issued; or
give such directions as considered necessary to
prevent or minimise the pollution or threat to the
environment, including;
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a. the methods of execution and planning of the

project;
b. works or actions required to eliminate, reduce or
mitigate the adverse effects of the project on the
environment;
c. research and monitoring programmes related to
the project;
d. periodic reports on the environmental impact of
the project.
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2) The DG may also suspend or cancel any

certificate if he is satisfied that the developer:
a. obtained the certificate on the basis of fraud or
negligent misrepresentation or any false or
misleading statement; or
b. has failed to comply with any condition imposed
on the issue of the certificate; or
c. has contravened other relevant sections
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Section 105
• Demands that developer informs DG if project not
implemented or changed
• Every developer to whom a certificate has been issued
shall inform the DG without delay:
if it becomes apparent that he will not be able to
implement the project before the certificate’s period of
validity expires; or
if there is any change in the project which is likely
materially to alter the project’s effect on the
environment; or
if it appears that the project may have an effect on the
environment that differs materially, in kind or degree,
from the effect outlined in the environmental impact
assessment report prepared for the project
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Section 106 0n Environmental Audits

1) DG, in consultation with such authorities as he
considers appropriate, shall carry out or cause to
be carried out periodic environmental audits of
any projects, including projects whose
implementation started before the fixed date, for
the purpose of ensuring that the their
implementation complies with the requirements
of this Act.
2) For the purposes of subsection (1), a developer
shall keep such records and submit such reports
to the DG as specified.
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Section 107
Under Sec 107 developers are called upon to be
good environmental stewards
1) Every developer shall take all reasonable
measures to prevent or, if prevention is not
practicable, to mitigate any undesirable effect on
the environment that may arise from the
implementation of his project.

2) A developer shall report to the DG without delay

any measures taken in terms of subsection (1),
unless the measures have already been described
in an EIA report or reported in terms of section
105 considered earlier.
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Section 108
Demands that EIA reports be inspected – during
implementation
• An EIA report shall be open for public inspection at
all reasonable times at the DG’s office, on the
payment of a prescribed fee, if any:

• Provided that no person shall use any information

contained therein for personal benefit except for
purposes of civil proceedings brought under this
Act or under any other law in a matter relating to
the protection and management of the
environment
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Monitoring Environmental Impacts

• Monitoring is also required to assess whether the
predicted impacts materialise, and what their
severity could be.

• The feedback from monitoring allows for

modifications in the activity and/ or appropriate
mitigation.

• Monitoring should be properly focused to:

Check for the occurrence of the most important
predicted environmental impacts
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Check whether the mitigation measures are

effective; and
Provide early warning about unexpected
environmental impacts.
It is, thus, vital to have an efficient decision-
making mechanism to implement corrective steps.
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Preparation of terms of reference (TOR)

• ToR sets out what is expected of a practitioner or a
consultant when carrying out an EIA.
• Usually drafted during the scoping phase
• ToR are set of specific guidelines applicable to a
single development project at a particular site.

• ToR include important environmental variables which

need detailed study, the degree of detail, the scope of
the study, budgeting, etc.

• There are no universal formats for terms of reference,

which will be suitable for every study. However, there
are general rules, which should be observed when
preparing ToR for the EIA.
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Suggested format of TOR

1. Introduction - Identification of the project to be
assessed and explanation of the executing
arrangements for conducting the Environmental
Impact Assessment.
2. Background Information - A description of the
major components of the proposed project, the
implementing agents, and a brief history of the
project and its current status.
3. Study Area - Specification of the boundaries of
the study area for assessment as well as any
adjacent or remote areas, which should be
considered with respect to the project.
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4. Scope of Work - Standard environmental impact

assessment techniques will be used including site
reconnaissance, literature review, desktop research,
field work, data analysis and interviews with
appropriate personnel, in order to satisfy the Terms
of Reference
• The following tasks will be performed:
Task 1: Description of the Proposed Project:
• A full description of the project and its existing
setting, using maps as appropriate.
• This is to include general layout, size, location,
physical characteristics, biological environment and
socio-cultural setting.
Task 2: Description of the Environment.
• Assemble, evaluate and present data on the relevant
characteristics of the study area.
• Information will include the following:
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Terrestrial Environment
Physical environment: geology, topography, soils
 Natural drainage features: surface drainage, flood
risk
Air quality: particulates and noise levels

Biological environment: forest/vegetation cover,

existing wildlife (flora and fauna), rare or endangered
species, sensitive habitats, species of commercial
importance, migratory path of birds, nuisance
species, pests and vectors

Socio-cultural environment: land use, traffic patterns,

proposed developments, public health issues,
demographics, employment and solid waste
management.
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Task 3: Legislative and Regulatory Considerations.

• A description will be given of the pertinent regulations,
standards and regulatory bodies governing environmental
quality, health and safety, protection of endangered species,
parks and protected areas, and land use control.

Task 4: Determination of Potential Impacts of the Proposed

Project.
• Impacts will be determined as significant positive or
negative, direct or indirect, short-term or long-term,
unavoidable or irreversible.
• Cumulative of the proposed development will also be
highlighted.
• Special emphasis will be placed on:
 Land use management
 Terrestrial ecology
Visual Resource
 Energy Transmission
 Air quality o Noise
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Task 5: Mitigation and Management of Negative

Impacts.
• Recommendations will be made for feasible and
cost-effective measures to prevent or reduce
significant negative impacts to acceptable levels.

Task 6: Recommendations for the development of

an Emergency Response Management Plan.
• Recommendations will be made for the
development of an Emergency Response Plan to
ensure that procedures are in place to handle any
emergency.
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Task 7: Recommendations for the development of a

Monitoring Plan.
• Recommendations will be made for the
development of a Monitoring Plan to ensure
implementation of the mitigation measures and
long-term minimization of negative environmental
impacts.

Task 8: Assist in Inter-Agency Coordination and Public

Participation. As, required by Law to assist in the
public participation/review process through
meetings with relevant governmental agencies, in
obtaining the views of civil society and participating
in a public consultation if required
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5. Report - the Environmental Impact Assessment report

will be concise and limited to the significant
environmental issues.
• The main text will focus on findings, conclusions and
recommended actions, supported by summaries of the
data collected and citations for any references used in
interpreting those data.
• The report will be organized according to, but not
necessarily be limited by, the outline below:
 Executive Summary
 Description of the Proposed Project
 Policy, Legal and Administrative Framework
 Description of the Environment
 Significant Environmental Impacts and Proposed
Mitigation Measures o
 Analysis of Alternative
 Recommendations for Monitoring Plan
 List of References
 Photographs, Maps and Plans as appropriate
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EIA study/compilation plan/proposal

• Printing or reproduction of the full EIA report:
provision of the budget for the reproduction of the
EIA report as well as the number of copies required
should be indicated; and
• Study team: expertise and specialists needed for
the proposed project study team should be
described.
• The need of foreign expertise, if necessary, should
be indicated.
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Time constraints
 EIA report: the time required for the EIA report to

be completed, eg., within 3-12 months;

 EIA study proposal: the deadline for the EIA

proposal to be submitted should be stated.

Budget
 Consultants to tender their budget

Other relevant information

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General contents of TOR

The ToR should commence with a brief description
of the program or project. This should include a plan
of the area that will be affected either indirectly or
directly.
The study should ensure that the consultants or
practitioners focus on the major issues and the most
serious likely impacts identified during scoping e.g.
air emission, waste water discharge etc.
The opportunities for enhancing any positive benefits
from the project should also be highlighted. This
component of ToR is usually submitted to designated
authority for scrutiny and approval.
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The ToR should contain explicit references to which

safeguard policies may be relevant and which legal
requirements should be applied.
The ToR should give an indication of the team
considered necessary for the study and a team
leader identified.
Depending on the scope of the study this may be
multi- disciplinary. However, as the team should not
be rigidly imposed on the consultant.
If international experts are doing the EIA, it is
important to make provision for local capacity
building in the ToR.
Apart from enabling in-country expertise to be built
up, this will promote more involvement and
understanding of the issues raised by the study.
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As most EIA studies are of relatively short duration,
this is probably best achieved through the
attachment of project proponent to the consultants
during the study or an insistence on the use of local
staff personnel for some of the tasks.
The expected date of commencement and time
limit should be given and consultants program of
work must be within the given time limit.

The budget limit should be given in the ToR. The

type of experts, and whether foreign or local, and
the duration of their inputs will usually be the
deciding cost factors although a large field survey
or measurement program with laboratory analysis
could significantly increase costs.
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Any assistance to be provided by the Client to reduce

costs should be clearly stated in the ToR.
Consultant payments proposal should be made and
tied to specific milestones e.g. the consultant will be
paid 20% of their fee upon receipt of draft report by
client etc.
Reporting requirements should be clearly stated and
should comply with local or international reporting
guidelines.
The format of EIS must be clear and the number of
copies in soft and hard must be stated.
ToR should make provision for the consultants to
improve the terms of reference in order to improve the
quality of EIA.
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ENVIRONMENTAL IMPACT
ASSESSMENT (EIA) PROCESS
• The first phase of an environmental assessment
is called an Initial Environmental Examination
(IEE) and the second is Environmental Impact
Studies (EIS) or simply detailed EIA.
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Initial Environmental Examination (IEE)

• IEE is carried out to determine whether potentially
adverse environmental effects are significant or
whether mitigation measures can be adopted to
reduce or eliminate these adverse effects.

• The IEE contains a brief statement of key

environmental issues, based on readily available
information, and is used in the early (pre-feasibility)
phase of project planning.

• The IEE also suggests whether in-depth studies are

needed.
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Environmental Impact Assessment (EIA)

Screening (EIA or No EIA needed)

Scoping (+ public participation)

Impact analysis, mitigation &

management plan

Draft Environmental Impact Report

Report review (regulatory body and the

public)

Decision (accept, reject or amend)

Final Environmental Impact Report

Implementation and decommissioning

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Screening phase
• EIA process kicks off with project screening.
• Screening is done to determine whether or not a
proposal should be subject to EIA and, if so, at what
level of detail.
• Guidelines for whether or not an EIA is required are
country specific depending on the laws or norms in
operation.
• Legislation often specifies the criteria for screening
and full EIA.
• Development banks also screen projects presented
for financing to decide whether an EIA is required
using their set criteria.
 70

• The output of the screening process is often a

document called an Initial Environmental
Examination or Evaluation (IEE)
• The main conclusion will be a classification of
the project according to its likely environmental
sensitivity.
• This will determine whether an EIA is needed and
if so, to what detail.
 71

Scoping phase
• The aim of EIA is not to carry out exhaustive studies
on all environmental impacts for all projects.
• Scoping is used to identify the key issues of
concern at an early stage in the planning process
• The results of scoping will determine the scope,
depth and terms of reference to be addressed
within the Environmental statement.
 72

Objectives of Scoping
• Scoping is done for the following purposes;
Identify concerns and issues for consideration in an EIA
Ensure a relevant EIA
Enable those responsible for an EIA study to properly
brief the study team on the alternatives and on impacts
to be considered at different levels of analysis
Determine the assessment methods to be used
Identify all affected interests
Provide an opportunity for public involvement in
determining the factors to be assessed, and facilitate
early agreement on contentious issues
Save time and money
Establish terms of reference (TOR) for EIA study
 73

Environmental tools used in impact

prediction
• Choice of method is largely based on ease of
method, cost and comprehensiveness of method.
• Several methods may be preferable to triangulate
environmental impacts.
 
 74

1. Checklists
• Checklists are standard lists of the types of
impacts associated with a particular type of
project.
• Checklists methods are primarily for organizing
information or ensuring that no potential impact is
overlooked.
• They comprise list questions on features the
project and environments impacts.
• They are generic in nature and are used as aids in
assessment.
 75

2. Modified Checklists
• A modified checklist is a result of collective
brainstorming exercises to provide insight on the
nature of likely impacts.
 76
ST=Short Term LT=Long Term
R=Reversible IR=Irreversible
L=Local W =Wide
SI=Significant N=Normal
  Nature of  impacts
Items Adverse Beneficiary
ST LT R IR L W ST LT SI N
Aquatic ecosystems   X   X XX          
Fisheries   X   X X          
Forests   X   X            
Terrestrial wildlife   X   X   X        
Rare and endangered species   X   X   X        
Surface water hydrology   X       X        
Surface water quality                    
Groundwater         X          
Soils         X          
Air quality X           X X    
Navigation   X               X
Land transportation             X     X
Agriculture         X          
Socio­economic   X                
Aesthetic                    
 77

Checklists cont--
ISSUE YES NO
1. Will the project result in displacement of people?
2. Will the project result in changes in lifestyle?

3. Will the project result in pollution?

4. Will the project result in excessive noise?

5. Will the project result in ground vibration?

6. Will the project result in offensive odour?

7. Will the project result in excessive electromagnetic waves?

8. Will the project result in greenhouse emissions?

9. Will the project result in hazardous wastes?

10. Will the project result in changes in groundwater quality?
 78

2. Matrices
• Matrix methods identify interactions between
various project actions and environmental
parameters and components.

• They incorporate a list of project activities with a

checklist of environmental components that might
be affected by these activities.

• A matrix of potential interactions is produced by

combining these two lists (placing one on the
vertical axis and the other on the horizontal axis).
 79

• They should preferably cover both the construction

and the operation phases of the project, because
sometimes, the former causes greater impacts
than the latter.
• However, matrices also have their disadvantages:
they do not explicitly represent spatial or temporal
considerations,
• and they do not adequately address synergistic
impacts.
 80

3a. Decision focused or modified

matrix
• Modified matrix is valuable in comparing impacts
of options to project operations.
• For each option or alternative, importance values
for project activities are assigned to environmental
caring.
• The entries in the matrix display the impact on each
factor.
 81

Assessment of Appropriate Energy Sources (After

Price Water House, 1993)
0 = No negative qualities; 2=Moderate 4= severe
impacts
3= major Cost
Energy negativeAesthetic
factors Availability Environment Totals
Source
Gas 2 1 2 0 5
Wood 1 1 0 2 4
Paraffin 2 1 1 1 5
Solar 3 0 3 0 6
Coal 2 2 2 1 7
Generator 3 2 1 1 7
ZESA 3 2 3 0 8
 82

3b. Interaction matrix

• Also known as the Leopold's matrix, enlists
environmental variables most affected by project
activities on the vertical axis and rating of impacts
on the horizontal axis.
• The ratings applied to each environmental variable
may be numbers percentages, letters, or physical
chemical, biological, culture and socio-economic
categories.
 83

E.G Matrix of environmental impacts associated with

diamond prospecting activities in Gonarezhou National
Park
   
Environmental characteristic                      Prospecting Activities

Aerial survey Ground Survey and Exploration Drilling

  Camping Vehicle access Survey of Bore

  samples samples
  S  E   S   E   S   E    S   E   S   E

Physical Environment                    
Landscape          1 1 1 1    
Soil erosion     1   1            
Surface water                    
Ground water                 2 1
Water pollution        1   1            
Air pollution        1   1            
Noise pollution 1 1    1   1 1 1 1 1 1 1
Fire         2   2 0 0 2 2 2 2
Palaeo­environment     0 0 0 0 0 0 2 1
Biological Environment                    
Habitants 0 0 2 1 2 1 2 1 2 1
Plant communities 0 0 1 1 1 1 1 1 1 1
Animal communities 1 1 1 1 1 1 1 1 1 1
Productivity 0 0 1 1 1 1 1 1 1 1
Ecological process 0 0     1 1 1 1 1 1
Socio­economic environment     1 1 1 1 1 1 1 1
Park visitors 1 1                
 84

4. Networks/ Impact trees

• These are cause effect flow diagrams used to help in
tracing the web relationships that exist between
different activities associated with action and
environmental system with which they interact.

• They are also important in identifying direct and

cumulative impacts. They are more complex and need
expertise for their effective use.

• Relies on cause – effect relationship based on the fact

that Environmental features are generally
interconnected and show through web-interconnected
features.
• 
 85

Loss of
Agricultural
land Reduced
Agricultural
income and
employment
Construction
Expansion of of new
settlement houses

Improved living
conditions

Increased waste
production
Immigration

New industries Traffic

and Services
Employmen t

Pollution
 86

Consultations
• Usually done with decision-makers, affected
communities, environmental interest groups to
ensure that all potential impacts are detected.

• However there can be danger in this when

excessive consultation is done and some
unjustifiable impacts included in the ToR
 87

5. Baseline data collection

• The term "baseline" refers to the collection of
background information on the biophysical, social
and economic settings proposed project area.

• Normally, information is obtained from secondary

sources, or the acquisition of new information
through field samplings, interviews, surveys and
consultations with the public.

• The task of collecting baseline data starts right from

the period of project inception; however, a majority of
this task may be undertaken during scoping and
actual EIA.
 88

Purpose of baseline data

Baseline data is collected for two main purposes;
1. To provide a description of the current status and
trends of environmental factors (e.g., air pollutant
concentrations) of the host area against which
predicted changes can be compared and
evaluated in terms of significance, and

2. To provide a means of detecting actual change by

monitoring once a project has been initiated
NB. Only baseline data needed to assist prediction of
the impacts contained in the ToR and scoping
report should be collected.
 89

Use of GIS technology

• In this simplest form, overlay mapping is a series
of single factor maps, such as geology, hazards,
solid, vegetation, farm, cultural sites and landmarks.

• Overlays of these maps on the site of the proposed

action may identify which of the factors that have
been mapped will be affected.

• The maps and the information they portray should

also provide some dimension on the significance
of the impact.
 90

Public participation in EIA

Participation’ is defined as 'a process by which
stakeholders influence decisions which affect them’
There is growing consensus that public
participation is essential for effective and
sustainable environmental management.
Putting emphasis on public participation also
improves the predictive quality of the EIA
Essentially, the public should be involved from the
preliminary assessment stages and be maintained
throughout the EIA process and the project life cycle
 91

Origins of public participation

Principle 10 of Rio, for example, stipulates that:
• Environmental issues are best handled with the
participation of all concerned citizens, at the
relevant level.
• At the national level, each individual shall have
appropriate access to information concerning the
environment that is held by public authorities,
including information on hazardous materials and
activities in their communities,
• and the opportunity to participate in decision-
making processes.
 92

• States shall facilitate and encourage public

awareness and participation by making information
widely available.
• Effective access to judicial and administrative
proceedings, including redress and remedy, shall be
provided (UN 1992).
 93

In addition, principle 20 cements the call to involve

women.
• The principle states that ‘Women have a vital role in
environmental management and development. Their
full participation is therefore essential to achieve
sustainable development’.

• Public participation comes virtually in every stage

during the EIA process or should one say at every stage
where a decision has to be made about the proposed
development.

• However, for clarity, the following are the key stages in

which the public must be engaged without compromise:
the scoping phase, impact identification and mitigation,
and during draft EIA statement review.
 94

Importance of public participation

1. A project creates change which may either be
positive and negative which may be disconcerting to
people and when people are informed there suffer
less anxiety.
2. When people are informed ,they can pursue
opportunities associated with the project, such as
employment.
3. Creates a sense of ownership to the community
4. Stakeholders have a wealth of information about
local conditions which is valuable to those carrying
out EIA
5. People expect to be consulted about projects that
could affect their way of life, failure to do so could
result in delays, failure to achieve intended goals.
 95

Stakeholders defined
Howlett and Nagu (1997) define stakeholders as ‘all
those people and institutions who have an 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 can
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
 96

Examples of Key Stakeholder Groups in

a Typical EIA
Organisations
Co-ordination: Planning commissions and
departments; government agencies at national,
regional, district and village level; EMA,
Advisory: Research institutes, universities, colleges;
Regulatory: Government authorities at national,
regional, district and village level;
Implementation: Relevant ministries/departments at
national, regional and district levels, training
organisations, private companies, NGOs;
Funding: Development assistance agencies, banks ,
entrepreneurs, taxpayers; and
Conservation: Environment departments, museums,
zoos, botanical gardens.
97
 98

Public and community stakeholder

groups
Political: Members of Parliament (MPs), local
councillors, party functionaries, lobbying groups;
Cultural: Community and religious leaders,
community service groups, community
organisations/NGOs, traditional leaders;
Business: Business leaders, Chambers of
Commerce, trade unions, resource owners and
those with tenure rights, common property
resource users; and
Environment: Community interest groups,
international and local environmental NGOs, local
experts.
 99

Participation typologies
There are a number of ways in which the public can be
involved in the EIA process and these include the following:

1. Passive participation -Consultant or extension worker

appears in village and tells villagers that an irrigation
scheme will be constructed to ‘improve’ crop yields.

2. Participation in information giving -Consultant or

extension worker appears in village and asks for
information about their crops, and about seasonal water
flows. Records their answers and leaves, this is usually
done through public meetings
 100

3. Participation by consultation -Consultant or

extension worker explains that crop yields need
to be improved, and that the government intends
to build an irrigation scheme.

• The developer seeks the views and responses of

villagers (for example, how they feel it might
increase soil erosion), and then leave, this is usually
done through community workshops and
interviews this can be done through newspapers
and media.
 101

4. Functional participation - Consultants or extension

workers inform villagers that they intend to
construct an irrigation project.

• The consultants then facilitate the development

of a village committee to discuss particular
aspects of the project (such as minimising soil
erosion, downstream impacts on fisheries; or to
agree on arrangement for water management).
 102

5. Interactive participation
• Local villagers identify their own needs, and
external facilitators work with them to assist in
finding solutions to potential negative impacts -
and improving positive effects

• In some cases, new institutions will develop at the

local level, which might then play a role in the
management of their own project and its impacts.
Villagers then have a real stake in maintaining
structures or practices.
 103

6. Self-Mobilization- Villagers plan and identify their

own irrigation structures, perhaps learning from
experience in a nearby village.
• They may develop contacts with external
institutions for resources and technical advice
they need, but retain control over how resources
are used
 104

Constraints to full public participation

• Stakeholder involvement in EIA can be constrained
by many factors which may vary according to
circumstance and context. These include the
following:
1. Time and money (Financial Resources to
participate)
• Participation may be constrained by the financial
situation of local people, because participation
requires time away from other tasks and may
involvement cash for transportation and subsistence
while away from home.
• In many cases, incentives or compensation will be
required to secure their inputs.
 105

2. Language and literacy

• Care must be taken to ensure that local people can
use a with which they can best represent their
interests, express their ideas, and convey
knowledge.
• Shortage of key material in local language is
another constraint at grass root level.

3. Culture
• Cultural norms may limit the participation of some
groups, such as women in the participatory
process established for the environmental impact
assessment
 106

4. Education
• Low levels of education, and the ‘technical’ nature of
many development-related issues, can be a major
barrier to effective participation in EIA.

• For example, a villager in Bangladesh, when asked

whether he had ‘participated’ in the EIA process for a
major flood control and irrigation project that would
radically alter his livelihood prospects, responded
thus

“If I were to be consulted what would I say? You see

I'm just an ordinary man. I don't know anything. All I
know is that
one has to have meals every day'. (cited in Adnan et al,
1992)
 107

5. Gender
• Insensitivity to gender issues, and particularly to the
lower status accorded to women in decision-making in
many parts of the world, is a common constraint to
effective stakeholder involvement.

6. Mistrust and elitism

• Mistrust often pervades the relationships between
project proponents and different stakeholders

7. Physical remoteness (Rural Settings)

• It is costly and time consuming for practitioners to
reach small, diverse and scattered groups in remote
areas, and conversely, it is difficult for the inhabitants
of such areas to gain access to information relevant to
development plans and to EIA.
 108

8. Existing legal systems

• Conflicting traditional and modern legal systems i.e
rights and responsibilities for local resources
potentially can affect the participatory process.

9. Diversity of Opinion
• Communities are comprised of people with
different perceptions , values, and objectives and all
these should be equally represented
 109

Outcomes of Public participation

• Public participation play a pivotal role in EIA
• Provides information on natural resources in the
area
• Outlines the community goals and aspirations in
relation to the proposed development
• Contribute to social, cultural, and economic
evaluation of the project
• Provides vital information that helps in decision
making process
• Assist in all the stages of a project life cycle ( i.e.
Planning, implementation, management and the
monitoring )
 110

Outcomes cont---
• Offers all the stakeholders a sense of commitment
and ownership of the proposal,
• It allows for views and values which otherwise may
have not been considered to be brought to bear on
the proposal,
• It ensures that the final proposal is the optimal one,
representing the best compromise of all conflicting
interests
 111

3.IMPACT Analysis, Prediction and

Management Phase
• Predicting the magnitude of a development likely
impacts and evaluating their significance is core
of environmental assessment process

• Prediction should be based on the available

environmental baseline of the project area. Such
predictions are described in quantitative or
qualitative terms.
 112

Considerations in impact prediction

a. Magnitude of Impact
• This is defined by the severity of each potential
impact and indicates whether the impact is
irreversible or, reversible and estimated potential rate
of recovery.
• The magnitude of an impact cannot be considered
high if a major adverse impact can be mitigated.
 113

2. Extent of Impact
• The spatial extent or the zone of influence of the
impact should always be determined.
• An impact can be site-specific or limited to the
project area; a locally occurring impact within the
locality of the proposed project; a regional impact
that may extend beyond the local area and
• a national impact affecting resources on a
national scale and sometimes trans-boundary
impacts, which might be international.
 114

3. Duration of Impact
• Environmental impacts have a temporal
dimension and needs to be considered in an EIA.
• Impacts arising at different phases of the
project cycle may need to be considered.
• An impact that generally lasts for only three to
nine years after project completion may be
classified as short-term.
• An impact, which continues for 10 to 20 years,
may be defined as medium-term, and impacts
that last beyond 20 years are considered as
long-term.
 115

4. Significance of the Impact

• This refers to the value or amount of the impact.
• Once an impact has been predicted, its
significance must be evaluated using an
appropriate choice of criteria.
• The most important forms of criterion are:
Specific legal requirements e.g. national laws,
standards, international agreements and
conventions, relevant policies etc.
Public views and complaints
Threat to sensitive ecosystems and resources e.g.
can lead to extinction of species and depletion of
resources, which can result, into conflicts.
Geographical extent of the impact e.g. has trans-
boundary implications.
 116

Cost of mitigation
Duration (time period over which they will occur)
Likelihood or probability of occurrence (very likely,
unlikely, etc.)
Reversibility of impact (natural recovery or aided by
human intervention)
Number (and characteristics) of people likely to be
affected and their locations
Cumulative impacts e.g. adding more impacts to
existing ones.
Uncertainty in prediction due to lack of accurate
data or complex systems. Precautionary principle
is advocated in this scenario.
 117

Impact prediction methodologies

• Several techniques can be used in predicting the impacts.
• The choices should be appropriate to the circumstances.
These can be based on;
a. Professional judgment with adequate reasoning and
supporting data. This technique requires high professional
experience.
b. Experiments or tests. These can be expensive
c. Past experience
d. Numerical calculations & mathematical models. These
can require a lot of data and competency in mathematical
modelling without which hidden errors can arise
e. Physical or visual analysis. Detailed description is needed
to present the impact.
f. Geographical information systems,
g. Risk assessment, and
h. Economic valuation of environmental impacts
 118

Analysis of alternatives
• Analysis of alternative is done to establish the preferred
or most environmentally sound, financially feasible and
benign option for achieving project objectives
• Requires systematic comparison of proposed
investment design in terms of site, technology,
processes etc in terms of their impacts and feasibility of
their mitigation, capital, recurrent costs, suitability under
local conditions and institutional, training and monitoring
requirements .

• For each alternative, the environmental cost should be

quantified to the extent possible and economic values
attached where feasible, and the basic for selected
alternative stated. The analysis of alternative should
include a NO PROJECT alternative.
 119

Mitigation and impact management

• Mitigation is done to avoid, minimize or offset
predicted adverse impacts and, where appropriate,
to incorporate these into an environmental
management plan or system.

• For each potential adverse impact the plan for its

mitigation at each stage of the project should be
documented and costed, as this is very important in
the selection of the preferred alternative.
 120

Objectives of mitigation
To;
• find better alternatives and ways of doing things;
• enhance the environmental and social benefits of a
project
• avoid, minimise or remedy adverse impacts; and
• ensure that residual adverse impacts are kept
within acceptable levels
 121

Design of mitigation measures

Approach Examples

Avoid Change of route or site details, to avoid important ecological or

archaeological features

Replace Regenerate similar habitat of equivalent ecological value in

different location.

Reduce Filters, precipitators, noise barriers, dust, enclosures, visual

screening, wildlife corridors, and changed time of activities

Restore Site restoration after construction

Compensate Relocation of displaced communities, facilities for the affected

communities, financial compensation for the affected individuals
etc
 122

Environmental Management Plan (EMP)

• An Environmental Management Plan (EMP) is a
detailed plan and schedule of measures necessary to
minimize, mitigate, etc. any potential environmental
impacts identified by the EIA
• Once the EIA has identified the significant impacts it
is necessary to prepare an Environmental
Management Plan.
• An EMP should consist of a set of mitigation,
monitoring and institutional measures to be taken
during the implementation and operation of the
proposed project to eliminate adverse environmental
impacts, offset them or reduce them to acceptable
levels.
 123

The EMP should also include the actions needed to

implement these measures, including the following
features:
• Mitigation based on the environmental impacts
reported in the EIA, the EMP should describe with
technical details each mitigation measure.

• The EMP should then include monitoring objectives

that specifies the type of monitoring activities that
will be linked to the mitigation measures.
 124

Specifically, the monitoring section of the EMP

provides:
• A specific description, and technical details, of
monitoring measures that includes the parameters
to be measured, the methods to be used, sampling
locations, frequency of measurements, detection
limits (where appropriate), and definition of
thresholds that will signal the need for corrective
actions

• Monitoring and reporting procedures to ensure early

detection of conditions that necessitate particular
mitigation measures and to furnish information on
the progress and results of mitigation.
 125

• The EMP should also provide a specific description

of institutional arrangements i.e. who is responsible
for carrying out the mitigating and monitoring
measures (for operation, supervision, enforcement,
monitoring of implementation, remedial action,
financing, reporting, and staff training).
• Additionally, the EMP should include an estimate of
the costs of the measures and activities
recommended.
• It should consider compensatory measures if
mitigation measures are not feasible or cost
effective.
• EMP must be operative throughout the whole
Project Cycle.
 126

Environmental Monitoring
• Environmental monitoring is the systematic
measurement of key environmental indicators
over time within a particular geographic area
(World Bank, 1999).
• Monitoring should focus on the most significant
impacts identified in the EIA.
• Various types of monitoring activity are currently
in practice.
 127

Types of Monitoring in an EIA

Baseline Monitoring
• A survey should be conducted on basic
environmental parameters in the area surrounding
the proposed project before construction begins.
• Subsequent monitoring can assess the changes in
those parameters over time against the baseline
 128

Impact Monitoring

• The biophysical and socio-economical (including

public health) parameters within the project area,
must be measured during the project
construction and operational phases in order to
detect environmental changes, which may have
occurred as a result of project implementation e.
g. air emission, dust, noise, water pollution etc
 129

Compliance Monitoring
• This form of monitoring employs a periodic
sampling method, or continuous recording of
specific environmental quality indicators or
pollution levels to ensure project compliance with
recommended environmental protection standards.
• Monitoring should be regular and performed over a
long period of duration. Interruptions in monitoring
may result in generating insufficient data to draw
accurate conclusion concerning project impact.
 130

• The main aim of EIA monitoring is to provide the

information required to ensure that project
implementation has the least possible negative
environmental impacts on the people and
environment.
What to avoid in monitoring:
• Overestimation of data needed as this can lead to
drowning in data without information.
• Under-estimation of time and cost for data analysis
• Weak coordination between the data collection with
project time table and seasonal factors
• Ignoring requirements for baselines
 131

Environmental Impact Statement (EIS)

• The final EIA report is referred to as an
Environmental Impact Statement (EIS).

• Most national environmental laws have specified

what the content of EIS should have. Multilateral
and bilateral financial institutions have also defined
what should be contained in an EIS.
 132
Ideally, the content of an EIS should have the following:
• Executive Summary
• Policy, Legal and Administrative Framework
• Description of the environment
• Description of the Proposed Project in detail
• Significant Environmental Impacts
• Socio-economic analysis of Project Impacts
• Identification and Analysis of Alternatives
• Mitigation Action/Mitigation Management Plan
• Environmental Management Plan
• Monitoring Program
• Knowledge gaps
• Public Involvement
• List of References
• Appendices including
Reference documents, photographs, unpublished data
Terms of Reference
 Consulting team composition
Notes of Public Consultation sessions
 133

Decision making
• The EIS is submitted to designate authority ( EMA)
for scrutiny before the final decision.
• The authority, together with technical review panel
determines the quality of EIS and gives the public
further opportunity to comment.
• Based on the outcome of the review, the designated
authority or lending institution will accept, reject or
make further modifications to avoid future
confrontation.
• If the EIS is accepted, an EIA license is issued and if
otherwise, additional studies or recommendations
are made before issuance of a license
 134

EIA post Auditing

• The principal purpose of post-auditing is to
provide feedback in EIA, and to provide the
essential opportunity to learn from past
experience and apply the lessons learned to
future actions
• Post-auditing can highlight the types and
categories of impacts that tend to be predicted
less accurately than others .
• This should stimulate gradual improvements in,
and requirements of, the techniques used to
make such predictions
 135

• over time, and again if properly used, post-auditing

may lead to advances in accuracy, utility and
predictive capability
• It can also provide baseline information for future
• Provides information about the effectiveness of
mitigation measures and the overall success of
environmental management and protection
• Post-auditing may also be used to identify and
correct (or mitigate) unanticipated impacts
 136

Compiled by Thembuluwo Moyo

• 2000@com0303zimemai
• 2018/19/06
137
138