CHAPTER THREE
3. SCREENING AND SCOPING
The ESIA process, while not uniform from country to country, generally consists of a set of
procedural steps culminating in a written impact assessment report that will inform the
decision-maker whether to approve or reject a proposed project. It should be noted that in
practice, deviations from the outlined process may occur. Single steps may not always be
clearly limitable; some steps may overlap or may be interchanged. The ESIA procedure
should thus be understood as a continuous and flexible process.
3.1. Screening (Methods and Practices)
Screening is the first step of the ESIA process and it is used to determine whether ESIA is
required or not. It is intended to ensure that any ESIA review is proportional to the potential
environmental impacts of the proposed project. In some countries, the project developers
need to obtain what they referred to as a screening opinion from the relevant authority which
is a statement that an ESIA should be submitted for the current or future project proposal.
The screening opinion will identify the environmental factors that need to be considered in
ESIA, and it may also cover other aspects of the ESIA process.
The purpose of screening is to identify the proposals that require an ESIA and exclude those
that do not. It is intended to ensure that the form or level of any ESIA review is appropriate
with the importance of the issues raised by a proposal. The conduct of screening thus
involves making a preliminary determination of the expected impact of a proposal on the
environment and of its relative significance. A certain level of basic information about the
proposal and its location is required for this purpose. The time taken to complete the
screening process will depend upon the type of proposal, the environmental setting and the
degree of experience or understanding of its potential effects. Similarly, the majority of
proposals may have few or no impacts and will be screened out of the ESIA process. A
smaller number of proposals will require further assessment. Only a limited number of
proposals, usually major projects, will deserve a full ESIA because they are known or
considered to have potentially significant adverse impacts on the environment; for example,
on human health and safety, rare or endangered species, protected areas, fragile or valued
ecosystems, biological diversity, air and water quality, or the lifestyle and livelihood of local
communities.
The screening process can have one of four outcomes:
no further level of ESIA is required;
a full and comprehensive ESIA is required;
a more limited ESIA is required (often called preliminary or initial assessment); or
further study is necessary to determine the level of ESIA required (often called an
initial environmental evaluation or examination [IEE]).
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Screening establishes the basis for scoping, which identifies the key impacts to be studied and
establishes terms of reference for an ESIA. Many ESIA systems have formal screening and
scoping procedures.
Certain types of proposals often fall automatically into one of these particular categories. For
instance, large dams, power stations and oil refineries are nearly always environmentally
significant and require full ESIA. By contrast, social development or community health
proposals rarely demand further assessment.
Screening is the process of deciding on whether an ESIA is required. This may be determined
by size (eg greater than a predetermined surface area of irrigated land that would be affected,
more than a certain percentage or flow to be diverted or more than a certain capital
expenditure). Alternatively it may be based on site-specific information. For example, the
repair of a recently destroyed diversion structure is unlikely to require an ESIA whilst a
major new headwork structure may. Guidelines for whether or not an ESIA is required will
be country specific depending on the laws or norms in operation. Legislation often specifies
the criteria for screening and full ESIA. All major donors screen projects presented for
financing to decide whether an ESIA is required. The output from 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 ESIA is needed and if so to what detail.
Once the screening confirms that an ESIA is required, it is also important to define how the
ESIA and other studies will be incorporated into the different steps. There are some points to
be considered here such as:
To ensure complementarities and to avoid overlap between the ESIA and other
studies, especially if they are not prepared by the same expert.
To ensure that the studies are based on sufficient technical information and
assessment of realistic options so that they could influence the selection of project
alternatives and the final project design.
To ensure that the costs of impact reduction, adaptation measures, residual
environmental externalities, and costs associated with potential climate change risks
are being considered.
Screening establishes the basis for scoping which is another stage that refers to the early,
open, and interactive process of determining the major issues and impacts that need to be
addressed in an ESIA.
Whatever the requirements, screening should occur as early as possible in the development of
the proposal so that the supporter and other participants are aware of the ESIA obligations. It
should be applied systematically and consistently (so that the same decisions would be
reached if others conducted the screening process).
The screening procedures can be classified into two broad, overlapping approaches:
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prescriptive or standardized approach – proposals subject to or exempt from ESIA are
defined or listed in legislation and regulations; and
Modified or customized approach – proposals are screened on an individual or case-
by-case base, using symptomatic guidance.
Specific methods used in screening include:
legal (or policy) definition of proposals to which ESIA does or does not apply;
inclusion list of projects (with or without beginnings) for which an ESIA is
automatically required;
exclusion list of activities which do not require ESIA because they are insignificant or
are exempt by law (e.g. national security or emergency activities); and
criteria for case-by-case screening of proposals to identify those requiring an ESIA
because of their potentially significant environmental effects.
In this context, screening is a flexible process and can be extended into preliminary forms of
ESIA study. These ‘extended screening’ procedures include:
Initial environmental examination – carried out in cases where the environmental
impacts of a proposal are uncertain or unknown (e.g. new technologies or
undeveloped areas);
Environmental overview – carried out as a rapid assessment of the environmental
issues and impacts of a proposal; and
Class screening – carried out for a family of small projects or repetitive activities,
where the environmental effects and means of mitigation are known but there is
potential for cumulative impacts (e.g. dredging, road realignment, bank stabilization).
Project lists are widely used to screen proposals. These lists are of two types. Most are
‘inclusion’ lists, which describe the project types and size thresholds that are known or
considered to have significant or serious environmental impacts. Usually, listed projects that
fall within these predetermined beginnings will be subject automatically to full and
comprehensive ESIA. Some ESIA systems also maintain ‘exclusion’ lists of activities that
are exempt because they are known to have little or no environmental impact. The inclusion
lists used by countries and international organizations differ in content, comprehensiveness,
beginning levels and requirements for mandatory application. In certain ESIA systems, scale
beginnings are specified for each type of listed project for which an ESIA is mandatory.
Other projects that may require an ESIA are screened individually against environmental
significance criteria, such as emission levels or proximity to sensitive and protected areas.
Case-by-case screening is carried out when the significance of the potential environmental
impact of a proposal is unclear or uncertain. This process typically applies to proposals that
fall just below or close to the beginnings established for listed projects. In addition, non-
borderline proposals may be subject to screening if they are located in sensitive areas or there
is a potential for cumulative effects in combination with other current and foreseeable
activities. It has gained a degree of international acceptance as a standard of good practice.
The specific criteria for case-by-case screening differ from country to country. Typically,
however, they are based on a number of common factors related to the consideration of the
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significance of environmental impacts. These include the location of proposals,
environmental sensitivity and any likely health and social effects on the local population.
These criteria may be adapted to wider use in case-by-case screening. A proposal can be
tested for significance by taking account of:
location near to protected or designated areas or within landscapes of special heritage
value;
existing land use(s) and commitments;
the relative abundance, quality and regenerative capacity of natural resources;
the concentration capacity of the natural environment, paying particular attention to
wetlands, coastal zones, mountain and forest areas; and
areas in which the environmental quality standards laid down in law have been
exceeded already.
Initial environmental evaluation or examination (IEE)
In some ESIA systems, an IEE is required when the potential environmental impacts of a
proposal cannot be established by the application of standard screening procedures.
Typically, an IEE is a relatively low-cost analysis that makes use of information already
available. It is carried out using ESIA procedures and methods, which are scaled to purpose.
A site or area visit should take place to survey the current situation and obtain ‘baseline’
information. Simple methods, such as a checklist or matrix, are used in impact identification
and often focus on appropriate mitigation measures.
An IEE is a preliminary ESIA study that:
describes the proposal and the environmental setting;
considers alternatives to improve the environmental benefits;
addresses the concerns of the local community;
identifies the potential environmental effects;
identifies measures to mitigate adverse impacts; and
describes, as necessary, environmental monitoring and management plans.
Environmental Overview
The Environmental Overview was developed by UNDP as an internal tool to integrate
environmental considerations into its proposed activities at either the project or strategic
level. Strictly speaking, the Environmental Overview is not equivalent to a preliminary ESIA
study. However, it is based on similar steps, involves key stakeholders and leads toward the
same ends. An Environmental Overview can be completed quickly through the interaction of
a mix of specialists. It follows a structured sequence of questions, draws primarily on the
more important data sources and conforms to strict guidelines on the organization and length
of the final document. The Environmental Overview is used by UNDP in the stage of
formulating proposals. It leads to early identification of the following:
the environmental and social baseline conditions of the target area;
the major environmental and socio-economic impacts and opportunities associated
with the implementation of the proposal;
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the modifications or alternatives to the draft proposal; and
the measures that are necessary to address the environmental impacts and issues.
Class screening
A class screening may be undertaken for any type of project or activity where there is a
reasonably sound knowledge of the environmental effects and the mitigation measures are
well established. This approach is used in certain countries, notably Canada (at both federal
and provincial levels), and aspects are also evident in the ESIA procedure of the World Bank.
It is applicable to small-scale projects that are routine and replicable, such as dredging,
installation of culverts and realignments to an existing road. A class screening will document
the accumulated information on their likely impacts and standard mitigation practices. This
report then serves as a model in the conduct of future screening of other projects of the same
type.
In most ESIA systems, the proponent or competent authority is responsible for all aspects of
the screening process, from initiation to making the final decision on whether or not an ESIA
is necessary and, if so, at what level. Leading ESIA systems have established a number of
procedural ‘checks and balances’ for this purpose. They include provision for:
public notification and record of screening decisions;
access to relevant information and documentation; and in some cases
right or possibility of third party appeal for those who consider that the screening
procedure has been applied inappropriately.
Usually, screening has one of four outcomes:
no further ESIA requirement applies – the proposal will have an insignificant impact;
a preliminary ESIA study is required – the proposal will have an environmental
impact that must be addressed but can be mitigated;
a full or comprehensive ESIA is required to complete the screening process – the
proposal will have a potentially significant environmental impact; or
an IEE is required – the potential environmental effects of the proposal are unclear or
uncertain.
3.2. Scoping (Baseline and Boundaries)
Scoping is a critical, early step in the preparation of an ESIA. Scoping is a stage, usually
involving the public and other interested parties, that identifies the key environmental issues
that should be addressed in an ESIA. Scoping is the process of determining the content and
extent of the ESIA studies. The scoping process identifies the issues that are likely to be of
most importance during the ESIA and eliminates those that are of little concern.
Scoping is the ESIA stage in policy, plan, program and project making at which issues,
impacts and preliminary alternatives are determined that should be addressed at following
stages. It is a systematic exercise that establishes the boundaries and Terms of Reference
(ToR) for the ESIA. A quality scoping study reduces the risk of including inappropriate
components or excluding components which should be addressed in an environmental
assessment. Whilst scoping has been defined, using many different terms, there is general
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agreement on what scoping seeks to achieve. Scoping is the process of determining the
content and extent of the matters which should be covered in the environmental information
to be submitted to a competent authority for projects which are subject to ESIA. Scoping
relates to addressing the impacts and issues to be studied during the environmental
assessment process and, in addition, covered within the report submitted as part of that
process. An environmental report will document both, the project, program, plan or policy
and the environment in which it is to be located, together with descriptions and assessments
of the likely consequences of development on various environmental parameters.
Scoping involves decisions concerning what is likely to be significant impacts of a particular
policy, plan, program or project, and what alternatives should be addressed. There are,
therefore, elements of both, identification and prioritization within scoping. Furthermore,
within scoping, there is a need to engage in the debate as to how significance might be
defined. Typically, scoping begins after the completion of the screening stage. However,
there may also be some overlaps. Essentially, scoping takes forward the preliminary
determination of significance made in screening to the next stage of resolution – determining
what issues and impacts require further study. In doing so, scoping places limits on the
information to be gathered and analyzed in an ESIA and helps to focus the approach to be
taken.
In the early years of ESIA, little attention was given to scoping, resulting in a lack of focus in
most ESIA reports. This lack of focus made the ESIA process slower, less efficient and less
effective than might otherwise have been the case. In response, for the first time in 1978, the
U.S. Council on Environmental Quality (CEQ) issued regulations, establishing "scoping" as a
formal requirement for ESIAs. In introducing ESIA systems into legislation, the European
Union, in line with many other jurisdictions, initially omitted scoping as a specific
requirement in the ESIA. However, successive five-year reviews undertaken in 1992 and
1997 recommended the introduction of scoping as a means to strengthen its effectiveness.
Purpose of scoping
Scoping is a distinct, early stage within ESIA that defines its proposed action, involves
cooperating agencies, identifies what is and what is not important, and seeks to set time limits
on studies. Furthermore, scoping is used to determine staff requirements of the study team,
collect background information, identify other regulatory requirements and determine the
range of alternatives to be considered. Public input in scoping helps to ensure that important
issues are not overlooked when preparing the ToR and/or initiating the ESIA study.
The purpose of scoping is:
to identify the important issues to be considered in an ESIA (Including the baseline
and alternatives);
to determine the appropriate time and space boundaries of the ESIA;
to establish the information necessary for decision-making; and
to expect the significant effects and factors to be studied in detail
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Scoping is completed when the detailed studies required in the ESIA have been specified
(preparation of ToR), ultimately providing the foundations for an effective and efficient ESIA
process. When carried out systematically, scoping highlights the issues that matter and
provides for a clear direction to the proponent on what is required. This increases the
likelihood of an adequately prepared ESIA report. It helps to avoid the problem of unfocused,
voluminous reports and the attendant delay while their deficiencies are addressed and
corrected. Scoping helps to make sure those resources are targeted on collecting the
information necessary for decision-making and that they are not wasted on undertaking
excessive analysis.
In so far as scoping involves the initial collection and analysis of information about the
environment and actions that might affect it, it can be seen as a rational activity that has often
in the past relied on the judgment and experience of professionals. The determination of what
is likely to be ‘significant’ in environmental terms lies at the heart of scoping, and the public
and other stakeholders base this not only on evidence based impacts, but also on the
perception of impacts. It is because of the political nature of the wider process that the
importance of consultation and participation in scoping is now receiving increased emphasis.
It is necessary to explore the potential relevance of as wide a range of issues (alternatives,
impacts, approaches) as possible. However, scoping also is concerned with focusing the
subsequent assessment process, and therefore ‘scoping in’ significant issues and ‘scoping
out’ issues unlikely to be of relevance to the decision on the project. The consequences of
balancing these two aspects are that scoping establishes the scope of additional studies,
assists in staffing and scheduling of study activities, and promotes the compliance with all
applicable legislative requirements within an integrated study and document.
Key objectives, guiding principles, elements, multi-dimensional aspects and overall
requirements for effective scoping
The scoping exercise itself can vary in complexity and time taken. A comprehensive
approach to scoping may be needed for policies and large-scale proposals, which have a
range of impacts that are potentially significant. In other cases, scoping will be a more limited
and restricted exercise.
The key objectives of scoping are:
to inform the public about the proposal (project, plan, program or policy);
to identify the main stakeholders and their concerns and values;
to define reasonable and practical alternatives to be addressed;
to focus the important issues and significant impacts to be addressed by an ESIA;
to define the boundaries for an ESIA in time, space and subject matter;
to set requirements for the collection of baseline and other information; and
to establish the Terms of Reference (ToR) for an ESIA study.
There are a number of guiding principles for carrying out the scoping stage of ESIA.
Principles for carrying out the scoping stage includes:
to recognize scoping is a process rather than a distinct activity or event;
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to design the scoping process for each proposal, taking into account the environment
and people affected;
to start scoping as soon as sufficient information is available;
to prepare an information package or circular explaining the proposal and the process;
to specify the role and contribution of the stakeholders and the public;
to take a systematic approach but implement flexibly;
to document the results to guide preparation of an ESIA; and
to respond to new information and further issues raised by stakeholders.
Public involvement at the scoping stage is beneficial, as this may lead to all the significant
issues being identified, local information about the project area to be gathered, and alternative
ways of achieving the project objectives to be considered. The terms of reference (ToR) for
an ESIA provide a means of responding to and checking against these inputs and should
outline any specific public involvement requirements. Overall, scoping is a multidimensional
problem, requiring consideration of various aspects.
Scoping may include a range of multi-dimensional elements, as follows:
Scope of the assessment, including:
−project alternatives
−design alternatives −justification for a policy, plan, program, project
Scope of the policy, plan, program, project, including:
−phases (development, operation, closure)
−components (dam, transmission lines, roads)
Scope of issues, including:
−project v non-project issues
−range of environmental issues considered and their priorities (definition of
"environment” has implications)
−cumulative effects
−cultural perspectives −context (sustainable development; equity)
Scope of factors
−temporal/geographic boundaries for individual issues/cumulative effects
−range of projects/activities/events considered in cumulative effects
To be successful and of benefit to the overall assessment process, scoping requires
commitment, participation, communication, information and flexibility. Overall requirements
for successful scoping include:
Commitment - agencies and organizations must be committed to the process of
scoping and assessment;
Participation - many decisions are based on value judgments and thus the involvement
of the public is important to ensure that the public's value judgments are incorporated;
Communication - among agencies, companies and the public;
Information - the timing and level of information available to participants must be
appropriate;
Flexibility - no one method for determining key issues is appropriate or effective in all
circumstances
The format and detail of a scoping report varies. However, in principle, it should identify the
content and extent of the information to be provided by the developer to the competent
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authority. In particular, it should always identify the types of environmental impacts to be
investigated and reported in the environmental information. It is important that the scoping
process is well planned and managed, with a structured and carefully planned approach
involving provision of information. Failing to manage the process could lead to tensions
between different stakeholders’ priorities at this early stage of the ESIA process.
Ways of undertaking scoping and the role of consultation and public involvement
Scoping may be undertaken in various ways, for example:
by a developer or a developer’s ESIA Team. A draft Scoping Report is prepared and
circulated amongst consultees before it is finalized and issued as the agreed terms of
reference for the ESIA. The consultees may be just the environmental authorities or
may include other interested parties and the general public; and
by the competent authority or by an independent body such as an ESIA Commission
or a panel of ESIA experts on behalf of the competent authority. The competent
authority will then issue a Scoping Opinion to the developer which forms the terms
of reference for the ESIA. Prior to finalizing the Scoping Opinion, the competent
authority will consult the environmental authorities and may consult other interested
parties and the general public.
Criteria of good practice, methods and techniques
It is widely accepted good practice for the results of scoping to be presented as a formal
report or letter. Such a document is valuable for any project, program, plan or policy that
requires detailed ecological survey, particularly where stakeholder-input is essential in
defining terms of reference acceptable to all parties. A scoping report/letter may be used as
the basis for applying for a formal scoping opinion. Governments often establish criteria for
deciding whether an effect is acceptable in terms of regulatory standards which reflect
society's values. Examples include:
Legal and Policy Criteria - policies stated in legislation, regulations and policy
statements;
Functional Criteria - consider how much environment systems are changed by project
actions;
Normative Criteria - based on the values society places on certain environmental
features and qualities; and
Controversy - an issue may also be considered because it is controversial.
An effective consultation process in scoping typically will follow a number of steps. These
may include:
Identify a list of organizations and individuals who are interested in the project and
update this as the project develops.
Contact each consultee to request their help in scoping.
Send them information about the project in the form of an attractive leaflet or
brochure. Give contact details for information and comment.
Make the leaflet widely available in local centers (libraries, town halls, post offices);
possibly provide a copy to every household and business in the area.
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Organize and analyze all responses and take them into account in planning the
environmental studies.
Write back to each respondent thanking them for their help and explaining how their
comments have been addressed.
If appropriate, arrange to telephone or meet them in person to discuss the issues they
raise.
If there is considerable local interest consider, holding a public exhibition (in a hall or
a mobile caravan) or a community meeting at which the project will be presented and
staff will be on hand to answer questions.
If there are several groups with a common interest consider setting up a special forum
for them to meet you at intervals.
If the EA process is lengthy, issue a regular newsletter to keep consultees up to date
with what is happening.
Always record the views expressed in consultations in the environmental report.
There are a variety of methods and techniques that can be utilized in order to define
the scope of an environmental assessment. Such methods range from quantitative and
qualitative, complex and simple.
Scoping is the process of identifying the key environmental issues and is perhaps the most
important step in an ESIA. Several groups, particularly decision makers, the local
population and the scientific community, have an interest in helping to deliberate the issues
which should be considered, and scoping is designed to canvass their views.
Scoping is important for two reasons: first, so that problems can be identified early
allowing mitigating design changes to be made before expensive detailed work is carried out ;
and second, to ensure that detailed prediction work is only carried out for important issues. At
this stage the option exists for cancelling or drastically revising the project should major
environmental problems be identified. Equally it may be the end of the ESIA process should
the impacts be found to be insignificant. Once this stage has passed, the opportunity for major
changes to the project is restricted.
A major activity of scoping is to identify key interest groups, both governmental and non-
governmental, and to establish good lines of communication. People who are affected by the
project need to hear about it as soon as possible. Their knowledge and perspectives may have
a major bearing on the focus of the ESIA. Rapid rural appraisal techniques provide a means
of assessing the needs and views of the affected population.
The main ESIA techniques used in scoping are baseline studies, checklists, matrices and
network diagrams. These techniques collect and present knowledge and information in a
straightforward way so that logical decisions can be made about which impacts are most
significant.
The ToR as the final product from the scoping study can refer to some or all of the following
items:
purpose and application of the ToR;
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statement of need for and objectives of the proposal; project background and
description;
study area or impact zones;
applicable policy and institutional considerations;
ESIA requirements and decision-making particulars;
provisions for public involvement;
alternatives to be examined;
the impacts and issues to be studied;
the studies to be carried out;
the requirements for mitigation and monitoring;
the information and data to be included in the ESIA report;
the timeframe for completion of the ESIA process; and
the means for making changes to the ToR if necessary.
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