CASE STUDY

CASE ANALYSIS OF PUBLIC PARTICIPATION IN

ENVIRONMENTAL IMPACT ASSESSMENT OF
IRRIGATION SCHEMES, CENTRAL RIFT VALLEY
IN ETHIOPIA
Habtamu D. Debelie and Hendrike Clouting*

Public participation (PP) is an essential component of environmental

impact assessment (EIA). In the UNECE Espoo convention (1991) in art. 1
“the public” is defined as “one or more natural or legal person”. Thus, any
concerned person has the right to be involved in project decisions, not
only individuals, who are adversely or beneficially affected by a proposed
intervention subject to a decision-making process. Ideally participation is
a “voluntary process in which people including marginal groups (poor,
women, indigenous, ethnic minorities etc.), come together with project
authorities to share, negotiate and control the decision-making process in
project design and management”1.

Ethiopia as a developing country is suffering from adequate access to information, transparency of the
lack of democratic institutions, weak governance integration of public concerns in decision-making
and communication structures, lack of compliance are not achieved in EIA in Ethiopia.
and enforcement, and weak political commitment2. This study analyses the role of PP and integration
No regulation to manage water extraction of different actors in negotiating competing
exists, as water is considered as a free resource. interests among different water users and the
Governmental policies are focused on expanding nature in Central Rift Valley of Ethiopia (CRV) in
irrigation development for economic purposes, in Ethiopia. The results of this case analysis have to be
spite of encouraging water use efficiency. Combined understood in the context of a centrally-led non-
with a low level of compliance to environmental democratic country.
regulation, including licensing of permits, expanding
irrigation development in CRV is jeopardizing the THE CENTRAL RIFT VALLEY
riverbasin’s environmental sustainability. Contextual O F E T H I O P I A (CRV)

factors and corruption play an essential role for The Central Rift Valley of Ethiopia (CRV) (see Fig.
the lack of effective public involvement in project 1-1) is located in an area with increasing irrigation
implementation as part of environmental impact development and decreasing surface water level.
assessments, and the non-compliance with existing Cumulative impacts result in water scarcity and
legal and planning regulations. Additionally pressure on the ecosystems. Most of the irrigation
the public is not politically mature enough to schemes are extracting water from Lake Ziway and
actively engage in decision-making yet. Beside its tributary rivers through pumping and stream
insufficient mechanisms to do this, there is a lack of diversion, or from shallow ground water. In the
awareness, ambition and culture of participation. 1980s no effective EIA was implemented for these
No independent review of the quality of EIA private large scale irrigation schemes, neglecting
is undertaken.In practice, key objectives of PP consent of the local community and environmental
such as involvement of all stakeholders, early and offices.

* Habtamu D. Debelie, Hawassa University, Wondo Genet College of Forestry and Natural Resources, Ethiopia,
Hendrike Clouting, UNESCO-IHE Institute for Water Education, Department of Integrated Water Systems and Governance.

© Baltzer Science Publishers WATER GOVERNANCE – 03/2014 – 55

CASE STUDY – CENTRAL RIFT VALLEY IN ETHIOPIA

Figure 1:
Map of Central Rift
Valley in Ethiopia3

This uncontrolled water abstraction will degrade environmental policy, environmental laws, draft EIA
the CRV ecosystem in the foreseeable future4. The laws, regulations and guidelines.
water level of Lake Ziway is decreasing by 0.5m since As affirmed by the 2008 Directive issued by EPE to
2002 resulting in a reduction of the flow into the implement Proclamation No. 299/2002 art. 5, an EIA
Bulbula River from 180Mm3 to less than 50Mm3 is mandatory for any irrigated area of 3000ha or more
in an average year in 2003 and 2004, decreasing and any horticulture and floriculture development for
of Lake Abiyata by 60% of its original size, and export quality12. This proclamation further regulates
raising conflicts between upstream and downstream in art. 3(1) that any licensing agency shall ensure,
inhabitants5. Application of agricultural chemicals prior to issuing an investment permit or a trade or an
and fertilizers in horticulture and floriculture will operating license for any project, that the authority
significantly pollute water bodies. or regional environmental agency has authorized
its implementation. The EPE must ensure public
EIA S Y S T E M A N D P U B L I C PA RT I C I PAT I O N involvement in EIA and confirm this with a list of
IN ETHIOPIA stakeholders’ signatures and a letter from the woreda,
The initiation of the Conservation Strategy of which is in general not practically implemented. The
Ethiopia in 1989, supported by the International loophole created by investment proclamation No.
Union for Conservation of Nature (IUCN) and the 375/2003 art. 24(5) reversed the EIA legislation No.
UNCED conference in 1992 in Rio de Janeiro, set a 299/2002 art. 3(1)13, 14.
landmark for the inclusion of environmental right and
sustainable development in the national supreme law6.
As a result in 2002 the Environmental Protection Objectives and research methodology
Policy was promulgated and environmental protection The main research objective was to analyse how
organ (EPE) established. Later its competencies public participation is applied in EIA of irrigation
were decentralized to different environmental units schemes in the Ethiopian case study of Central Rift
and offices at federal and regional levels, and the Valley irrigation schemes at Lake Ziway (Figure1). An
EIA law was legally promulgated and enacted7, 8, analysis was carried out on Meki River on two Water
9,10,11. Decentralized sectoral units deal differently Users Associations (WUAs) (Sambo Alaltu and Sambo
with environmental matter, which allows developers Ganat) in Dugda woreda, Sher Ethiopia floriculture
to bypass regulations. Environmental rights and on Lake Ziway in Ziway town, and Castel Winery
sustainable development are entrenched in the farm on Bulbula River in Adami Tulu Jidokombolcha
Constitution in art.43, 44 and 92. The constitutional (ATJK) woreda (Table 1). The irrigation schemes are
rights of active involvement of the general public representative of the woreda. Hardly any information
(EIA actors and their main responsibilities) in the EIA exists about the EIA processes in the development of
process were clearly defined by the corresponding irrigation schemes in CRV.

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 CASE STUDY – CENTRAL RIFT VALLEY IN ETHIOPIA

No Name of irrigation Year Types No. of Owner Status of EIA

schemes established of crop workers

1 Sher Ethiopia 2005 Flower and 15,000 Private EIA obligatory

vegetables foreign investor but not conducted

2 Castel Winery 2008 Grape 780 >> EIA obligatory

but not conducted

3 Sambo Genet and 1980s Fruits and 694 WUAs Not mandatory EIA, no
Sambo Alaltu vegetables formal EIA conducted*

Table 1: Description of the case study irrigation schemes

(*Water transfer from Lake Ziway to Meki River is mandatory to EIA though not conducted)

80 interviews were undertaken, out of which 44 implementation of mitigation measures, which

interviewees are the local dwellers around the three are unsatisfactorily implemented. The farms were
irrigation schemes, 36 experts and management introduced without a proper EIA with PP. However,
bodies from the local to national government, NGOs WUAs representatives find that the members are
working in the research area, and developers. Focus strongly integrated in water and environmental
group discussions with 23 inhabitants from upstream- management, conflict resolution, experience sharing,
downstream of Bulbula River were implemented. and enhancing economic benefits from irrigation
Document analysis and field visits supplemented development.
gathered information15. PP and access to information: efforts of developers to
disclose their actions in environmental management
to the public are poor. PP and access to environmental
Results matters is very poor. However, the nation Ethiopia
OVERALL P E RC E P T I O N O F T H E D I F F E R E N T signed international environmental agreements and
I N T E RV I E W E E S G RO U P S developed environmental policy and legislations.
All interviewees revealed that the farms are very poor EPA provides environmental management plans and
in performing awareness creation for actors from the environmental information online.
early inception of the program to date. The farms Training, awareness raising and staffing: the farms were
have no formal plan to mitigate adverse impacts of the not offered training (Figure 2) for different actors to
projects. The involvement of stakeholders, particularly facilitate for farms’ activities and implement mitigation
the local community, is generally poor. measures. Both farms have hired public relation
professionals and Castel Winery has an environmental
PUBLIC PA RT I C I PAT I O N I N T H E CRV professional and 21 employees working on the
Public consultation and involvement: the local environment. Though both farms basically promote
communities are not consulted on the establishment a relation with the community and environmental
of the farms; their only source of knowledge about development, their achievement is unsatisfactory,
the farms is informal information from employees. mainly due to poor commitment of developers and
Additionally they are not involved in planning and competence of the regulatory body.

Figure 2:
Status of environmental
management actions
in improving mitigation
measures

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CASE STUDY – CENTRAL RIFT VALLEY IN ETHIOPIA

Table 2:
Recommendations
to close gaps in the
process and practice
of EIA in Ethiopia as
regulated in the FDRE EIA
Guideline (1995)

Figure 3:
Public participation
guideline status

Key impact identification: evaluation of the previous I N VO LV E M E N T O F P U B L I C A N D S TA K E H O L D E R S

irrigation schemes PP in EIA shows public involvement I N I M P L E M E N T I N G M I T I G AT I O N M E A S U R E S

in identifying key impacts and integration of public The research showed that there are no plan and
concern in EISR is missing in some projects. The implementation schedules on what has to be done and
public is not generally involved in the final review how, poor initiation of developers to involve the public
and decision of EISR, since time allocated is only 15 and stakeholders in implementing mitigation measures,
days. An inclusion of public comments into the final and poor actions to reverse adverse impacts of the farms
decision is bypassed, as type, location and size of the (see Figure 4). Implementation schedules and integration
project and public interest are not addressed within of mitigation actions with irrigation activities are
the regulated time frame. For instance in Kenya EIS is generally poor. Though the farms make efforts to ensure
published for two successive weeks in a Gazette notice their business competence on the international market,
and newspaper. The public has up to sixty days for an farms’ technical capacity, technological accessibility and
oral or written comment. Nigerian EISR review is done institutional capacity is insufficient, and 40% of the
within 30 days. respondents are not aware of these. Additionally, a clear
Budget, time and experts are constraining; the right commitment to sustainable development, integrating the
of the public is bypassed and PPis undermined. socio-environmental concerns equally with economic
Although the English non-technical summary is not interests is lacking.
understandable for any layperson, the respondents Regulatory organ: the regulatory organ at woreda
rated it as above average. level employs on average less than 50% EIA staff.
PP guideline: an evaluation of the PP guideline in EIA Availability of computers, internet service and other
revealed that identification methods and descriptions communication facilities is unsatisfactory. Furthermore
given for key actors are satisfactory. Managerial weak legal backup, absence of guidelines on EIA for
and technical capacity is in place to implement PP floriculture and specific regulations are limiting the
guideline, though this is weak in public involvement. enforcement of mitigation measures of the farms.
Guidance given for consulting firms is insufficient, The Environmental Authority has a limited capacity to
and accountability is not shared among citizens take legal measures on non-complaints to environmental
in challenging acts and omissions contravening legislation. There are no clearly set regulations and
environmental law (Figure 3). specific rules to support implementation of EIA

Figure 4:
Measures of adequacy
of environmental
management actions
in present

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 CASE STUDY – CENTRAL RIFT VALLEY IN ETHIOPIA

EIA in practice Recommendations (to close the gap)

Lack of specific guidance of the public Initiation of PP in every step of the EIA process
in the EIA process and enhancement of transparency
Weak enforcement Reinforcing EPA, integrating environmental and related sector institutions
Appeal procedure is limited to EPA or Development of interdependence between different sectors on development actions
equivalent regional authority that have adverse effect and set interlinked licensing procedure to avoid discrepancies
PP method to address projects with Capacity building, awareness raising and better integration
trans-boundary effect not clearly stated of environmental concerns into development
Method and time for final EISR revision Sufficient time allocation for scoping report and EISR review;
procedure by IAP is not clearly defined Establish EISR review mechanism by consulting the public
Limited time for evaluating scoping report (15 Development of independent PP guideline; EISR executive
working days); EISR having limited resources summary prepared in regional or national working language
No independent public participation Review and amendment of PP guideline in line with changing
guideline on EIA environment and international best practice
Assignment given for proponents to conduct Involvement of concerned actors in the EISR evaluation process;
EISR review may raise bias and lead to bypass Issuing specific regulations for some EIA Laws
Methods to publish environmental Any person shall have the right to lodge complaints to EPA or relevant regional
information and national report are missing environmental agency against any person causing damage to the environment;
and to the court if not satisfied by decision of environmental authority
Lacks method to evaluate cumulative Set EIA as a prerequisite prior to issue loan
effects of the projects by any bank for EIA projects
Absence of a plan and clear responsibilities Set a procedure for public instruments pass through
to update public participation guideline EIA prior to application
Absence of stakeholders such as associations, Approval of draft laws and promulgation of specific regulations, for instance,
vulnerable groups, religious institutions, CBOs to penalize non-compliant with set preconditions during permit procedures
Permit procedure reversed Define professional competence requirements for EIA consultants
EIA bypass for some projects Reversing the permit procedure as set on proclamation No. 299/2002

Table 2: Recommendations to close gaps in the process and practice of EIA in Ethiopia
as regulated in the FDRE EIA Guideline (1995)

proclamations. Review of environment related sectors’ Conclusions

laws revealed there is weak or no consideration of EIA of and recommendations
projects. For instance, in the water sector law, provisions Evaluation results of PP in irrigation schemes
of permit for sustainable water sector development development of Sher Ethiopia and Castel Winery
does not require EIA prior to issuing permit, though farms showed poor status of involvement,
it is clearly stated as a mandatory requirement in the participation and consultation. The public is not
policy document of the sector16. Land Use Planning and informed and has no access to information on
Administration laws stipulate prohibition of investments the farms; yet some efforts are emerging. There
in environmentally sensitive areas, but it is not stated are no satisfactory efforts made by the developers
in law that EIA is obligatory17. The Development Bank and local administration to cooperate and build
of Ethiopia requires EIA prior to giving loans, but trust between the local community and developers
developers can get loans without EIA. unlike smallholder WUAs. Furthermore, reversal of
investment law suppressed the enforcement of an EIA
I N T E G R AT I O N O F S TA K E H O L D E R S F RO M process with effective PP.
D I F F E R E N T E N V I RO N M E N TA L I N S T I T U T I O N S Public involvement in key impact identification
Environmental units were established in different during the scoping and final decision of EISR stages
ministries following proclamation №.295/2002. is weak. No non-technical summary is available in a
Sectors implementing environmental activities are local language. The four weeks allocated for review
municipality, water resources, mining, agriculture and of the scoping report and of the EISR are too short.
rural development, trade and industry and health.The Due to limited resources and staff the EISR review is
current cooperation between different sector offices on outsourced. Consequently local knowledge is missing,
environmental issues is insufficient, though structurally PP in impact assessment is neglected, the right to
satisfactory. Bodies competent for fostering cooperation access environmental information is undermined, PP
are busy with other official duties. As a consequence, in decision making is ignored, and public concerns
developers receive permits without the consent of key are not integrated in the final decision. This leads to
stakeholders. failure of the projects’ sustainability.

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PUBLIC PA RT I C I PAT I O N I N I R R I G AT I O N training and experts, budget and EIA guideline

WAT E R U S E I N CRV OF ETHIOPIA for floriculture. Planning and implementation of
The Ethiopian PP guideline depicts involvement of the mitigation measures of adverse impacts of the
public in projects which have significant impacts on the irrigation schemes are not documented, nor accessible
environment and the social and economic wellbeing of to the public. Technical and institutional capacity are
the society. The range of stakeholders to be involved, below average in implementing mitigation measures,
their roles and responsibilities, licensing procedures, which are of poor quality when implemented.
mechanism to ensure for public involvement, time limit
for some activities in EIA procedure are stated in the
guideline. PP guideline is rarely used by developers in F U RT H E R R E C O M M E N DAT I O N S

executing EIA and it has major gaps such as a missing F O R I M P ROV E M E N T :

guide and methods of public participation, weak

enforcement, limitation of appeal procedures only to A EIA regulatory framework:
EPA, ignorance of trans-boundary effect, limited time
for scoping and EISR review, absence of independent Raising the power of EPA among the federal and
PP guideline, lack of EIA guideline for some emerging regional environmental units is crucial;
projects as floriculture. Therefore, the guideline can be
further improved (see Table 2). The regulatory organ needs to reinforce
corresponding environmental offices and units with
I N T E G R AT I O N O F E N V I RO N M E N TA L O F F I C E S , budget, skilled man power, materials, and regular
U N I T S A N D S E C TO R S training and awareness raising to update with
EIA guideline depicts the integration of EPA, improved scientific skills and knowledge;
bureaus and offices at different government
hierarchy, environmental units and sector offices in An environmental court should be established;
EIA process. Methods of involvement are missing
and description given not sufficient. Environmental Specific guidelines to enforce certain environmental
institutions are insufficiently capable in human laws should be developed including enforcement
power and technological availability, and poorly measures and clear mandates, the regular update of
integrated with horizontal and vertical environmental PP guidelines with changes in floriculture sector;
units and authorities to implement environmental
laws and regulations. EPA has limited power to The regulatory body needs to define requirements
integrate federal government bodies and regional for EIA consulting firms and introduce
bureaus. Decentralization of EPA’s responsibility to Environmental monitoring, evaluation and auditing
different environmental units and sectors with weak for irrigation schemes.
environmental enforcement seems not benefiting.
Introduction of incentive mechanisms “carrot-
I M P L E M E N TAT I O N O F M I T I G AT I O N M E A S U R E S and-stick” to initiate best performing investors and
Sher Ethiopia has no Environmental Management Plan punish investors breeching environmental laws and
and environmental professionals to conduct formal regulations.
monitoring. The regulatory body (woreda) monitored
once after five years in 2010. According to interviewees, B Capacities of the main actors having a role in EIA:
this was only done for reasons of formality. Castel
Winery, operational since 2008, employs environmental The developers should commit themselves
professionals and 21 workers engaged in environmental in introducing planned and regular public
management activities. There exists no EMP and involvement in collaboration with the local
monitoring report. The regulatory organ raised as regulatory body in implementing mitigation
main challenges for monitoring the lack of awareness, measures, farm management and development,

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1 World Bank (1993) Public involvement in environment

assessment: requirements, opportunities and issues.
Environmental assessment source book update October
1993: number 5, Environment department, The World
Bank.
2 Damtie M, Bayou M (2008) Overview of Environmental
Impact Assessment in Ethiopia. Gaps and challenges.
3 GIRD Ha (2009) Rift Valley Lakes Basin Integrated
Resources Development Master Plan Study.
4 Hengsdijk H, Jansen H (2006) Agricultural development in
the Central Ethiopian Rift valley: A desk-study on water-
related issues and knowledge to support a policy dialogue.
Plant Research International BV, Wageningen.
and incorporate their concerns in every aspect of 5 Jansen HH, Legesse D, Ayenew T, Hellegers P, Spliethoff
a project. P (2007) Land and Water Resources Assessment in The
Ethiopia central Rift Valley, Wageningen.
They need to strengthen public relations by 6 FDRE (1995a) Proclamation of the Constitution of the
interacting with the local community and other Federal Democratic Republic of Ethiopia; Proclamation
IAPs through e.g. public events and forums to №.1/1995. In: FDRE (ed) Federal Negarit Gazet A, Addis
develop transparency and trust. Ababa – pp. 38.
7 FDRE (2002a) Proclamation №.280/2002 Re-Enactment
Horticulture and floriculture production quality of the Investment Proclamation. In: FDRE (ed), Addis
certification is given based on farms’ production Ababa.
performance. Though production sustainability 8 FDRE (2002b) Environmental Impact Assessment
can only be achieved through the involvement Proclamation №.299/2002. In: FDRE (ed) Federal
of the public, most farms are striving to achieve Negarit Gazeta, Addis Ababa-3rd December, 2002, pp.
the requirements for certification to ensure their 1958.
9 FDRE (1995b) Environmental Protection Authority
business competence on the global market. Thus
Establishment Proclamation №.9/1995 Federal Negarit
the role of these certifications “Milieu Project
Gazeta, Addis Ababa, pp. 73.
Sierteelt” Floriculture environment project and
10 EPA (1997) Environmental policy of Ethiopia.
Code of Practice (MPS and CoP) in integrating and Environmental Protection Authority in collaboration with
strengthening PP in EIA of irrigation development the Ministry of Economic Development and cooperation,
is crucial. Irrigation water use in CRV is not Addis Ababa, Ethiopia.
consistent with different environmental and social 11 EPA (2003) Guideline Series Documents for Reviewing
implications, which need further study. Environmental Impact Study Reports Addis Ababa,
Ethiopia.
12 EPA (2008) Directive №.2/ 2008 issued to determine
the Categories of projects subject to the Environmental
ABSTRACT Impact Assessment Proclamation №.299/ 2002.
13 FDRE (2003a) Council of Ministers Regulations
Environmental impact assessment (EIA) in Ethiopia is legally №.84/2003 Council of Ministers Regulations on
adopted and applied since 2002. The procedures followed are Investement incentives and Investement Areas Reserved
in place. Public participation (PP) is part of the EIA process for Domestic Investors. In: FDRE (ed) Federal Negarit
but remains weak in practice resulting in low awareness, lack Gazeta, Addis Ababa, pp. 2097.
of transparency and acceptance. This study aims to analyse 14 FDRE (2003b) Investment (Amendment) Proclamation
a case study of weak public involvement in EIA in Ethiopia №.373/2003. In: FDRE (ed) Federal Negarit Gazeta,
and provide some suggestions for improvement. Therefore, Addis Ababa, pp. 2438.
three irrigation schemes in the Central Rift Valley have 15 Habtamu DD(2011) Public participation in EIA of
been studied.We concluded that developers receive permits irrigation water use: a case of the Central Rift Valley
without the obligatory EIA and avoid the involvement of all Lakes Basin in Ethiopia. Master of Science Thesis,
key stakeholders.This situation is explained by the following UNESCO-IHE Institute for Water Education, Delft, The
causes. Firstly, there is a weak integration between and Netherlands.
within environmental protection offices and environmental 16 FDRE (2005a) Ethiopian Water Resources Management
units of sector ministries. Secondly, the regulatory body has Regulations; Council of Ministers Regulation
limited power and resources to enforce non-compliance of №.115/2005. In: FDRE (ed) Federal Negarit Gazeta,
environmental laws and regulations. Therefore, we recommend Addis Ababa, pp. 3068.
to strengthen the capacity of reinforcing regulatory bodies, and 17 FDRE (2005b) Federal Democratic Republic of Ethiopia
to improve the integration between environmental authorities, Rural Land Administration and Land Use Proclamation
environmental units and other line sectors. Additionally, revision №.456/2005. In: FDRE (ed) Federal Negarit Gazeta,
and updating of the PP guideline is required. Addis Ababa, Ethiopia, pp. 3144. M

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