1 Environmental Safeguard Instruments World Bank Safeguards Training Workshop May 2013 Agi Kiss

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Environmental Safeguard Instruments

World Bank Safeguards Training WorkshopMay 2013Agi Kiss

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Strategic Environmental Assessment

Environmental Impact Assessment

Environmental Management Plan

Environmental Management Framework

and Social

and Social

and Social

and Social

Others: e.g. Environmental Audit, Env. Risk Assessment

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“Upstream” planning tool (input to planning process – regional, sectoral, program level)

Helps identify more sustainable development pathways

Under OP 4.01, can be environmental Safeguards Instrument for a programmatic investment• even if Category A projects are included• special emphasis on cumulative impacts

Must include SUBSTANCE, not just process (not same thing as Env. Mgmt. Framework)

Relatively new instrument; wide range of models; limited guidance; limited capacity and experience

1. Strategic Environmental Assessment

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1. SEA Directive 2001/42/EC of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment

Objective: to provide for a high level of protection of the environment to contribute to the integration of environmental

considerations into the preparation and adoption of plans and programmes with a view to promoting sustainable development,

by ensuring that an Environmental Assessment is carried out of certain plans and

programmes which are likely to have significant effects on the environment

Strategic Environmental Assessment -- European Union

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2. SEA Protocol on Espoo Convention (UNECE Convention on EIA in a Transboundary Context - July 2010)

Objective: sets out the obligations of Parties to assess the

environmental impact of certain activities at an early stage of planning

It lays down general obligation of States to notify and consult on all major projects that are likely to have a significant adverse environmental impact across boundaries

Strategic Environmental Assessment – United Nations

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Strategic Environmental Assessment – Your National Law

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limited awareness -- need to clarify SEA benefits (to Governments, stakeholders…)

multi-sectoral coordination integration of SEA with planning/decision

making processes (including timing) limited capacity, time and resources for

implementation environmental data availability and quality

Challenges to preparing high quality SEA

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Environmental Assessment

a process

a document / report

an input to decision making

OP 4.01 – focuses on when and how EA should be done (reflecting level of environmental risk) to provide necessary information about likely outcomes of proposed project

Other OPs - more detailed “how to” and guidance on acceptable versus unacceptable outcomes

2. Environmental Impact Assessment

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Usually project level (assessment of specific project proposal)

Identifies and assesses potential risks and benefits based on proposed activities, relevant site features, consideration of natural/human environment, social & transboundary issues

Compares environmental pros and cons of feasible alternatives (often already defined in feasibility study)

Recommends measures to avoid, reduce or offset adverse environmental impacts to acceptable levels (sitting, design, technology offsets)

Should recommend measures to maximize positive impacts

Covers all stages of project from design to decommissioning

Proposes monitoring indicators to implement mitigation measures

Describes institutional framework for environmental management and proposes relevant capacity building needs

ENVIRONMENTAL IMPACT ASSESSMENT

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Full E(S)IA Report: Contents (OP 4.01)(according to WB)

Executive (Non-technical) Summary

Significant findings and key recommended actions;

Residual risks

Policy, Legal and Administrative framework

Where national framework is sufficient to provide desired results and where incremental measures are needed to meet WB requirementsWhether project as proposed will comply with national laws/regulations; Institutional framework for implementation

What would the WB Board, Government or other stakeholders need to know to evaluate risks?Summarize key acts and conclusions here; explain in main textMight be only part many people read

Do not cut-and –paste the entire body of national laws verbatimEmphasize gaps and how to fill themInclude assessment of institutional structure and capacity for implementation & enforcementDo not replicate design/FS

Section What it should tell us Keep in mind…

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Full E(S)IA Report: Contents Section What it should tell us Keep in mind…

Key elements of proposed project (objectives, location, design, implementation arrangements), with strong emphasis on aspects relevant to its potential environmental and social impacts. Include all elements important to the project, including “ancillary” and “offsite” investments and facilities which might already exist or might be financed by others, but which are necessary for the project’s operation.

Provide detailed description of project elements with potential significance for environmental and social impacts (e.g. scale, technology, access arrangements, etc.).

Project Description

Baseline Data (physical, biological, social

Focus on aspects that could influence or be affected by the project , indicating how they relate to the project. Avoid general “data dump” of detailed information with no relevance to the project or its impacts. For bio data may need to cover more than one season.

• Current status, trends for elements that are important for human wellbeing and/or environmental health and could be affected by the project; discuss Limits of Acceptable Change where possible

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Baseline Data (physical, biological, social

Set study boundaries based on project Area of Influence.

Focus on features that could influence or be affected by the project (indicating how they are relevant to the project).

Avoid “data dump” of detailed information with no relevance to the project or its impacts.

Indicate methodology/sources used for data collection

For bio data may need to cover more than one season.

Use time frame/resolution that is relevant to the project timeframe.

Current status, trends for elements that are important for human wellbeing and/or environmental health and could be affected by the project

Where possible, indicate Limits of Acceptable Change

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Environmental and Social Impacts

Set study boundaries based on project Area of Influence.Focus on features that could influence or be affected by the project (indicating how they are relevant to the project).

Avoid “data dump” of detailed information with no relevance to the project or its impacts.

Indicate methodology/sources used for data collection

For bio data may need to cover more than one season.

Use time frame/resolution that is relevant to the project timeframe.

Foreseeable changes in baseline conditions likely to be caused by the project. Include:

• direct and indirect impacts• Positive and negative• likelihood of impacts• Potential significance of

impacts, in relation to ecosystem stability, species survival, Limits of Acceptable Change..

• Potential cumulative impacts• All project stages• Residual impacts (expected

to remain after all feasible mitigation measures are done)

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Analysis of Alternatives

Include “no project” option but not only this (except where no other feasible options exist).

Describe any previous alternatives analysis done previously (e.g. in context of spatial planning).

Avoid imiting comparison to minor technical variations of same basic option.

Analyze/compare options – do not just list/describe them.

To extent possible, use objective methodology, e.g. multi-criteria analysis, scenario modelling, etc.

Identify feasible alternatives (hopefully but not necessarily considered in Feasibility Study or prior planning activities)

Evaluate all above options with respect to environmental and social impacts

Indicate any options that are unacceptable or not recommended from env/social perspective and why.

Indicate any option(s) that are clearly preferred from env and/or social perspective and why.

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Environmental Management Plan (Mitigation and Monitoring)

Include capacity building as needed to ensure mitigation and monitoring measures can be implemented

Do “reality check” on mitigation measures (Feasible? Practical? Affordable? Likely to be successful?)

Include monitoring indicators for verifying implementation of mitigation measures (e.g. erosion barriers are installed), and for outcomes (e.g. water quality measures)

What measures are needed to stay within acceptable limits of change.

What other measures are recommended to further reduce negative impacts and/or enhance positive impacts/sustainability

Monitoring indicators both for implementation of mitigation measures and for

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Clarity on objectives (analysis/conclusions and recommendations, not just data; practical and realistic EMP, etc.)

Clarity on scope and contents (all project activities and associated activities; all project stages; direct & indirect & cumulative impacts; analysis of alternatives; social/environment interface; clear and feasible EMP; etc.). List known issues to be addressed, plus provision for consultant to identify others

Clarity on methodology/level of effort (site visits, formal surveys, modeling, consultations, etc.)

Clarity on deliverables (note value of inception Report) Provide for sufficient time and resources (for data collection,

consultation, document revision, etc.) Specific expertise required (technical specialties; EIA experience) Time Frame; budget and/or expected person-months

Scoping step: essential role of public consultation; involvement of social specialist ;

Line up financing for EIA while preparing ToRs

EIA – Terms of Reference (ToR)Good TOR + Qualified Personnel =

useful (and approvable E(S)IA)

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No (or poor) Executive Summary Geographic scope too limited (project “footprint” vs. Area of

Influence) Excessive irrelevant information – not linked to any project

issues Inadequate or outdated baseline information Inadequate analysis of feasible alternatives Inadequate discussion of indirect, cumulative, and

transboundary impacts Lack of meaningful consultation and public participation (e.g.,

“token” disclosure) or insufficient information on consultation Inadequate assessment of and support for implementers’

capacity Failure to update the EIA and EMP to reflect changes in project

context, design or technology

Common Problems with E(S)IAs

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3. Environmental and Social Management Plan Summarizes mitigation and monitoring measures identified in ESIA

Covers all phases of project

For Category A and “high B” projects, ESMP is part of ESIA

For “low B” projects, EMP can be free-standing:

• If environmental issues are generic, not site-specific; • If mitigation measures are routine, not tailored to project or site

Contents set out in OP 4.01 Annex C (format is flexible, but Mitigation and Monitoring Tables are common)

Should include cost estimates

Should be integral part of Project Operational Manual

Should be included in construction contracts

Is cited in Legal Agreement (Borrower’s responsibility to implement EMP)

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ENVIRONMENTAL MANAGEMENT PLAN

• Mitigation measures and monitoring measures & indicators/standards• Assigns responsibility for implementation; estimates costs• Text and/or table form:

Mitigation Plan: what must be done

Monitoring Plan: whether measures are implemented & effective

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Example: Environmental Mitigation PlanFor The Foundry Construction Phase

Project Activity Potential Environmental Impacts

Proposed Mitigation Measures Institutional Responsibilit

y

CostsUS$

Use of land within the plant

construction area, and along the access

road route

Damage to vegetation

Appropriate clearing techniques (hand clearing, not mechanized clearing) will be utilized. Any trees of protected species will be relocated. In case relocation is not possible, the project developer will agree with the MoEnv on a practical compensation to protect specific trees

Contractor/Plant Operating Company

“5000”

Use of land within the plant

construction area, and along the access

road route

Loss of fertile

topsoil and soil erosion

Fertile topsoil will be removed, stored in an isolated area away from construction activities, and covered with plastic to prevent runoff/erosion. Upon construction completion, topsoil will be returned and the area revegetated with plants similar to the original vegetation/native to the area.


“5000”

Construction works Air pollution by dust

When necessary, construction site will be sprayed with water, particularly during hot, dry, windy conditions.


2000

Construction works Noise from constructio

n works

Construction will be confined to normal work-hours (7AM to 7PM). If construction must be conducted before/after these hours, local public will be notified at least one week in advance.


-

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Project Activity

Potential Environmental Impacts

Proposed Mitigation Measures

Institutional Responsibilit

y

CostsUS$

Coal Combusti

on

Air emissions of NOx, SO2, CO, particulate matter

Low-NOx burners and water injection to control NOx;Firing only low-sulfur (<0.1% by wt.) coal to control SO2;Good combustion control to control CO, PM and VOCs;Stack height at least 45 m to facilitate dispersion.

Power plant operatorPower plant supply and installation (S&I) contractor

0.8 million

Equipment

Operation

Noise from equipment

Acoustic enclosures for the combustion turbines to ensure that noise does not exceed 70 dB(A) at 100 m

Power plant operatorS&I Contractor

150,000

All operation

phases

Workers Health and Safety

Personnel protective equipment will be used (gloves, glasses, safety belts)WHS training will be provided to workers monthlySafety engineer will be assigned to the site

Power plant operator

50,000

Example: Environmental Mitigation PlanFor the Foundry

Operation Phase

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Example: Environmental Monitoring PlanFor the FoundryConstruction Phase

Potential Environmental Impacts

What parameter is to be monitored?

Where s the parameter to be monitored?

How is the parameter to be monitored?

When / by whom is the parameter to be monitored?

Cost

Damage to vegetation

Clearing techniques and relocation procedures utilized; record of compensation provided as agreed with MoEnv

Plant site, pipeline and access road line routes

Visual and by comparison with pre-construction photo survey

Monthly throughout construction period;Contractor/ Supervisor Engineer

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Loss of fertile topsoil and soil erosion

Soil storage procedures and location

Soil storage sites

Visual Weekly during site preparation and construction periodContractor

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Air pollution by dust

Dust level All active construction sites

Visual During construction Contractor/ Supervisor Engineer

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Noise pollution from construction works

Noise level, dB[A] All active construction sites

Measurements by a licensed organization using certified measurement devices

During construction,Contractor

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Example: Environmental Monitoring PlanFor the Foundry

Operation Phase

Potential Environmental

Impacts

What parameter is to be monitored?

Where is the parameter to

be monitored?

How is the parameter to be monitored?

When/ by whom is the parameter to be monitored?

Air emissions of NOx, SO2, CO, and particulate matter (PM)

The applicable standards are: (1) NO2 ≤ 400 mg/m3; (2) SO2 ≤ 850 mg/m3; (3) CO ≤ 150 mg/m3; (4) PM ≤ 100 mg/m3

At the stack of the plant

By continuous monitoring equipment supplied with the power plant; costs are part of the self-monitoring plan for the plant – could be easily estimated

Initial test at commissioning and annual subsequently. Continuous for NOx and CO. Plant management

Noise from construction works

Noise level, dB[A]. Applicable limits are 70 dB(A) at 100 m

At 100 meter from the border of the site (closest end to a residential area)

Measurements by a licensed organization using certified measurement devices; national standard costs

Once before commissioning of the plant and annually when the plant is in operation

Workers Health and Safety

Usage of personnel protective equipmentRecords of WHS training

At the site Visual checking usage of protective equipment; Records of the training held/attendance

Equipment: daily by safety engineer

Training records: monthly by safety engineer

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EXAMPLE: ROADS CONSTRUCTION EMP

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EXAMPLE: ROAD CONSTRUCTION EMP

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X

X

X

X

Bills of Quantities

Site Management Plans

Environmental Auditor

Penalty and Incentive clauses

Performance bond (“damage deposit”)

Incorporating Environmental Management in Construction Procurement and Contracting

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Mitigation measures not aligned with identified issues/impacts Mitigation measures too general, insufficient detail Mitigation and/or monitoring measures not feasible or not

practical (e.g. all hazardous wastes to be disposed of in licensed HW landfill… are there any?)

Failure to distinguish between required mitigation measures and recommended actions

Monitoring indicators inappropriate, imprecise, or not measurable

Responsibilities not assigned or inappropriately assigned Lack of cost estimates EMP too long and elaborate

Common Problems of EMPs

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Medical Waste Disposal

Rehabilitated clinic has good storage facilities for collecting/isolating medical waste, but EIA/EMP failed to address issue of final disposal

EMP for small rural clinic calls for on-site incineration, judged appropriate for type and scale of medical waste (but should have specified enclosure of burn site)

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Monitoring indicator:

“fish ladder is built” vs. “record seasonal movements of fish species X”

Mitigation measure:

“Include fish ladder in dam design” vs. “Include frastructure needed to enable movement of migratory fish

Issue: dam will block upstream movement of fish for spawning

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Alternative technology: “Herring highway” on Rock Creek (Washington, DC)

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Generic EMP can state: work site should include structures to avoid erosion of riverbanks

Site-specific EMP should specify: location/dimensions and types of structures required, with estimated costs

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2007 review of SG implementation in health & education sectors indicated: • Most of the projects Category “low B”• Environmental impacts usually related only to small scale

construction / building rehabilitation• National laws did not require EMPs; implementers not

accustomed to having them• EMPs existed on paper but were long, complex, impractical –

and mostly ignored… result in most cases: no environmental site management

Recognition that issues for small scale construction/rehabilitation are fairly standard… no need to continually “re-invent the wheel

Conclusion: need a streamlined, practical instrument, which would be standardized, easy to prepare, implement and monitor, specifically tailored to small scale infrastructure

3a. “Checklist EMP” for small civil works

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Category “low B” Project

Environmental issues known and limited to small scale construction/rehabilitation works*

Area of impact clearly defined & limited: either within an existing “footprint” or relatively small new areas known not to have major environmental or social issues

Checklist EMP – Eligibility Criteria

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EMP Checklist: Structure and Function

• Basic information on project activities• Environmental baseline information

1: Datasheet

• Grouped according to various themes or impact types

• Themes / types to be checked as applicable

2: Potential impacts list

• Each checked item from Section B triggers specific mitigation measures / parameters and specific, concrete activities to be implemented on site

3: Mitigation measures list

• Focuses on reasonable, meaningful, practical monitoring parameters and activities

4: Monitoring plan

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Parts 1 & 2: description of sub-project and identification of potential impacts: for use by screener/approver

Part 3: identifies issues and associated mitigation measures: becomes part of construction contract

Part 4: monitoring/supervision plan to verify effective mitigation: for use by construction site supervisor and PMU

How EMP Checklist is used

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EMP Checklist: How it worksExample: Country X Real Estate & Cadastre Project (XRECP)

Introductory information (to be filled in prior to Appraisal):

• Project will finance rehabilitation of 15 Cadastre office buildings, all currently in use (the sub-projects)

• No new construction or extension of facilities – all works within existing footprint

• All buildings located in urban areas on commercial streets with moderate to heavy traffic

• Some may be registered historical buildings • Rehabilitation will be interior & exterior including: repair or replacement of

roofs & windows, rewiring, removal/replacement of insulation, masonry repairs, replacement of floors, repair/replacement of plumbing, painting

• A site-specific Checklist EMP form will be completed for each Sub-project and will be attached to the construction contract

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EMP Checklist: How it worksSubproject Example: Sub-project # 1 (Town A)

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EMP Checklist: How it works

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NOTE: Section A always applies

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EMP Checklist: Monitoring Measures for selected potential impacts and mitigation measures

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When specific investments cannot be identified prior to project Appraisal (sub-projects will be identified , prepared and approved during project implementation)

Examples:

Financial Intermediary (FI) operations Trenched sectoral investment programs (incl. SWAPS) Area development projects (rural, municipal, etc.) Social Funds Small Grants Programs

4. Environmental and Social Management Framework:

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Environmental and Social Management Framework

Provides an environmental and social screening process to allow for identification, assessment and mitigation of potential impacts by proposed works at the time the detailed aspects are known

Provides guidance on process to ensure EAs will be prepared in compliance with national legislation and OP 4.01

Serves as guidelines for the development of sub-project/site-specific Environmental Management Plans (EMPs), Environmental Assessments (EAs), due diligence reports, environmental audits, etc

May be purely process-oriented or include technical details for likely common types of sub-projects

May provide specific guidance regarding preferred or acceptable alternatives (siting, technology, etc.)

Outlines training and capacity-building arrangements needed to implement the EMF provisions

Is an integral part of the project Operational Manual and applicable to all project investments, regardless of funding source or implementing agency

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For investment projects

Purpose: identify and evaluate specific potential env/social risks and impacts; identify measures to avoid/reduce/mitigate/ compensate for negative impacts, promote positive

Includes specific EMP with concrete, monitorable mitigation measures and targets

ESIA vs ESMF

• For “Programmatic” projects

Purpose: indicate likely risks of the types associated with activities to be financed; provide guidance for preparation of sub-project ESIAs

Includes generic EMP to be refined based on specific sub-project and conditions

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ESMF for project with scope of Sub-projects NARROW VS. BROAD

Process-oriented ESMF

General criteria, guidance,

Set out processing steps and accountability

Substantive ESMF

(including project-wide EA; generic model EMPs)

Sometimes use generic EMP instead of ESMF

Trade-off: narrower scope and more substantive ESMF = less judgement (and therefore less capacity) required to implement it

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Kyrghyz Rep.

Kazakhstan

Serbia

Croatia

Community Development Funds

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Community Development Fund sub-project cycle

IDENTIFICATION

PRE-FEASIBILITY

(Assisted) preparation of applications

Submission of priority proposals

Eligibility ScreeningEvaluation/selection of proposals

Sub-Project approval

Agreement on work plan, contract signing

Start of works

EMP implementation

OPERATION

SUPERVISION

FEASIBILITY/DESIGN

Pre-FS Form

Environmental PermitConstruction Permit

Monitoring of works

Progress reports

EIA Preparation

Incorporating ESMF into Project Cycle

Arrangements for appropriate expertise at each stage

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sub-project cycle 1

2 2

3

4 5

6

6

7

8

9 10

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Program Advertisement

Training Workshops for Applicants

(Assisted) preparation of applications

Submission of proposals

Eligibility Screeningof proposals

Evaluation/selection of eligible proposals

Sub-Project approval

Agreement on work plan, contract signing

First tranche disbursement

Progress report, Accounting, verification

Second tranche disbursement

Final report & accounting

Advice to prospective applicants on eligible/ineligible activities, potential environmental issues e; potential impacts and mitigation measures for different types of sub-projects

identify potential environmental issues and proposed mitigation measures

review of eligibility of proposal, excluding any with high environmental risk EA screening, evaluation of

env. issues and proposed mitigations; scope of EA/EMP, if required

Environmental mitigation measures included in Sub-project contract; includes specific provisions for environmentally sound procurement, contracting

Procurement: include environmental provisions in bidding documents, specifications, contracts (including

penalties for non-compliance)

environmental measures may be triggers for disbursement

Sub-borrower monitors according to Env. Monitoring Plan, reports to PIU; PIU verifies, reports to Borrower & WB

Final reports, ISR report on EMP compliance and env./social impacts

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2009 South Caucuses Transport Projects Review(3 countries, 10 Projects – several involving multiple sub-projects)

Main findings:

• Good EIAS, but often minimal client involvement (direct WB/consultant interaction)

• EMPs too generic• EMP specific provisions not included in designs or contracts • Contractors & clients (and TTLs in some cases) lacked capacity and

incentive to monitor/act on EMP implementation (“business as usual”)• International supervision consultants fell short

Main recommendations:

• More specific EMPs• Incorporate EMPs in contracts with incentives and penalty clauses • Increase WB and client capacity for supervision

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Approach to Third East-West Highway Tunnel

Bad practice: waste material dumped and spread – about 1 sq km

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Aggregate Crusher Plant

Good practice: water spray to control dust

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Challenges of ESMF Preparation and Implementation

EMF not recognized in national legislation (no national mechanism to approve it)

Unfamiliar role for many FI’s Insufficiently concrete guidance (e.g. screening criteria) Differences between national and WB EA screening criteria,

environmental standards Tendency for implementers, contractors, regulators to ignore

ESMF, revert to familiar approaches Hard to build in Cumulative Impacts aspect Hard to get meaningful public consultation Difficulty and expense of monitoring numerous sub-projects Timely Progress Reporting on EMP implementation aspects

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2007 Review of Safeguards Implementation in HD Sector(8 projects, 6 countries in SEE and S. Caucasus – small scale building

rehab & construction, small community-based infrastructure)

Main Findings: SG documentation generally good EMP not integrated into works contracts and/or no elaboration on

generic EMP National systems & public awareness good in SEE, weak in S. Caucasus

Main Recommendations: Simplify EMP and facilitate transposing into contracts (result:

Checklist EMP developed) Provide guidance for asbestos handling/disposal Build env/social awareness of counterparts & public Provide for cumulative impact analysis of multiple small

investments Improve integration of env & social measures in project design,

organization, implementation

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THE END

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Documents

1 Environmental Safeguard Instruments World Bank Safeguards Training Workshop May 2013 Agi Kiss