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The World Bank The World Bank “Safeguard”Policies: “Safeguard”Policies: An OverviewAn OverviewZagreb, May 2009Zagreb, May 2009
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Overview of Presentation
1. World Bank SG Policies in context: what are they, why do we have them, where do they come from?
2. Overview of each SG Policy (10 + 1)
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1. Safeguard Policies in Context
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World Bank Operational Policies
Based on WB’s Articles of Agreement, General Conditions, & specific policies approved by WB Board
Set out in WB Operational Manual (Manual covers OPs, BPs (Bank Procedures), Guidance Notes, etc.)
Guide all aspects of WB Operations Cover wide range of topics (e.g. financial
terms/conditions of WB loans, “emergency response,” tobacco, Development Policy Lending, Financial Intermediary lending, economic evaluation of investment lending, water resources, procurement, project cycle steps, etc. )
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Legal Policies• OP 7.60 Disputed Areas• OP 7.50 International Waterways
Environmental Policies• OP 4.01 Environmental Assessment• OP 4.04 Natural Habitats• OP 4.09 Pest Management• OP 4.36 Forestry• OP 4.37 Safety of Dams
Social Policies• OP 4.11 Physical Cultural Resources• OP 4.12 Involuntary Resettlement• OP 4.10 Indigenous Peoples
WB Safeguard Policies (10+1)
BP 17.50 Bank Disclosure Policy
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Purpose of the World Bank Safeguard Policies
Do no harm: protect people and environment from adverse impacts
Reduce and manage risk for the Client and for the WB
Do good: enhance social equity and environmental sustainability
Respond to a world-wide constituency
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Environmental and Social “Due Diligence”
WB Management’s fiduciary responsibility to its shareholders (along with Financial Management, Procurement): assurance that all reasonable measures have been taken to ensure lending is environmentally/socially sound
Applies to sub-projects within projects Applies to all project components and investments
regardless of source of financing “Safeguard Documents” = Assessments and plans
required by SG policies (publicly disclosed)
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Key Roles – Who does What?World Bank
WB Board (representing Donor & Borrowing Countries) identifies needs and approve policies
Operations Policy and Country Services Unit (OPCS) and Legal Dept (LEG): draft OPs, BPs, set Bank-wide standards for interpretation and compliance, report to Management and Board
ECA Region Safeguards Team: (in consultation with Task Team and as needed with Senior ECA Management and/or OPCS, LEG): for each project, determines which OPs are triggered, appropriate EA category & specific compliance requirements; approve “Due Diligence” instruments (may delegate); clear Appraisal and Legal Documents;
WB Project Task Team: work with Borrower and SG Unit to ensure appropriate triggering/screening; advise Borrower on compliance throughout project cycle; evaluate “Due Diligence” instruments and Client capacity; disclosure (Infoshop); verify/ report to Management throughout project cycle
Quality Assurance Group and Internal Evaluation Group: Review performance of WB Staff and Management and quality of operations vis a vis SG (application, compliance, implementation, impact)
Inspection Panel: Independent body, investigates complaints by affected people; Reports independently (makes recommendations) to WB Board
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Key Roles: Who Does What?Borrower/Client
Implementing Agency/Entity: responsible for preparation, disclosure/consultation and implementation of “Due Diligence” instruments; reporting to Government and WB
WB’s official Government counterpart (e.g., MoF): legal commitment to implement DD instruments
Sub-project grant/loan recipients: specific obligations as spelled out in sub-grant or sub-loan agreements
Contractors/suppliers/consultants: specific obligations as spelled out in contracts
Public (civil society,“Project Affected Persons”, NGOs): advise on project design (consultations); raise legitimate grievances and complaints through appropriate channels
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Who Influences the Safeguard Policies?
WB Board
Donors
Project Beneficiaries
CivilSociety
NGOs
Media
WB Management
Affected Persons
Borrowers
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Cross-cutting Principles of SG Policies
Avoid negative impacts where possible; otherwise minimize, reduce, mitigate, compensate (in that order)
Match level of review, mitigation and oversight to level of risk and impacts
Inform the public and enable people to participate in decisions which effect them
Integrate environmental and social issues into project identification, design and implementation
Strengthen Borrower capacity
= Ingredients of Sustainable Development
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2. Overview of Safeguard Policies
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World Bank Safeguard Policies: Three-Part Format
Operational Policies (OP) – concise statement of policy objectives and operational principles including the roles and obligations of the Borrower and the Bank
Bank Procedures (BP) – Mandatory procedures to be followed by the Borrower and the Bank
Good Practice (GP) – Non-mandatory advisory material
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OP/BP 4.01: Environmental AssessmentObjectives:
To inform decision makers of the nature of environmental and social risks
To ensure that projects proposed for Bank financing are environmentally and socially sound and sustainable (promote positive impacts, avoid/mitigate negative impacts)
To increase transparency and participation of stakeholders in the decision-making process as one essential element
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Applies to all Investment lending (not Development Policy Lending); triggered for almost all investment projects
Umbrella EA policy: subsumes elements of others Based on screening of operations (Category A, B, C, FI) Scope of EA issues (integrated env & social); types of EA
instruments (based on risks and on type of lending) Bank and Borrower responsibilities (incl. consultation
and disclosure) Operational Annexes
OP/BP 4.01: Environmental AssessmentKey elements:
(more details later)
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OP 4.04 Natural Habitats
Objectives: Protect, maintain, restore natural habitats and
their biodiversity; Ensure sustainability of services and products which natural habitats provide to human society
Precautionary approach to natural resources management
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OP 4.04 (Natural Habitats)Key elements no WB support for significant conversion or degradation of
critical natural habitats* (if unavoidable, compensation through additional protected area of equivalent value)
Precautionary approach to natural resource management in interests of sustainable development
Where potential for impacts exists, assess/address Client capacity to implement protection
Preparation/appraisal/supervision to include qualified experts Take into account views/roles/needs of local communities,
NGOs; involve in planning, implementation (incl. PA management), monitoring; support local conservation incentives
*Definitions in Annex A
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BP 4.04 (Natural Habitats)
Any project with potential for significant conversion or degradation of natural habitat = Category A
Other projects involving natural habitats = Category A or B
Use of “compensation” approach requires V.P. approval
Costs of compensatory conservation (offsets) are included in project financing
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OP 4.09 Pest Management
Objectives: Support Integrated Pest Management (IPM)
approach for sustainable agriculture and health (promote use of biological/ environmental/ agronomic controls, reduced reliance on synthetic chemicals)
Reduce human exposure and health risks Help develop national capacity for IPM and
pesticide regulation/monitoring
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OP 4.09 (Pest Management)Key Elements
Assess issues through EA process (mitigation through EMP or separate Pest Management Plan depending on scale)
Pesticides may be financed in context of IPM (criteria for pesticide selection and handling)
No BP 4.09 - Pest Management Handbook
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OP 4.10: Indigenous Peoples
IP – distinct, vulnerable, social and cultural group attached to geographically distinct habitats or historical territories, with separate culture than the project area, and usually different language
Objectives: To foster full respect for human rights, economies, and
cultures of IP To avoid adverse effects on IP during the project
development One of the most controversial and contested OPs in other
regions; few applications in ECA (Siberia only)
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OPN 4.11 Physical Cultural Resources
Objectives : Physical Cultural Resources (PCR) are
identified and protected in World Bank financed projects
National laws governing the protection of physical cultural property are complied with
PCR includes archaeological and historical sites, historic urban areas, sacred sites, graveyards, burial sites, unique natural values
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OP 4.11 (Physical Cultural Resources)Key Elements & BP 4.11 Implemented as integral element of EA (EMP to
include PCR Plan as needed, or “Chance Finds” provision)
Typically triggered by:– any project involving significant scale excavation, earth
moving, flooding – any project in or near PCR site recognized by borrower
Archaeological survey to identify/characterise PCR (or to confirm none are present)
Mitigation may range from full protection to salvage & documentation (Borrower decides)
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OP 4.12 Involuntary Resettlement
Objectives: Minimize displacement Treat resettlement as a development program Provide affected people with opportunities for participation Assist displaced persons in their efforts to improve their
incomes and standards of living, or at least to restore them Assist displaced people regardless of legality of tenure Pay compensation for affected assets at replacement cost The OP Annexes include descriptions of Resettlement
Plans and Resettlement Policy FrameworksDetails in following presentation
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OP 4.37 Safety of DamsObjectives, Key Elements
To protect downstream populations and ecosystems from consequences of dam failure
Triggered if WB project finances dam construction or rehabilitation, but also when performance of a WB- financed project is dependent on an existing dam*
Distinguishes between large and small dams:– 15 m +, or 10 m + with other risk factors– Reservoir size – Likelihood of later increase in height/size
Requires dam independent panel to assess design/construction; detailed plans for construction/quality assurance; instrumentation, operation & maintenance, emergency preparedness
*due diligence requirements more modest in this case
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OP 4.36 Forests
Objectives: Forests are managed in a sustainable
manner Significant areas of forest are not
encroached upon The rights of communities to use their
traditional forest areas in a sustainable manner are not compromised
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OP 4.36 ForestsKey Elements & BP Applies to projects which may have impact on health and
quality of forests; projects which aim to bring about change in management, protection or utilization of forests
Applies to natural forests & plantations OP 4.04 applies, also to critical downstream habitats which
may be affected Plantations preferred to be made on unforested sites Attention to risk of invasive species Commercial harvesting may be financed for areas not
identified as critical forests/natural habitats
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OP 7.60 Projects in Disputed Areas
Legal Safeguard Policy The Bank may support a project in a
disputed area if governments concerned agree that, pending the settlement of the dispute, the project proposed for one country should go foreword without prejudice to the claims of the other country
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OP 7.50: Projects on International Waterways (Legal SGP)
Objective: to ensure projects will neither affect the efficient utilization and protection of international waterways, nor adversely affect relations between the Bank and its Borrowers and between riparian states
Triggered by any project which involves utilization of, or release of effluents into, an international waterway, regardless of scale, but exemptions may be approved in some cases
Legal Safeguard Policy – requirement for notifying other riparian States
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BP 17.50 Disclosure Policy/Disclosure Handbook
Supports decision making by the Borrower and Bank by allowing the public access to information on environmental and social aspects of projects
Mandated by six safeguard policies that have specific requirements for disclosure
In country: Before project appraisal in local language and in English
World Bank INFO-Shop: Before project appraisal in English (documents can be in
draft but must meet WB standards)
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Consultation (beyond disclosure)
Mandated by Environmental Assessment, Involuntary Resettlement and Indigenous Peoples Policies
A two-way process in which beneficiaries provide advice and input on the design of proposed projects that affect their lives and environment
Promotes dialogue between governments, communities, NGOs and implementing agencies to discuss all aspects of the proposed project
At least 2 consultations for a Category A Project (or Sub-project) and one consultation for a Category B Project (or Sub-project) before appraisal (or sub-project approval)
THE END
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