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

2. Strategic Environmental Assessment
and Social
Strategic Environmental Assessment
Environmental Impact Assessment
Environmental Management Plan
Environmental Management Framework
and Social
and Social
and Social
Others: e.g. Environmental Audit, Env. Risk Assessment

3. 1. Strategic Environmental Assessment
“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

4. Strategic Environmental Assessment -- European Union
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

5. Strategic Environmental Assessment – United Nations
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

6. Strategic Environmental Assessment – Your National Law?

7. Challenges to preparing high quality SEA
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

8. Environmental Assessment
2. Environmental Impact Assessment
a process
Environmental Assessment
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

9. ENVIRONMENTAL IMPACT ASSESSMENT
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

10. Full E(S)IA Report: Contents (OP 4.01) (according to WB)
Section
What it should tell us
Keep in mind…
Executive
(Non-technical)
Summary
Significant findings and key recommended actions;
Residual risks
What would the WB Board, Government or other stakeholders need to know to evaluate risks?
Summarize key acts and conclusions here; explain in main text
Might be only part many people read
Policy, Legal and Administrative
framework
Where national framework is sufficient to provide desired results and where incremental measures are needed to meet WB requirements
Whether project as proposed will comply with national laws/regulations; Institutional framework for implementation
Do not cut-and –paste the entire body of national laws verbatim Emphasize gaps and how to fill them
Include assessment of institutional structure and capacity for implementation & enforcement
Do not replicate design/FS

11. Full E(S)IA Report: Contents
Section
What it should tell us
Keep in mind…
Project Description
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.).
Baseline Data (physical, biological, social
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
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.

12. Full E(S)IA Report: Contents
Section
What it should tell us
Keep in mind…
Baseline Data (physical, biological, social
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
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.

13. Full E(S)IA Report: Contents
Section
What it should tell us
Keep in mind…
Environmental and Social Impacts
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)
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.

14. Full E(S)IA Report: Contents
Section
What it should tell us
Keep in mind…
Analysis of Alternatives
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.
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.

15. Full E(S)IA Report: Contents
Section
What it should tell us
Keep in mind…
Environmental Management Plan (Mitigation and Monitoring)
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
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)

16. EIA – Terms of Reference (ToR) Good TOR + Qualified Personnel = useful (and approvable E(S)IA)
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

17. Common Problems with E(S)IAs
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

18. 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)

19. ENVIRONMENTAL MANAGEMENT PLAN
Mitigation measures and monitoring measures & indicators/standards
Assigns responsibility for implementation; estimates costs
Text and/or table form:
For category B projects, generally free standing EMP is satisfactory. But a section on project background information is necessary in order to understand the project sites proximity to conservation areas, cultural assets, etc.
For some project, decommissioning phase is also mentioned in the EMPs (such as mining project which needs reclamation, site rehabilitation after the economic life is over)
Mitigation Plan: what must be done
Monitoring Plan: whether measures are
implemented & effective

20. Example: Environmental Mitigation Plan For The Foundry
Construction Phase
Project Activity
Potential Environmental Impacts
Proposed Mitigation Measures
Institutional Responsibility
Costs
US$
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”
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.
Construction works
Air pollution by dust
When necessary, construction site will be sprayed with water, particularly during hot, dry, windy conditions.
2000
Noise from construction 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. -

21. Example: Environmental Mitigation Plan For the Foundry
Operation Phase
Project Activity
Potential Environmental Impacts
Proposed Mitigation Measures
Institutional Responsibility
Costs
US$
Coal Combustion
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 operator
Power 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
S&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 monthly
Safety engineer will be assigned to the site
50,000

22. Example: Environmental Monitoring Plan
For the Foundry
Construction 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 -
Loss of fertile topsoil and soil erosion
Soil storage procedures and location
Soil storage sites
Visual
Weekly during site preparation and construction period
Contractor
Air pollution by dust
Dust level
All active construction sites
During construction Contractor/ Supervisor Engineer
Noise pollution from construction works
Noise level, dB[A]
Measurements by a licensed organization using certified measurement devices
During construction,

23. Example: Environmental Monitoring Plan For 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 equipment
Records 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

24. EXAMPLE: ROADS CONSTRUCTION EMP

25. EXAMPLE: ROAD CONSTRUCTION EMP

26. X
Incorporating Environmental Management in Construction Procurement and Contracting X
Bills of Quantities
Site Management Plans
Environmental Auditor
Penalty and Incentive clauses
Performance bond (“damage deposit”) X X

27. Common Problems of EMPs
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

28. 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)

29. Monitoring indicator: “fish ladder is built” vs.
Issue: dam will block upstream movement of fish for spawning
Mitigation measure:
“Include fish ladder in dam design”
vs.
“Include frastructure needed to enable movement of migratory fish
Monitoring indicator:
“fish ladder is built”
vs.
“record seasonal movements of fish species X”

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

31. 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
P5: Arma HPP: Poor management of excavated rock at access and service gallery to main tunnel: reduction of riverbed width, impacts by increased siltation and turbidity.
P6: Arma HPP: poor management of material excavated from canal alignment, impacting river.

32. 3a. “Checklist EMP” for small civil works
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

33. Checklist EMP – Eligibility Criteria
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

34. EMP Checklist: Structure and Function
1: Datasheet
Basic information on project activities
Environmental baseline information
2: Potential impacts list
Grouped according to various themes or impact types
Themes / types to be checked as applicable
3: Mitigation measures list
Each checked item from Section B triggers specific mitigation measures / parameters and specific, concrete activities to be implemented on site
4: Monitoring plan
Focuses on reasonable, meaningful, practical monitoring parameters and activities

35. How EMP Checklist is used
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

36. EMP Checklist: How it works
Example: 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

37. EMP Checklist: How it works
Subproject Example: Sub-project # 1 (Town A)

38. EMP Checklist: How it works

39. EMP Checklist: How it works
NOTE: Section A always applies

40. EMP Checklist: How it works

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

42. 4. Environmental and Social Management Framework:
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

43. 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

44. ESIA vs ESMF For investment projects For “Programmatic” 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
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

45. ESMF for project with scope of Sub-projects
NARROW VS BROAD
Substantive ESMF
(including project-wide EA; generic model EMPs)
Sometimes use generic EMP instead of ESMF
Process-oriented ESMF
General criteria, guidance,
Set out processing steps and accountability
Trade-off: narrower scope and more substantive ESMF = less judgement (and therefore less capacity) required to implement it

46. Community Development Funds
Kazakhstan
Kyrghyz Rep.
Croatia
Serbia

47. Incorporating ESMF into Project Cycle
Submission of priority proposals
Evaluation/selection of proposals
Eligibility Screening
FEASIBILITY/DESIGN
(Assisted) preparation of applications
EIA Preparation
Pre-FS Form
Sub-Project approval
Community Development Fund sub-project cycle
PRE-FEASIBILITY
Environmental Permit
Construction Permit
IDENTIFICATION
Agreement on work plan, contract signing
SUPERVISION
Start of works
OPERATION
Monitoring of works
EMP implementation
Arrangements for appropriate expertise at each stage
Progress reports

48. review of eligibility of proposal, excluding any with high environmental risk
Eligibility Screening of proposals
EA screening, evaluation of env. issues and proposed mitigations; scope of EA/EMP, if required
Evaluation/selection of eligible proposals 5
Submission of proposals 4 6
identify potential environmental issues and proposed mitigation measures
(Assisted) preparation of applications
Sub-Project approval 6 3
Environmental mitigation measures included in Sub-project contract; includes specific provisions for environmentally sound procurement, contracting
Agreement on work plan, contract signing
Advice to prospective applicants on eligible/ineligible activities, potential environmental issues e; potential impacts and mitigation measures for different types of sub-projects
Training Workshops for Applicants
2 2
sub-project cycle 7 1
Program Advertisement
First tranche disbursement
Procurement: include environmental provisions in bidding documents, specifications, contracts (including penalties for non-compliance) 8
Final report & accounting
Final reports, ISR report on EMP compliance and env./social impacts 11
Sub-borrower monitors according to Env. Monitoring Plan, reports to PIU; PIU verifies, reports to Borrower & WB 9
Progress report, Accounting, verification 10
environmental measures may be triggers for disbursement
Second tranche disbursement

49. 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

50. Approach to Third East-West Highway Tunnel
Bad practice: waste material dumped and spread – about 1 sq km

51. Aggregate Crusher Plant
Good practice: water spray to control dust

52. 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

53. Main Recommendations:
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

54. THE END