World BankSafeguard Policies and

Application for Infrastructure projects

Nagarkot2013

Coverage and Messages SS policies are a way to integrate E & S issues into decision

making,

Support participatory approaches and transparency,

Implementation of E/SS is essential to achieve Sustainable Devt,

Safeguards polices has influence on our ability to mobilize public & private sector funding,

Countries and societies may differ in their choices about environmental and social priorities and other aspects of sustainable development.

The Safeguard Policies

OP 4.01 Environmental AssessmentOP 4.04 Natural Habitats OP 4.09 Pest Management OP 4.11 Physical Cultural ResourcesOP 4.10 Indigenous PeoplesOP 4.12 Involuntary ResettlementOP 4.36 ForestryOP 4.37 Safety of DamsOP 7.50 International WaterwaysOP 7.60 Projects in Disputed AreasBP 17.50 Public Disclosure

Focus of Safeguard Policies

Impact & Risk Assessment

Mitigation/Development Measures

Enforceable Plans

Monitoring/Evaluation of Implementation

Consultation

Disclosure

Accountability

Objectives of Safeguard Policies Inform decision making of Bank and Borrower,

Ensure systematic evaluation of E & S risks of all operations,

Reduce and manage adverse impacts and risks,

Mitigate and compensate for unavoidable impacts,

Promote environmental and social benefits.

Ensure meaningful involvement of APs & other stakeholders.

Principles of Safeguard Policies

Emphasize “Do no harm” and “Do good”,

Quality enhancement tool,

Environmental & Social analysis best when integrated with technical, economic, institutional, and financial analysis,

Flexibility to adapt to local context.

Focus of Safeguard Policies

Impact Assessment

Mitigation/Development Measures

Enforceable Plans

Monitoring/Evaluation of Implementation

Consultation

Disclosure

Accountability

Applies to All Bank Operations

Development Policy Lending Guarantees Investment Loans Financial Intermediary Operations Community Driven Development Social Funds Emergency Recovery/Post Conflict Global Environment Facility (GEF) Carbon Finance

1. Environmental Assessment Objectives - To support integration of environmental and

social aspects of projects into the decision making process

Coverage Analyses the potential environmental and social risks and

impacts (level of analysis correspond to their nature and scale) in project’s area of influence,

Examines project alternatives - ways of improving project selection, siting, planning, design, and implementation.

Develops Environmental Management Plans (EMP) to prevent, minimize, mitigate, or compensate adverse impacts and enhance positive impacts.

Environmental Screening Category A - likely to have significant adverse impacts that are

sensitive, diverse or unprecedented and may affect an area broader than the sites subject to physical works; Requires full Environmental Assessment (EA)

Category B - potential impacts are less adverse than of Category A projects; impacts are site specific, irreversible; and in most cases mitigatory measures are readily designed; Requires a more limited EA

Category C - likely to have minimal or no adverse impacts No further EA action is required

Category FI - investment through a financial intermediary, in sub-projects that may result in adverse impacts; Requires an EMF (Management Framework)

• Two “Green” Safeguard Policies: Two “Green” Safeguard Policies: Objectives

Natural Habitat Policy: To promote environmentally sustainable development by supporting the protection, conservation, maintenance, and rehabilitation of natural habitats and their functions

Forests Policy: To realize the potential of forests to reduce poverty in a sustainable manner, integrate forests effectively into sustainable economic development, and protect the vital local and global environmental services and values of forests

No harvesting in any Critical Forests or related Critical NH (except community-based harvesting),

Industrial-scale commercial harvesting only if (a) independently certified or (b) under time-bound action plan,

Harvesting by small-scale landholders or local communities does not require certification.

2. Forest Policy Requirement

3. Natural Habitat Policy Requirement

The Policy distinguishes between critical (legally protected or proposed for protection or known for its conservation value) and other natural habitats

Must avoid any significant conversion or degradation of any critical natural habitats,

Significant conversion or degradation of any NH allowed only when: there are no feasible alternatives; and project includes appropriate mitigation measures

NH issues are addressed as part of EA OP 4.01 process

4. Pest Management Objectives

Minimize the environmental and health hazards related to pesticide usage;

Ensure that pest management activities follow an Integrated Pest Management (IPM) approach; and

Develop national capacity to implement IPM-based crop protection and pesticide regulation.

Key Requirements

Borrowers’ pest management activities must reduce reliance on chemical control and promote IPM approach

Environmental and health risks of pesticides must be assessed and adequate mitigation measures adopted

Capacity to implement IPM-based crop protection and regulate pesticides should be strengthened at national level (where necessary)

5. Physical Cultural Resources

Objectives To assist in preserving physical cultural resources (PCR)

and avoiding their destruction or damage

Definition PCR includes movable or immovable objects, sites,

structures, groups of structures, natural features and landscapes that have archaeological, paleontological, historical architectural, religious (including graveyards and burial sites), aesthetic, or other cultural significance

Physical Cultural ResourcesMade By People: Archaeological site Monument Architecture

Natural: Holy waters Sacred tree

Natural and Human-made Burial ground Historic garden

Policy Requirement As part of the EA process, a PCR management plan is

required to specify:

Measures for avoiding or mitigating any adverse impacts;

provisions for managing chance finds;

measures for strengthening institutional capacity; and

a monitoring system to track the progress of these activities.

6. Safety of Dams

Objective

To assure quality and safety in the design and construction of new dams and the rehabilitation of existing dams, and in carrying out activities that may be affected by an existing dam.

Policy RequiremetThe Borrower is required to, before appraisal:

appoint an independent Panel of Experts (POE), if required

• provide the Instrumentation Plan to the POE and the Bank before bid tendering

• provide a plan for construction supervision and quality assurance

• provide a preliminary Operation and Maintenance (O&M) plan

• provide the framework of the Emergency Preparedness Plan and an estimate of the funds needed to prepare the plan in detail

7. Legal Policies Objectives

Projects in Disputed Areas: To ensure any territorial dispute affecting a project is identified at the earliest possible stage so as not to:

Projects on International Waterways: 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

8. Involuntary Resettlement Trigger: acquisition of land / property which displaces

people physically and / or economically. Involuntary restriction of access to parks and protected

areas which adversely affects livelihoods. IR should only take place when options analysis shows

displacement impacts have been factored into design and minimized

Instruments requirement before appraisal Resettlement Action Plan Resettlement Policy Framework Process framework

R&R programs designed and implemented as development programs

9. Indigenous Peoples Definition

self-identification

collective attachment to ancestral lands

customary cultural, economic, social / political institutions

indigenous language.

Triggered when IPs are present in or have collective attachment to project area

Bank will finance only where free, prior and informed consultation results in broad community support

Indigenous Peoples Policy

Process Steps

Screening by the Bank

Social Assessment by borrower

Free, prior and informed consultation by borrower = broad community support

IPP or IP Framework prepared by borrower

Disclosure by borrower and Bank

Consultation Mandated by Environmental Assessment,

Involuntary Resettlement, Indigenous Peoples, PCR, NH and Forests 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

10. Disclosure Supports decision making by the Borrower and Bank

by allowing the public access to information on environmental and social aspects of projects

Mandated by Environmental Assessment, Involuntary Resettlement, Indigenous Peoples and Forests Policies

Documents disclosed include instruments listed in EA, Resettlement and Indigenous Peoples Policies

Disclosed at World Bank InfoShop and in country at appropriate locales and in local languages

Disclosure ISDS disclosed at InfoShop, PCN & Appraisal

stages + subsequent updates as needed.

All safeguard mitigation plans (Resettlement instruments, IPDP, EA/EMP) disclosed prior to appraisal in-country in locally appropriate language to stakeholders & InfoShop.

Disclosure Category “A” : EA Summary to Board – as soon as

possible.

Best practice is a consolidated E&S summary

Pelosi requirement for USA vote = disclosure 120 disclosure days before board.

Any project with large scale resettlement requires disclosure under Pelosi

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11. Borrower Responsibilities

Prepare EIA, RAP, IPP Ensure project compliance with national laws and

regulations and any international treaties Carry out public consultation / local disclosure process Comply with agreed mitigation and management

measures Monitor and report progress, trends, changes

Thank You

For more information go to

http://www.adb.org/Safeguardshttp://www.worldbank.org/ ........

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Bank Responsibilities - Safeguard Team

Review project at PCN stage and determine applicability of policies, scope of safeguard work, project risk category

Review TORs for EIA, RAP, IPP Review draft EA, RAP, IPP reports Review project at PAD stage for readiness for appraisal Provide appraisal clearance

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Bank Responsibility - Task Team

Advise Borrower on Bank safeguard requirements Assist Borrower with TORs for EA, RAP, IPP Carry out field assessments Assist with quality assessment of documents Disclose documents in InfoShop and Field Offices Monitor implementation of EA, RAP, IPP