Environmental and Social Impact Assessment Instruments Environmental Impact

Environmental (and Social) Impact Assessment Instruments Environmental Impact Assessment, Strategic Environmental Assessment, Environmental Management Framework, and Environmental Management Plan World Bank Safeguard Workshop Training May/June , 2012 Ruxandra Floroiu Senior Environmental Engineer, ECA Region, World Bank

Overview of different type of EA Instruments a process Environmental Assessment a document/report an input to decision making OP 4. 01 - mainly when/how EA should be done to provide necessary information about likely outcomes Other OPs - more detailed “how to” and guidance on acceptable versus unacceptable outcomes

EA Instruments as per OP 4. 01 (Safeguard Documents for Project Appraisal) � Strategic Environmental (and Social) Assessment WB (as of � Regional or sectoral EA: when the project is likely to have � Environmental Impact Assessment WB -full EIA for Category A � Environmental Audit for ongoing activities March 2011); EU & some national laws: for policies, plans and programs; not a substitute for project-specific EA sectoral or regional impacts projects, narrower scope for Category B ( “limited EA”); National laws - contents specified in law/provision; Some countries - “Preliminary EA” to determine whether further EIA is required; Cumulative Impact Assessment (within EIA or supplementary document)

EA Instruments as per OP 4. 01 � Hazard/Risk Assessment When environmental/social risks are uncertain/not predictable (e. g. possible dam breakage, toxic spill); Complement to EA or Audit � Environmental and Social Management Framework: WB (as of March 2011) for project consisting of a program and/or series of sub-projects…impacts cannot be determined until the details have been identified; (FI and other); Not present in national laws � Environmental Management Plan: element of EA, or free-standing if no EA required; Checklist EMP“ option Related documents but different: • • Country Environmental Analysis/Country Social Analysis (Poverty and Social Impact Analysis) Safeguard Diagnostic Review (for Use of Country Systems Pilot: “Equivalence Analysis” and “Acceptability Assessment”

ENVIRONMENTAL (IMPACT) ASSESSMENT � � � 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 Recommends measures to eliminate, offset, or reduce adverse environmental impacts to acceptable levels (sitting, design, technology offsets) Proposes monitoring indicators to implement mitigation measures Describes institutional framework for environmental management and proposes relevant capacity building needs

E(S)IA – Terms of Reference (To. R) 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: role of public consultation; involvement of social specialist ; Line up financing for E(S)IA while preparing To. Rs

Environmental Assessment Process Govt. EIA approval vs. WB No Objection: 1. SCOPING/TOR: define project & issues es 3. POTENTIAL IMPACTS ANALYSIS (significance, likelihood) Siting Scale Design/ technology Permits, EMP, contractual requirements iv at -Location/baseline (assets & trends; status & processes; env & social) - Project (type, scale, inputs, outputs) rn te Al 2. DATA COLLECTION: Sequential process (Govt first or WB first) Parallel process; Iterative process NO YES (with conditions) 8. FINALIZATION & SUBMISSION Operational (good practice) 7. REVISION of draft including public consultation Prevent, Minimize Mitigate, Compensate, Monitor 4. IDENTIFICATION /EVALUATION OF POSSIBLE MITIGATION MEASURES “EIA DECISION” 5. IDENTIFICATION OF RESIDUAL IMPACTS 6. RECOMMENDATIONS (acceptability; pre-conditions; mitigation, monitoring)

E(S)IA in the Project Cycle Parallel tracking of safeguards studies and technical design: Project Identification Interests of affected stakeholders WB policies and international good practice Objectives of developer, technoeconomic requirements Preparation Consultancies for Environmental / Social / Assessments Consultancies for technoeconomic studies and designs EARF / ESIA / EMP / RPF / RAP FS, design stages Implementation Due diligence (mitigation and monitoring) measures ensured during construction & operation

Full E(S)IA Report: Required Content (OP 4. 01) Section What it should tell us Executive (Nontechnical) Summary Significant findings and key recommended actions; 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 Project description Relevant aspects of project context Residual risks Key elements of project; environmental and social impacts Keep in mind… What would the Board need to know to evaluate risks? Summarize key acts and conclusions here; explain in main text 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 Include off-site investments regardless of financing

Common Problems with E(S)IAs � No (or poor) Executive Summary � Inadequate assessment of project are of influence � Inadequate or outdated baseline information � Inadequate analysis of feasible alternatives � Inadequate discussion of indirect, cumulative, and transboundary impacts assessment � Lack of meaningful consultation and public participation/disclosure of EA � Inadequate assessment of and support for Borrower’s capacity in the area of EM and EA � Failure to update the EIA and EMP after project design or when technical changes are required

Strategic Environmental Assessment � “Upstream” planning tool (input to sectoral or regional planning process) � Helps identify more vs. less sustainable development pathways � Can be OP 4. 01 Instrument for programmatic investment ◦ even if Category A projects are included ◦ special emphasis on cumulative impacts � Must include SUBSTANCE, not just process (not same thing as EMF) � Relatively new instrument; limited guidance, limited capacity and experience

Strategic Environmental Assessment 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 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

Challenges to prepare high quality SEA � the scale and timing of SEA � the rigid approach to the scoping � the timing of stakeholders engagement � limited awareness of SEA process; thus, need to clarify early the SEA benefits � the capacity and resources for implementation � identification of stakeholders/main champion � environmental data availability and quality � undertaken in parallel with the planning and preparation of a project , program, strategy or plan rather than after

Environmental and Social Management Framework: Purpose Ø Provides guidance to sub-borrowers (sub-project sponsors) and FIs to ensure the EA process is carried out in compliance with national legislation and OP 4. 01 Ø 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 Ø Used as a reference document for assessing the potential environmental and social impacts of investment alternatives Ø Serves as guidelines for the development of sub-project/site-specific Environmental Management Plans (EMPs), Environmental Assessments (EAs), due diligence reports, environmental audits, etc Ø Is an integral part of the project Operational Manual and applicable to all FIs investments, regardless of its funding source or implementing agency

Environmental an Social Management Framework MAIN OBJECTIVES: � Establish procedures for screening all proposed sub -projects for their potential adverse environmental and social impacts � Specify measures for managing, mitigating and monitoring environmental impacts during project operation � Outline training and capacity-building arrangements needed to implement the EMF provisions

Environmental and Social Management Framework: When to use the EMF � When specific investments cannot be identified prior to project Appraisal (unknown subprojects are proposed during project implementation): �Financial Intermediary (FI) operations �Trenched sectoral investment programs (incl. SWAPS) �Area development projects (rural, municipal, etc. ) �Social Funds �Small Grants Programs

ESMF: KEY FEATURES � � � � Used when specific investments CANNOT be identified prior to Appraisal (FI or other program of sub-projects) No provision for EMF in OP 4. 01 (evolved to formalize Borrower & WB responsibilities for OP 4. 01 compliance of subprojects vis a vis screening, EA/EMP preparation & implementation, monitoring, capacity building, Prior Review Focus on screening criteria, processes, responsibilities No set format; may or may not include technical content Can explicitly exclude high risk subprojects Pelosi Amendment applies if Category A subprojects expected Category A subproject EIAs are submitted to WB Board Sometimes Environmental & Social Management Framework – but DOES NOT REPLACE the RPF (unless written to incorporate RPF as set out in OP 4. 12)

ESMF Procedures: Content Brief description of project components including description of type of activities eligible for financing 2. Operating requirements (diagnosis of legal and institutional framework, applicable safeguards) 3. Environmental/social baseline at national/state level 4. ESMF screening procedures (criteria, process, environmental due diligence process, EA/EMP documentation) 5. Implementation arrangements 6. Public consultation and disclosure process/procedures 7. Environmental mitigation measures 8. Monitoring and reporting arrangements 9. Training and capacity building recommendations 10. Various annexes 1.

ESMF (project level) Prepared by primary Borrower (FI) Sets out requirements & responsibilities for sub-project-specific EA Acceptable to WB Disclosure and one National level consultation on ESMF Preparation, consultation and disclosure prior to Project Appraisal Sub-project (Modernization of cement production Plant, Category B) PROJECT (FI) Sub-project (Poultry waste utilization system, cat. B) Sub-project (Development of mineral resources open pit mines Category A) Sub-project-specific EA or EMP (sub-project level) Prepared by sub-borrower/grant recipient (sub-project implementer), during project implementation EA/EMP disclosure and local level consultation prior to finalizing document FI responsible for quality/clearance and for monitoring implementation WB prior review of some Category B

ESMF Sub-project Screening, Review, Approval Process � Screening form to be filled out by sub-project proponent Sub-project name, location (map), type of activity, physical data, environmental information, likely environmental impacts, environmental screening category (A, B or C), mitigation of pollution, environmental studies required (EIA/EMP), public consultation/disclosure required. � � Screening Criteria – site-specific environmental risks and impacts; land zoning requirements, environmental license/permit; “negative” list of investments not allowed for financing under the project Reviewer decides the level of impact to be assessed through EIA (category A or B) or EMP/EMP Checklist (category B) Subproject approved on the basis of environmental and social review findings (or denied/approved with some changes) Disclosure/public meeting – function of subproject EA category

ESMF Sub-project Screening, Review, Approval Process Identification of sub-project � Application preparation and its submission to FI � EA/EMP financing and preparation � Collection of necessary permits/licenses � Obtain clearances from local/regional environmental authorities � Implement the sub-project in line with EMP � Reports to FI on any EMP non-compliance � Sub-project proponent Role EA screening for World Bank requirements � Review of sub-project application � Appraisal of sub-project � Monitor environmental compliance based on EMP � Training of sub-project staff � Reports to the Bank on any EMF non-compliance � Maintains records of safeguard documents for all sub-projects � Financial Intermediary Role

Key Safeguard Actors in ESMF World Bank Project Team and Safeguard Specialists World Bank Safeguard Compliance Ministry of Environment/ Ministry of Natural Resources of the Russian Federation • Conduct supervision • Provide safeguard assistance and training • Ensure policies are followed • Conduct reviews • Review and clear sub-projects according to national and local regulatory requirements • Issue environmental permits 23

Role of WB in ESMF preparation and implementation � WB Appraisal evaluates: ◦ adequacy of relevant national EA requirements; gap ESMF -filling ◦ adequacy of proposed EA procedures for sub-projects ◦ capacity of FI and others responsible ◦ measures in project to strengthen EA FI arrangements/capacity as needed assessment � WB Supervision: ◦ Prior review/NOB of Category A (sometimes also Category B) sub-project EIAs (unless FI assessment indicates this is unnecessary) ◦ Spot-checking of EPF implementation, including site visits

Subproject Implementation based on ESMF FI has main responsibility for preparing and monitoring the application and use of ESMF. During sub-project supervision the FI: § § § Responsible for assessing the capacity of sub-borrowers to comply with EMP and more generally to do proper environmental and social management Performs sub-project site supervision visits to confirm EMP implementation Consults local environmental authorities for EMP requirements including current permits Ensures the sub-borrower carries out required public consultations and does it in proper way including reviewing minutes of those consultations Verifies with sub-borrower the overall environmental performance of the investment including any critical mitigation measure taken and significant environmental incident Prepares quarterly/annually reports on results of EMP actions

Challenges of ESMF Preparation and Implementation � � EMF not recognized in national legislation (no national mechanism to approve it) Enhancing the capacity of FIs Good quality EA/EMPs From World Bank side � � � Differences between national and WB EA screening criteria, environmental standards Meaningful public consultation and timely public disclosure Improving environmental screening Intensifying monitoring Incorporating estimated costs of EMP mitigation measures in sub-project cost/budget Timely Progress Reporting on EMP implementation aspects From FI side

Environmental Management Plans (EMP) � An Action Plan that indicates which of the EA report recommendations and alternatives will actually be adopted and implemented � Part of EIA or freestanding � The most important link to incorporate environmental factors into the overall project design; � Identifies project � Ensures linkages to other SG policies relating to the environmental mitigation measures and their practical monitoring become a legal responsibility of the Borrower (Lo. A)

EMP Contents � Summary of predicted adverse environmental and social impacts related to project; � Description of mitigation measures and plan � Description of monitoring activities and plan � Institutional arrangements including training � Implementation schedule and reporting procedures � Estimated related costs and sources of funds Note: the content of the EMP can be revised during project implementation based on changes in design or based on lessons learned

EMP as per OP/BP 4. 01 � EMPs are an outcome of ESIA process � For Category A projects, EMP is an essential feature of EA report (or a separate report is required); � Some Category B projects may require only an EMP (if environmental issues are relatively minor and routine, not site -specific); other Category B projects may require EA reports with “tailor made” mitigation aspects; � The implementation of EMP is included in the Lo. A; � EMP should be an important part of the POM; � The Borrower must report on compliance with EMP; � Specific requirements for EMPs are set out in Annex C of OP 4. 01 (not necessary to follow the format)

Who prepares an EMP? � EMP is part of the EA prepared and financed by the Client; In case of FI Projects the EMP should be prepared by the sub-borrower � The Client often places an existing PIU in charge of tasks such as EMP, EA, EMFs; � The Client may hire local/international Consultants to assist the PIU in preparing EMP

EMP Format � No established format; � Typical introductory text part followed by tabular format of specific mitigation measures (Mitigation Plan) for identified possible environmental impacts and of related monitoring activities (Monitoring Plan); � Self-standing document vs. part of the ESIA report; � Incorporated in the POM (as chapter, annex or inserted through the POM);

Environmental Mitigation Plan ◦ Defines the key environmental (and social) issues which should be managed ◦ Describes specific mitigating measures to manage each possible impact, including specific actions to be achieved �Mitigation measures should be feasible and practical; �Mitigation measures should be easily observed and checked ◦ Identifies the authorities responsible for mitigation implementation ◦ Includes some associated estimated costs

Environmental Monitoring Plan ◦ Defines selected indicators for ensuring that mitigation measures are being implemented and are effective (e. g. , if there is a mitigating measure to control noise during construction, the monitoring plan should include noise measurements during construction) ◦ Ensures the project is complying with National environmental regulatory requirements and WB Safeguard requirements ◦ Addresses concerns which may rise during the public consultation ◦ Identifies authorities responsible for monitoring ◦ Includes estimated related costs

EMP: Typical Mitigation and Monitoring Tables Mitigation Plan: what must be done Monitoring Plan: to determine whether measures are implemented & effective

Common Problems of EMPs EMP must specify all linkages (with RAP/Community and Contractors, regulatory agencies and institutions) � Mitigation measures too general, insufficient detail � Mitigation and/or monitoring measures not feasible or not practical � Inadequate institutional capacity, insufficient capacity building measures � Monitoring indicators not measurable � Monitoring targets missing or too general � Lack of cost estimates � Too long and elaborate to be implemented �

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 Mo. Env 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. Contractor/ Plant Operating Company “ 5000” Construction works Air pollution by dust When necessary, construction site will be sprayed with water, particularly during hot, dry, windy conditions. Contractor/ Plant Operating Company 2000 Construction works Noise from construction works Construction will be confined to normal workhours (7 AM to 7 PM). If construction must be conducted before/after these hours, local public will be notified at least one week in advance. Contractor/ Plant Operating Company -

Example: Environmental Mitigation Plan For the Foundry Operation Phase Project Activity Potential Environmental Impacts Proposed Mitigation Measures Institutional Responsibility Coal Combustion Air emissions of NOx, SO 2, CO, particulate matter n. Low-NOx burners and water injection to control NOx; n. Firing only low-sulfur (<0. 1% by wt. ) coal to control SO 2; n. Good combustion control to control CO, PM and VOCs; n. Stack height at least 45 m to facilitate dispersion. n. Power plant operator n. 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 d. B(A) at 100 m n. Power plant operator n. 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 n. Power 50, 000 plant operator Costs US$

Example: Environmental Monitoring Plan For the Foundry Construction Phase What Where How When/By whom Costs US$ Potential Environmental Impacts parameter is to be monitored? is the parameter to be monitored? Damage to vegetation Clearing techniques and relocation procedures utilized; record of compensation provided as agreed with Mo. Env 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 Visual During construction Contractor/ Supervisor Engineer - Noise from construction works Noise level, d. B[A] All active construction sites Measurements by a licensed organization using certified measurement devices During construction, Contractor “Estimated standard costs”

Example: Environmental Monitoring Plan For the Foundry Operation Phase Potential Environmental Impacts What Where How/Costs When/by whom parameter is to be monitored? is the parameter to be monitored? Air emissions of NOx, SO 2, CO, and particulate matter (PM) The applicable standards are: (1) NO 2 ≤ 400 mg/m 3; (2) SO 2 ≤ 850 mg/m 3; (3) CO ≤ 150 mg/m 3; (4) PM ≤ 100 mg/m 3 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, d. B[A]. Applicable limits are 70 d. B(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 by checking the practical usage of equipment and checking adequate among of equipment exists. Records of the trainings will be checked and if necessary improvements Equipment: daily by safety engineer Training records: monthly by safety engineer

EMP Institutional Arrangements � How the overall environmental management system works during the project implementation (construction and operation phases) and Who is responsible to implement it; � Who will supervise the implementation of Mitigation Plan; � Who will collect the data (from the Monitoring Plan); � Who will analyze the data to produce information; � Who will prepare reports (and how often) indicating how recommended actions are being taken, � Who will receive the reports and act upon them (e. g. dismiss contractor, withhold contractor payment, authorize expenditures to correct problems etc) – must have the needed authority

Checklist EMP: Rationale 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 ◦ EMPs existed on paper but were long, complex, impractical – and mostly ignored… 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: Conclusion need a streamlined, practical instrument, which would be standardized, easy to prepare, implement and monitor, specifically tailored to small scale infrastructure �

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

EMP Checklist: Structure and Function 1: Datasheet 2: Potential impacts list • Basic information on project activities • Environmental baseline information • 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

How EMP Checklist is used 1 & 2: 2 description of sub-project and identification of potential impacts: for use by screener/approver � Part 3: 3 identifies issues and associated mitigation measures: becomes part of construction contract � Part 4: 4 monitoring/supervision plan to verify effective mitigation: for use by construction site supervisor and PMU � Parts

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 (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

EMP Checklist: How it works Subproject Example: Town A 46

EMP Checklist: How it works 47

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

EMP Checklist: How it works

EMP Checklist: Monitoring Measures for selected potential impacts and mitigation measures 50

Exercise: List the key elements for project description section of EIA for a project to construct a hydropower plant with dam and reservoir List all environmental impacts that you can identify for the construction and operation of a hydroelectric power plant (HPP) Group A: Impacts during construction and filling Group B: Impacts during operation (Make your own assumptions regarding project location and context)