ES001 MOD 1 The Historic Evolution of the Environment Assessment (EA) Process PDF

ATBU SPESSE CENTRE OF EXCELLENCE EXECUTIVE SHORT TERM COURSE IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 1 Session 2 The Historic Evolution of the Env...

ATBU SPESSE CENTRE OF EXCELLENCE EXECUTIVE SHORT TERM COURSE IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 1 Session 2 The Historic Evolution of the Environment Assessment (EA) Process With Assistance from Dr Sherif Arif Senior Environmental Consultant to the Environment Global Practice of the West and Central Africa - SAWE4 1  Course Content Day 1 Session 2 The Historic Evolution of the Environment(EA) Assessment Process The purpose of this course is to present a history of the ESA process since its inception and highlights of the major milestones of its evolution over 45 years. The content of this course is the following: Definition of the ESA and its value proposition; The US National Environment Protection Act of 1970 The Declaration of the Stockholm Conference on the Human Environment of 1972; The Brundtland report on Sustainable development of 1987 The Rio Conference of Environment and Development of 1992 Th Millennium Development Goals of 2000 The Paris Declaration on Aid Effectiveness and the 2 Accra Agenda for Action of 2005  The Definition of the ESA There are many definition on ESA and ESIA in the literature. They are all similar and serve the same purpose Environmental and Social Assessment (ESA) is a systematic process (i.e a series of actions or steps) of evaluating and documenting information on the potentials, capacities, and functions of natural systems and resources in order to facilitate sustainable development planning and decision making in general, and to anticipate and manage the adverse effects and consequences of proposed undertakings in particular ( Sadler (1996).A VERY GENERAL CONCEPTUAL DEFINITION ESA is a process whose breadth, depth, and type of analysis depend on the nature, scale, and potential environmental impact of the proposed project. EA evaluates a project's potential environmental risks and impacts in its area of influence;2 examines project alternatives; identifies ways of improving project selection, siting, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts; and includes the process of mitigating and managing adverse environmental impacts throughout project implementation. IFC favors preventive measures over mitigatory or compensatory measures, whenever feasible. (IFC , 1998) A MORE PRECISE PRACTICAL DEFINITION 3 The definition of the ESA and the Environment and Social Impact assessment (ESIA) Environmental and Social impact assessment (ESIA): An instrument in the form of a report to identify and assess the potential environmental and social impacts of a proposed project, evaluate alternatives, and design appropriate mitigation, management, and monitoring measures. Projects and subprojects need ESIA to address important issues not covered by any applicable regional or sectoral EA. ( World Bank ,1999) Environmental and Social impact assessment (ESIA) is one of the instruments of the ESA and is a tool of identifying, predicting, evaluating, and mitigating the biophysical, social, and other relevant effects of proposed projects and physical activities prior to major decisions and commitments being made. 4  The US National Policy Act (NEPA) of 1970; A Precursor to the ESA The purposes of the Act, inter alia, are “to promote efforts which will prevent or eliminate damage to the environment and biosphere” (Sec. 2). The US Government to consider environmental criteria before making a decision. The Act introduced. basic principles; guidelines; procedures; including public participation. standard methodologies for impact analysis developed (e.g., matrix, checklists) What they likely did not foresee was the extent to which ESA would become adopted by so many other countries 5  The United Nations Conference on the Human Environment; Stockholm June 5-16 1972; Two spheres: Environment and Development The Conference considered the need for a common outlook and for common principles to inspire and guide the peoples of the world in the preservation and enhancement of the human environment The Conference, reflected a growing interest in conservation issues worldwide and laid the foundation for global environmental governance. The final declaration was a statement of human rights as well as an acknowledgment of the need for environmental protection. The Stockholm Declaration, which contained 26 principles, placed environmental issues at the forefront of international concerns and marked the start of a dialogue between industrialized and developing countries on the link between economic growth, the pollution of the air, water, and oceans and the well-being of human population 6  One Major Outcome and The Two Principles on Environment Assessment in the Stockholm Declaration The United Nations Development Program (UNEP) was founded to coordinate its environmental initiatives and to provide support to developing nations on environmental issues Principle 2 The natural resources of the earth, including the air, water, land, flora and fauna and especially representative samples of natural ecosystems, must be safeguarded for the benefit of present and future generations through careful planning or management, as appropriate. Principle 18 Science and technology, as part of their contribution to economic and social development, must be applied to the identification, avoidance and control of environmental risks and the solution of environmental problems and for the common good of mankind 7  Between 1980-1990: The European Union , and the World Bank took the LEAD in formalizing the ESA The EU, introduced Directive 85/337/EEC (the EIA Directive) as the foundation of environmental protection in 1985. The Directive applied and applies to a wide range of defined public and private projects, which are detailed in its Annexes I and II, in the form of LISTS.This is done by the so-called "screening procedure", which determines the environmental effects of the project in question. The Directive was amended three times in 1997, in 2003 and in 2009: In 1989, under Operational Directive (amended 1991), EAs became a standard requirement for all World Bank financed investment projects. The primary responsibility for compliance with the Bank’s EA procedures lies with the borrowing countries 8  The Bruntland Report in Sustainable Development : A Key Turning Point in the ESA Process; Environment and Development Under One Sphere: SUSTAINABLE DEVELOPMENT The Brundtland Commission pushed for the idea that while the "environment" was previously perceived as a sphere separate from human emotion or action, and while "development" was a term habitually used to describe political goals or economic progress, it is more comprehensive to understand the two terms in relation to each other "...the "environment" is where we live; and "development" is what we all do in attempting to improve our lot within that abode. The two are inseparable." The Report recognized that human resource development in the form of poverty reduction, gender equity, and wealth redistribution was crucial to formulating strategies for environmental conservation, and it also recognized that environmental-limits to economic growth in industrialized and industrializing societies existed 9  Definition and Concepts of Sustainable Development Sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs". It contains FOUR key concepts: 1. The concept of "needs", in particular the essential needs of the world's poor, to which overriding priority should be given; 2. the concept of “limitations” imposed by the state of technology and social organization on the environment's ability to meet present and future needs.“ 3. The concept of “Inter-Generational and Intra Generational Equity” 4. Ecological and economic considerations must be treated on the same level and at the same time in decision making. Such a shift demands two key innovations: a) Translating the principles of environmental sustainability into operational terms , and guidelines and b) Redesigning the EA architecture and related processes to give effect to these “new rules of the game “ 10  The United Nations Conference on Environment and Development: Rio de Janeiro 3-14 1992. The Principles  PRINCIPLE #3: Sustainable development: “to equitably meet the developmental and environmental needs of present and future generation”. The word “Equitable” was added to the definition  PRINCIPLE #10: Participation: “environmental issues are best handled with participation of all concerned citizens -- each individual shall have appropriate access to information concerning the environment…. and the opportunity to participate in the decision- making process” Principle # 17 : Environmental impact assessment, as a national instrument, shall be undertaken for proposed activities that are likely to have a significant adverse impact on the environment and are subject to a decision of a competent national authority. PRINCIPLE #19: EA requirements: “All States to introduce EA as part of the Conference’s sustainable objectives” 11  Provisions of EIA in Major International Conventions United Nations, 1992. Convention on the Law of the Sea, Article 206 Assessments of potential effects of activities When States have reasonable grounds for believing that planned activities under their jurisdiction or control may cause substantial pollution of or significant and harmful changes to the marine environment, they shall, as far as practicable, assess the potential effects of such activities on the marine environment and shall communicate reports of the results of such assessments in the manner provided in article 205. United Nations, 1992. Framework Convention on Climate Change Article 4, Commitments 1. All Parties, taking into account their common but differentiated responsibilities and their specific national and regional development priorities, objectives, and circumstances, shall take climate change considerations into account, to the extent feasible in their relevant social, economic and environmental policies and actions,and employ appropriate methods, for example impact assessments, formulated and determined nationally, with a view to minimizing adverse effects on the economy, on public health and on the quality of the environment of projects or measures undertaken by them to mitigate or adapt to climate change. . 12  Provisions of EIA in Major International Conventions (ctd) United Nations, 1994. Convention to Combat Desertification,Article 10 National action programs 4. Taking into account the circumstances and requirements specific to each affected country Party, national action programs include, as appropriate, inter alia, measures in some or all of the following priority fields as they relate 52 The Legal and Regulatory Framework for Environmental Impact Assessments to combating desertification and mitigating the effects of drought in affected areas and to their populations: promotion of alternative livelihoods and improvement of national economic environments with a view to strengthening programs aimed at the eradication of poverty and at ensuring food security; demographic dynamics; sustainable management of natural resources; sustainable agricultural practices; development and efficient use of various energy sources; institutional and legal frameworks, strengthening of capabilities for assessment and systematic observation, including hydrological and meteorological services, and capacity building, education and public awareness 13  Significant Development as a Result of the Rio Conference The World Bank Reorganized its regional environment departments and created a central Vice Presidency of Sustainable Development Recognized the importance of social development and therefore increased the hiring of Social Development Specialists, and included social analysis in its operations Redefined the ESIA approach into the development of the 10 Safeguard Policies as the mechanism for addressing environmental and social issues in the Bank’s project design, implementation and operation, and they provide a framework for consultation with communities and for public disclosure 14 SUSTAINABLE DEVELOPMENT HAS CHANGED THE WORLD BANK ENVIRONMENTAL POLICIES INTO SAFEGUARD POLICIES SHIFTING FROM ENVIRONMENTAL ASSESSMENT TO THE WIDER ENVIRONMENTAL AND SOCIAL SAFEGUARDS. SHIFTING FROM MITIGATING ENVIRONMENTAL ISSUES TO MITIGATING ENVIRONMENTAL AND SOCIAL RISKS. MOVING SAFEGUARDS FROM A SET OF RULES TO A CODE OF PRACTICE FOR IMPROVING PROJECT DESIGN AND IMPLEMENTATION AND FOR MAINSTREAMING THE ENVIRONMENT. FOCUSSING ON CLIENT PERFORMANCE AND CAPACITY TO IMPLEMENT THE SAFEGUARD POLICIES 15  es The New Concepts of Environment and Social Sustainability Social Assessment Economic Environmental Analysis Assessment 16  The Earth Summit of 2000 The United Nations Millennium Declaration, signed in September 2000, commits world leaders to combat poverty, hunger, disease, illiteracy, environmental degradation, and discrimination against women. The MDGs are derived from this Declaration. Each MDG has targets set for 2015 and indicators to monitor progress from 1990 levels. Several of these relate directly to health There are 8 MDGs 1.Eradicate extreme poverty and hunger. 2.Achieve universal primary education. 3.Promote gender equality and empower women. 4.Reduce child mortality. 5.Improve maternal health. 6.Combat HIV/AIDS, malaria and other diseases. 7.Ensure environmental sustainability. 8.Global partnership for development. 17  ESIA is “Embedded” into MDG 7and Precursor to the Strategic Environment and Social Assessment (SESA) Target 7 A calls for Integrating the principles of sustainable development into country policies and programs and reverse the loss of environmental resources The Implications of Target 7 A ESIA is one of the tools for Integration of Sustainable Development Another tool is emerging for integrating the principles of sustainable development into country policies and programs : the Strategic Environment and Social Assessment is to be part of the development planning of policies and programs Strategic environmental assessment (SEA) is a process of prior examination and appraisal of policies, plans, and programs and other higher level or pre-project initiatives 18 Figure Respective Roles of the ESA and SESA 19  The Paris Declaration on Aid Effectiveness and the Accra Agenda for Action 2 May 2005 As preamble to the first UN review of the MDGs progress, the Organization for Economic Cooperation and Development (OECD) organized a meeting which was attended by senior representatives of 91 countries ( Nigeria did not attend) and 13 participating organizations and 14 Civil Society Organizations to accelerate progress in implementation, especially in the following areas : Strengthening partner countries’ national development strategies and associated operational frameworks (e.g., planning, budget, and performance assessment frameworks). Increasing alignment of aid with partner countries’ priorities, systems and procedures and helping to strengthen their capacities. Enhancing donors’ and partner countries’ respective accountability to their citizens and parliaments for their development policies, strategies and performance. Eliminating duplication of efforts and rationalizing donor activities to make them as cost-effective as possible. Reforming and simplifying donor policies and procedures to encourage collaborative behavior and progressive alignment with partner countries’ priorities, systems and procedures. vi. Defining measures and standards of performance and accountability of partner country systems in public financial management, procurement, fiduciary safeguards and environmental assessments, in line with broadly accepted good practices and their quick and widespread application 20  Promoting a harmonized approach to environmental assessments Donors have achieved considerable progress in harmonization around environmental impact assessment (EIA) including relevant health and social issues at the project level. This progress needs to be deepened, including on addressing implications of global environmental issues such as climate change, desertification and loss of biodiversity. Donors and partner countries jointly commit to: Strengthen the application of EIAs and deepen common procedures for projects, including consultations with stake holders; and develop and apply common approaches for “strategic environmental assessment” at the sector and national levels. Continue to develop the specialized technical and policy capacity necessary for environmental analysis and for enforcement of legislation. Use of country systems and procedures to the maximum extent possible. Where use of country systems is not feasible, establish additional safeguards and measures in ways that strengthen rather than undermine country systems and procedures 21 Third High Level Forum Accra Agenda for Action (AAA) 4 September 2008 Ministers of developing and donor countries responsible for promoting development and Heads of multilateral and bilateral development institutions endorsed the following statement in Accra, Ghana, to accelerate and deepen implementation of the Paris Declaration on Aid Effectiveness. It proposed the following four main areas for improvement: Ownership: Countries have more say over their development processes through wider participation in development policy formulation, stronger leadership on aid co-ordination and more use of country systems for aid delivery. Inclusive partnerships: All partners and developing countries, as well as other donors, foundations and civil society - participate fully. Delivering results: Aid is focused on real and measurable impact on development. Capacity development - to build the ability of countries 22  The Impacts of the Aid Effectiveness Following the Paris Declaration, there has been a greater impetus to harmonize environmental and social safeguards among development agencies Almost All the Multilateral Development Banks (MDBs) have embarked on major revision and upgrading of their set of environmental and social policies, safeguard requirements and standards. This process has greatly increased the compatibility of MDB environmental and social safeguards, in terms of coverage, specific requirements and procedural steps. The International Finance Corporation adopted its Performance Standards on Environmental and Social Sustainability in 2006 and revised them in 2011. Since 2006, the Inter-American Development Bank, European Bank for Reconstruction and Development, European Investment Bank and Asian Development Bank have all upgraded their safeguard systems. In 2013, the African Development Bank was among the first to establish its Integrated Safeguard System The World Bank has also developed its Environment and Social Framework which entered into force in October 2018. 23  Major Features among the MDBs As a result of this process of upgrading and harmonization, the environmental and social safeguards systems of the MDBs share several key features: An overarching safeguard, setting out the requirements for borrowers to undertake the appropriate type and level of environmental and social assessment of operations to be financed by the MDB, using a system of project categorization;  A set of supplementary safeguards addressing specific environmental and social risks that set out the MDB‘s requirements for assessment and management or mitigation measures relevant to those areas of risk and where appropriate specific standards that need to be met; and  A high degree of consistency in the risk areas that are covered, despite the variations in the number of specific safeguards per MDB ( this is further explained in day 2 session 1 ) 24  RIO+20 : The UN conference in Sustainable Development The United Nations Conference on Sustainable Development - or Rio+20 - took place in Rio de Janeiro, Brazil on 20-22 June 2012. It resulted in a focused political outcome document which contains clear and practical measures for implementing sustainable development. In Rio, Member States decided to launch a process to develop a set of Sustainable Development Goals (SDGs), which will build upon the Millennium Development Goals and converge with the post 2015 development agenda. The Conference culminated in finalizing the non-binding document, "The Future We Want" which is a commitment to sustainable development and to ensuring the promotion of an economically, socially and environmentally sustainable future for our planet and for present and future generations The Conference also adopted ground-breaking guidelines on green economy policies as low carbon emissions, enhanced resource efficiency and prevention, of the loss of biodiversity and ecosystem services. 25  The Term Environment has “disappeared” and Replaced by Sustainable Development The outcome document has only one direct mention to impact assessment, under the "Oceans and Seas" subsection (part of V. A. Thematic areas and cross-sectoral issues): We also commit to enhance actions to protect vulnerable marine ecosystems from significant adverse impacts, including through the effective use of impact assessments (paragraph 168). A related topic is the recognition of the importance of technology assessment, under the "Means of Implementation" section: We recognize the importance of strengthening international, regional and national capacities in research and technology assessment, especially in view of the rapid development and possible deployment of new technologies that may also have unintended negative impacts, in particular on biodiversity and health, or other unforeseen consequences. (paragraph 275). 26  Transforming Our World - the 2030 Agenda for Sustainable Development The Sustainable Development Goals (SDGs) The Agenda is a plan of action for people, planet and prosperity. It also seeks to strengthen universal peace in larger freedom. Eradicating poverty in all its forms and dimensions, including extreme poverty, is the greatest global challenge and an indispensable requirement for sustainable development. The 17 Sustainable Development Goals and 169 targets demonstrate the scale and ambition of this new universal Agenda. They seek to build on the Millennium Development Goals and complete what these did not achieve. They seek to realize the human rights of all and to achieve gender equality and the empowerment of all women and girls. They are integrated and indivisible and balance the three dimensions of sustainable development: the economic, social and environmental. 27  The 17 Sustainable Development Goals (SDGs) to Transform Our World : GOAL 1: No Poverty GOAL 2: Zero Hunger GOAL 3: Good Health and Well-being GOAL 4: Quality Education GOAL 5: Gender Equality GOAL 6: Clean Water and Sanitation GOAL 7: Affordable and Clean Energy GOAL 8: Decent Work and Economic Growth GOAL 9: Industry, Innovation and Infrastructure GOAL 10: Reduced Inequality GOAL 11: Sustainable Cities and Communities GOAL 12: Responsible Consumption and Production GOAL 13: Climate Action GOAL 14: Life Below Water GOAL 15: Life on Land GOAL 16: Peace and Justice Strong Institutions GOAL 17: Partnerships to achieve the Goal 28  ESIA and the SDGs ESIA is not explicitly mentioned in any SDGs goals and targets ESIA lies at the very core of project development in each of the 17 SDGs. It remains the means and the tools by which countries can identify the environment and social impacts in each of the 17 goals and 163 targets and the likely positive and negative consequences of their activities 29  Any Questions? 30