ES005 - Environment and Social Impact Assessment (ESIA) Process PDF

EXECUTIVE SHORT TERM COURSES IN ENVIRONMENTAL STANDARDS TRACK A: COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 5 Session 1 ES005-Environment and Social Impact Assessment (ESIA) The Environment and Social Standard 1: The En...

EXECUTIVE SHORT TERM COURSES IN ENVIRONMENTAL STANDARDS TRACK A: COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 5 Session 1 ES005-Environment and Social Impact Assessment (ESIA) The Environment and Social Standard 1: The Environment and Social Assessment Process BY Haruna Adamu September 03, 2024 Adopted from Dr Maged Hamed, Ph.D , PE Regional Safeguard Coordinator and co-TTL of SPESSE Environment Global Practice of the West and Central Africa - SAWE4 1  COURSE OUTLINE Definition of the Environment and Social Assessment (ESA) The ESA Process ESA in the project cycle Types of ESA Instruments Steps in conducting an ESA 2  LEARNING OBJECTIVES To summarize the concept of Environmental and Social Assessment and the Environmental and Social Assessment process. 3  Environment and Social Assessment The term ‘environmental and social assessment’ is a generic term that describes the process of analysis and planning used by the Borrower to ensure the environmental and social impacts and risks of a project are identified, avoided, minimized, reduced or mitigated. The environmental and social assessment is the primary means of ensuring projects are environmentally and socially sound and sustainable. and will be used to inform decision making. The environmental and social assessment is a flexible process, that can use different tools and methods depending on the details of the project and the circumstances of the Borrower The environmental and social assessment will be conducted in accordance with ESS1, and will consider, in an integrated way, all relevant direct, indirect and cumulative environmental and social risks and impacts of the project, including those specifically identified in ESS1–10. The breadth, depth, and type of analysis undertaken as part of the environmental and social assessment will depend on the nature and scale of the project, and the potential environmental and social risks and impacts that could result. The environmental and social assessment will include and take into account coordination and consultation with affected people and other interested parties, particularly at an early stage, to ensure that all potentially significant environmental and social risks and impacts are identified and addressed. 4  Environmental and Social Risks The ESA process will take into account all relevant environmental and social risks and impacts of the project, including: (a) Environmental risks and impacts, including: (i) those defined by the EHSGs; (ii) those related to community safety (including dam safety and safe use of pesticides); (iii) those related to climate change and other transboundary or global risks and impacts; (iv) any material threat to the protection, conservation, maintenance and restoration of natural habitats and biodiversity; and (v) those related to ecosystem services and the use of living natural resources, such as fisheries and forests; (b) Social risks and impacts, including: (i) threats to human security through the escalation of personal, communal or inter-state conflict, crime or violence; (ii) risks that the project impacts fall disproportionately on individuals and groups who, because of their particular circumstances, may be disadvantaged or vulnerable;(iii) any prejudice or discrimination toward individuals or groups in providing access to development resources and project benefits, particularly in the case of those who may be disadvantaged or vulnerable; (iv) negative economic and social impacts relating to the involuntary taking of land or restrictions on land use; (v) risks or impacts associated with land and resettlement and (vi) impacts on the health, safety and well-being of workers and project-affected communities; and (vii) risks to cultural heritage. 5  Environment and Social Impact Assessment (ESIA) Under the ESS 1 the Bank requires the borrower/client to undertake a full ESIA of a proposed Bank operation (public or private sector) that has been designated during the project screening stage as a High/Substantial Category , or a limited ESIA in the form of an ESMP in the case of a moderate category A full or partial ESIA is conducted in order to identify and assess the likely environmental and social impacts and risks of a proposed Bank operation, to determine their magnitude and significance, and to define mitigation, monitoring and institutional measures designed to avoid and minimize where possible, or if not, to offset or compensate for adverse impacts and risks. 6  Environmental and Social Assessment What does it involve? Why is it important? A process of analysis and planning to identify Improves project design by informing project and avoid, minimize, reduce or mitigate ES objectives, scope, activities and preventing harm risks and impacts Development outcomes: helps projects achieve Assessment studies and management plans better environmental and social outcomes informing project design and implementation Helps to prevent discontent: so that unhappy Addresses disproportionate impacts on stakeholders do not protest or block the project disadvantaged and vulnerable groups Informed by consultation with stakeholders Savings: cost of avoidance and minimization is less than compensation, restoration, offset Progressive, iterative (can continue during implementation) and proportionate to risk Approvals: projects without ESA will not obtain WB clearance even if country regulations permit 7 7  Ten Environmental and Social Standards ( to be explained further in session 2) ESS1 ESS2 ESS3 ESS4 ESS5 Assessment and Labor and Resource Efficiency Community Land Acquisition, Management of Working and Pollution Health and Restrictions on Land Use Environmental and Social Conditions Prevention and Safety and Involuntary Risks and Impacts Management Resettlement ESS6 ESS7 ESS8 ESS9 ESS10 Biodiversity Conservation Indigenous Peoples/Sub- Cultural Financial Stakeholder and Sustainable Saharan African Heritage Intermediaries Engagement and Management of Living Historically Underserved Information Disclosure Natural Resources Traditional Local Communities 8 8  Objectives of the ESS1 To identify, evaluate and manage the environment and social risks and impacts of the project in a manner consistent with the ESSs. To adopt a mitigation hierarchy approach to: (a) Anticipate and avoid risks and impacts; (b) Where avoidance is not possible, minimize or reduce risks and impacts to acceptable levels; (c) Once risks and impacts have been minimized or reduced, mitigate; and (d) Where significant residual impacts remain,compensate for or offset them, where technically and financially feasible. To adopt differentiated measures so that adverse impacts do not fall disproportionately on the disadvantaged or vulnerable, and they are not disadvantaged in sharing development benefits and opportunities resulting from the project. To utilize national environmental and social institutions, systems, laws, regulations and procedures in the assessment, development and implementation of projects, whenever appropriate. To promote improved environmental and social performance, in ways which recognize and enhance Borrower capacity. 9 WHEN to Consider Environmental/social Issues in the Project Cycle Environmental screening Develop EA/EMP Impacts, mitigation Fact-Finding/ monitoring, institutional Preparation strengthening DESIGN Project PHASE Pre-Appraisal/ Identification Appraisal EMP covenants in Review of country loan agreements program papers IMPLEMENTATION PHASE Completion and Post- Negotiations Evaluation Implementation and supervision Effect of environmental requirements Unanticipated impacts EMP Implementation: Lessons for future projects Compliance, effectiveness 10 11 ESA Process Environmental and Social Assessment (ESA) is the primary process used to evaluate, document and manage E&S risks An ESA is typically conducted according to National EIA legislation and/or other relevant international standards (ESF, IFC- PS, IAIA Guidelines, etc.): Documents current environmental and social conditions Predicts future conditions Describes the legal and governance environment for risk management Involves public input throughout Recommends measures for maximizing positive and minimizing 11 negative effects 12 ESA Process ESA uses systematic methodologies including the following: Comprehensive screening and scoping of project risks and impacts Technical analysis and targeted studies to determine project context and to deepen qualitative and quantitative risk estimates Stakeholder engagement processes to inform screening, scoping and analytics Development of technical recommendations for avoiding, minimizing, mitigating or compensating for impacts Public disclosure of ESA findings and recommendations Monitoring, reporting and adaptive management Grievance Redress Mechanisms 12 13 Value Proposition for ESA The ESA process can add significant value to a project… Informs decision making Improves project design and implementation Avoids and mitigates adverse environment and social risks and impacts especially those that affected disadvantaged and vulnerable individuals and groups Avoids cost overruns and delays during implementation Provides the basis for legal authorization, licensing and permitting of projects Promotes longer term sustainability of investments Establishes a baseline to monitor progress during implementation Promotes stakeholder engagement achieve social acceptability and to track intended and unintended outcomes 13 14 ESA in the World Bank Project Cycle There is a direct linkage between the World Bank’s Project Cycle and the assessment and management of E&S Risks and Impacts Approaches to assessment and management of E&S risks are embedded within the project planning and decision-making processes at each stage of the process Each stage of project processing implies different E&S management tasks as shown in the following table (*note that table is not an exhaustive list of tasks) 14  Stages of ESA in the World Bank Project Cycle Project Processing ESA Activity Stage Identification - Screen project proposal for E&S risks - Scope project requirements for EIA or other required assessments (RAP/IPP/LMP etc.) - Preliminary stakeholder analysis to identify stakeholder interest Design and Preparation - Conduct ESIA, Social Assessment or other baseline studies for in-depth analysis - Prepare ESIA reports along with other key instruments - Disclose document and conduct stakeholder feedback sessions - Modify project design as relevant Appraisal - Assess project readiness - Evaluate management and mitigation measures - Evaluate institutional arrangements and resources - Finalize ESCP / Clear all arrangements for quality and compliance Implementation - Implement agreed actions - Monitor key results, outcomes and compliance - Consult stakeholders on periodic basis as defined in the SEP - Issue monitoring reports - Adapt program mitigation and management measures Completion - Ensure all agreed actions are completed 15 15 - Assess project performance and results 16 ESA and Project Decision Milestones ESA is conducted in stages following the sequential flow of project activities The logical flow of a project is often expressed as a time-line comprising different key assessment and decision-making milestones The ESA process usually involves different studies and plans at different times Outputs from the ESA process are used as inputs at key decision points and milestones, and reflected in project design and implementation CONCEPT AND DESIGN AND APPROVAL IMPLEMENTATION COMPLETION IDENTIFICATION PREPARATION 16  ESA and Project Decision Milestones Detailed Risk Budget Monitoring Results and analysis screening and evaluation performanc and and resource and e assessme scoping allocations adaptation assessment nt CONCEPT AND DESIGN AND APPROVAL IMPLEMENTATION COMPLETION IDENTIFICATION PREPARATION Mitigation Implement Complete Preliminar and E&S manageme y ESA fact manageme manageme nt plan finding nt planning nt plans activities Stakeholder engagement is a continuous process throughout 17 18 Types of ESA Instruments Common ESA Studies, Reports, and Plans Used in Projects Environment Social Environmental Impact Assessment Social Assessment Environmental Audits Resettlement Action Plans / Environmental Management Plans Resettlement Frameworks Environmental Codes of Practice Indigenous People’s Plan / Indigenous Strategic E&S Assessments People Planning Frameworks Subject Specific Plans: Biodiversity; Pest Social Codes of Practice Management Plans Subject Specific Plans: Cultural Labor Management Procedures Heritage; Security Management; Environment and Social Commitment Gender Action Plans; SEA/SH Plans Stakeholder Engagement Plans 18  Ten Environmental and Social Standards ( to be explained further in session 4) ESS1 ESS2 ESS3 ESS4 ESS5 Assessment and Labor and Resource Efficiency Community Land Acquisition, Management of Working and Pollution Health and Restrictions on Land Use Environmental and Social Conditions Prevention and Safety and Involuntary Risks and Impacts Management Resettlement ESS6 ESS7 ESS8 ESS9 ESS10 Biodiversity Conservation Indigenous Peoples/Sub- Cultural Financial Stakeholder and Sustainable Saharan African Heritage Intermediaries Engagement and Management of Living Historically Underserved Information Disclosure Natural Resources Traditional Local Communities 19 19  Selecting appropriate assessment processes… ESS1 POLICIES Capacity Strategic ESA Needs Sectoral /Regional / MASTER Assessment Social Cumulative ESS9 PLANS Conflict, FI management Tenure systems ESMS Analysis PROGRAMS ES MULTI PROJECTS Management ES Impact Frameworks (ESMF) Assessment ES Audit (ESIA) PROJECTS ES Management Plans (ESMP) Which for my project?…it depends! 20  …informing relevant management plans ESS1 ESS9 ESMS ESMF ESIA Environmental ESMP & Social Commitment Stakeholder Engagement Plan /Framework/GM ESS10 Plan Labor Management Procedures/GM ESS2 ESS3 ESS4 ESS5 ESS6 ESS7 ESS8 GHG Estimate Security Force Risk Assessment Resettlement Biodiversity Indigenous Cultural Plan/Framework Management Peoples Heritage Pollution/Waste SEA/SH Action Plan Plan Plan/Framework Management Management Plan Process Community Health Plan Plan Framework Primary Integrated Pesticides Supplier/Harvest Community Management Plan Road Safety Plan Chance Find Management Development Procedures Dam Safety Plan Standards Plan Structure Certification Risk Hazard Assessment Emergency Preparedness Plan 21  This scenario: ESIA, ESMF or other type? …financing is provided for a small-grant to improve operational systems (M&E, information management, stakeholder engagement) for a recently established national Environmental Management Fund, which may on-lend non-Bank financing for public and private sector preparation of technical studies or activities in a range of sectors Preparation Stakeholder Engagement Plan elements in ESCP ESCP Labor Management Procedures in ESCP Implementation Review of existing ES management framework Environmental and Social Management System 22  This scenario: ESIA, ESMF or other type? …financing for teacher training and curriculum design for a national education system and for minor renovations to public schools in vulnerable remote communities. It is unclear which schools will be selected or when the renovations will take place during implementation Preparation ESMF including preliminary Environmental and Social Assessment ESCP Stakeholder Engagement Plan /Framework/GM Labor Management Procedures/GM Screening finds site-specific risks for subprojects Screening finds minimal risk subprojects Subproject ESIA Implementation Subproject ESMP Code of Practice 23  Addressing risks and impacts on disadvantaged or vulnerable groups What does it involve? Why is it important? Specific measures addressing risks and impacts on groups or individuals who are more likely to They are more They are less likely to likely to be be able to access Be adversely affected made worse benefits from the Be limited in accessing benefits off by project project’s development Be excluded from consultation process impacts outcomes Be excluded on the basis of identities: Age, Gender, Ethnicity, Religion, Physical, mental or Preventing short term project delays and challenges other disability, Sexual orientation, Indigenous status Preventing longer term social problems, conflict, elite ToR and draft ESIA/SEP content (identify, assess, measures to address) capture Stakeholder Engagement Plan tailored with ‘Going the last mile’ to eradicate poverty necessary specific measures Because the most significant project risks are Retain 3rd party specialists where needed often related to their circumstances… 24 24 Scoping for vulnerability in operational risks and disproportionate impacts exclusions extreme poverty dependency impacts vulnerable situations “we didn’t have anyone on our side” barriers to voice and accountability Forced and harmful labor, sensitivity and stigma Sexual exploitation division of labor, burden of care Exclusion from consultation and abuse and from benefits by design Community safety (dam Community, and worker safety, pesticides) Risks identified in Intangible health, safety the EHSGs Barriers to access heritage for people with Loss Disproportionate disabilities Cultural heritage Involuntary land impacts taking: or use on disadvantaged or vulnerable Environmental restrictions pollution Climate groups, change prejudice or Human security threats discrimination in Exposure to access to benefits Inequality disasters, fragility, conflict Impacts on Biodiversity and degradation, land use and tenure natural habitats depletion and violence Ecosystem services Disenfranchisement of Intersectionality of poverty with gender, ethnicity, religion, age, Barriers to informal and collective disability, indigenous status, sexual orientation, gender identity or leadership, tenure other status resulting in multiple exclusions and discrimination decision-making 25