World Bank Environmental Policies 1989-2018 PDF

EXECUTIVE SHORT TERM COURSE IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS OVERVIEW OF THE SAFEGUARD POLICIES OF THE WORLD BANK (1989-2018) BY Dr. Jibril Mohammed (ESSO, ATBU SPESSE...

EXECUTIVE SHORT TERM COURSE IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS OVERVIEW OF THE SAFEGUARD POLICIES OF THE WORLD BANK (1989-2018) BY Dr. Jibril Mohammed (ESSO, ATBU SPESSECE) Culled from: Dr Sherif Arif Senior Environmental Consultant to the Environment Global Practice of the West and Central Africa - SAWE4 June 2024 1  Introduction and Fundamentals Defining Environmental and Social Safeguards Environmental and Social Safeguards refer to policies, procedures, and standards put in place to ensure that development projects, particularly those funded or supported by international financial institutions like the World Bank or private financial institutions, take into account and mitigate potential negative impacts on the environment and local communities. The goal of these safeguards is to promote sustainable development while minimizing harm to people and the environment. 2  Course Content ◼ The purpose of this course is to provide you with an overview of the safeguard policies of the World Bank which is still applicable to projects that were approved before October 1st 2018. The content is as follows ◼ Policy Objectives , scope of Policy and Policy requirements of the following Operational Policies (OP) : ◼ OP 4.01,Environmental Assessment; ◼ OP 4.04, Natural Habitats; OP 4.09 Pest management; ◼ OP 4.11 Physical Cultural resources; ◼ OP 4.36 Forestry; ◼ OP 4.10 Indigenous People ◼ OP 4.12 Involuntary Resettlement ◼ OP 4.37 , Safety of Dams, ◼ OP 7.5 Projects in International water ways; 3  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 4  Why Do We Have Safeguard Policies? ◼ Policies reflect core organizational values and development objectives including: Sustainability, transparency, fairness, accountability, governance, informed decision making, rights, participation and meaningful consultation. ◼ Do no harm: protect people and environment from adverse impacts ◼ Do good to people and to the environment:: enhance social equity and promote environmental sustainability ◼ Reduce and manage risk for the Client and for the WB ◼ Respond to a world-wide constituency 5  10+2 Safeguards Operational Policies (0Ps) 1. Environmental and Social Assessment (OP 4.01) 2. Natural Habitats (OP 4.04) 3. Forests (OP 4.36) Environmental 4. Pest Management (OP 4.09) 5. Physical Cultural Resources (OP 4.11) 6. Safety of Dams (OP 4.37) 7. Indigenous Peoples (OP 4.10) 8. Involuntary Resettlement (OP 4.12) Social 9. Projects on International Waterways (OP 7.50) 10. Projects in Disputed Areas (OP 7.60) Legal Access to Information Consultation and Disclosure (OP/BP 4.00) 6  OP 4.01 – Environmental Assessment : Objective: Ensure the viability and sustainability of social and environmental investment projects; Support the integration of environmental and social aspects in decision making process Requirements: Projects should be screened for potential impacts and appropriate approaches selected to assess, minimize, and mitigate potentially adverse impacts. Affected groups and N GOs should be consulted as early as possible in the process. Trigger : OP4.01 is triggered if a project is likely to have potential (adverse) environmental risks and impacts in its area of influence. Solution: Environmental and Social Management Framework (ESMF), Environmental and Social Impact Assessment (ESIA), and Environmental and Social Management Plan (ESMP) are prepared 7  Natural Habitats: OP 4.04 Promote sustainable development both socially and environmentally by supporting the protection, conservation, maintenance and rehabilitation of natural habitats and their primary functions. 8  Pest Management: OP4.09 Minimize and manage the risks and environmental and health impacts associated with the use of pesticides; And promote effective management, security, of the environmental and pesticides. 9  Indigenous People: OP 4.10 Prepare and implement the way of projects site / ensure full respect for the dignity of Indigenes Peoples of theuniqueness of the human and cultural rights sohas: (a) receiving profits culturally, socially and economically compatible; and (b) do not suffer adverse effects during the development process 10  Physical and Cultural Resources: OP 4.11 Help preserve cultural and natural resources to avoid their destruction or damage. PCR include archaeological resources, paleontological, historical, architectural, religious (i.e. graves, burials and cemeteries), aesthetic, or other meaningful resources (sacred forests, religious prayer sites, etc.). 11  Involuntary Resettlement : OP 4.12 Avoid or minimize involuntary resettlement and socio- economic and cultural disturbances that often follow; Solution: Resettlement Policy Framework (RPF) / Resettlement Action Plan (RAP) 12  Forests OP 4.36 Overlap with the Natural Habitat Policy (OP 4.04) : These 2 policies apply to all types of projects that could affect forests and natural habitats, BUT OP/BP 4.36 are additional requirements for forestry projects. Ensure that investments in the forests areas has Forest policies apply to all the potential to help reduce poverty in a types of forests (primary, sustainable manner; plantations); Integrate them effectively in a sustainable manner; Natural Habitats of the policies apply to all types of Protect the environment both locally and Natural Habitats, including globally and to ensure social values and services are in harmony with the forest. primary forests. 13 harmony Safety of Dams: OP 4.37 Ensure quality and safety in the design and construction of new dams and existing dams, and / or the conduct ofactivities that can be affected by existing dams. 14  Project on International Waterways: OP7.5 Objective Ensure that Bank projects have no negative impact on the use and protection of international waterways, and does not affect relations between the Bank and the participating countries. Riparian Notifications 15  Projects in Disputed Areas: OP 7.60 To makesure: ❑ Any territoral dispute concerning a region where a project take place is identified as early as possible in order to preserve the relationship between the Bank and it members countries, ❑ to also preserve relationships between lenders and other customers; ❑ the position of the Bank and other particpating countries are not compromised. 16  OP17.50 - Disclosure of Information All safeguards reports must be advertised in-country: – In 2 Localnewspaper – In locations were stakeholders can have access – The Executive Summary must be in Local Languages – Adequate public consultation must have been done Disclosed in World Bank infoshop – for Category A projects 120 day Pelosi law applies 17 Public Consultation Mandated by Environmental Assessment, Involuntary Resettlement and Indigenous Peoples Policies Beyond disclosure: 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 For Environmental Assessments: – Category A: at least 2 consultations on ESIA for the Project or Sub-project – at TOR/scoping stage and draft ESIA stage – Category B: 1 consultation for EA for Category B Project or Sub- project, on draft EA, before appraisal (or sub-project approval) 23 18  Safeguards Range of Application [1/2] ◼ World Bank safeguards policies apply to: Investment Lending (including Additional Financing) Social Funds Financial and Intermediary Operations Carbon Finance Operations Emergency Recovery/Post Conflict Global Environment Facility (GEF) Trust Fund Operations Technical Assistance Development Policy Lending Program for Results (PforR) 19  Things you Should Know about the OPs ◼ For each safeguards policy, you should be aware of the policy’s Objective(s) Trigger(s) Mechanism for achieving OP objectives ◼ There are various process-related aspects concerning this “mechanism” including Instrument(s) to use Timing Consultation requirement Disclosure requirement Translation requirement 20  OP 4.01 Categories ◼ Projects are classified to one of the following: Category A: significant adverse environmental impacts that are sensitive, diverse, or unprecedented, which may affect an area broader than the sites or facilities subject to physical works. Category B: potential adverse environmental impacts are less adverse than those of Category A projects. Impacts are site-specific; few if any of them are irreversible. Category C: Minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C project. Category FI: Investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts. 21  Safeguards Roles and Responsibilities ◼ Borrower/Recepient Preparation of EA, RAP, IPDP Public consultation (twice for Category A projects) Public disclosure, in-country, in appropriate location, language, and form Compliance with agreed measures ◼ World Bank Task Team Screening for safeguard policies Informing the Borrower Disclosure on Infoshop Introduce Safeguards covenants in the legal documents Supervision of compliance and reporting/adjusting 22  Stakeholders in the Country ◼ Directly affected by the project Project Affected People (PAPs) ◼ Indirectly affected by/affect the project Civil Society Organizations (CSOs) Non-Government Organizations (NGOs) Media Local government etc 23  In a very small nutshell Safeguards apply to all investment lending; The Borrower is responsible for applying the policies to each Bank-managed loan/credit/grant Within the Bank, Safeguard Policies Review and Clearance is a decentralized function with a centralized coordination/dispute resolution mechanism (Quality Assurance and Compliance Unit – QACU) 24  Definition of Categories Project Category A Identification ◼ Likely to have significant adverse environmental and Social Impacts that are sensitive*, diverse, or unprecedented ◼ Examples: Dams and Reservoirs Ports Forestry Production Land Management Industries/Industrial Zones Resettlement Irrigation and Drainage Watershed Management Terracing Hydroelectric & Thermal Power Plants Mineral Exploitation Pesticides & toxic chemical (production & transport) * Irreversible or falling under OD 4.20, OP 4.04, OP 4.11 7 or OP 4.12 25  Requirement for Category A Projects ◼ Preparation before Project or Sub-Project Appraisal OF an ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT (ESIA) REPORT ◼ Disclosure of the ESIA report prior to Project Appraisal at specific locations and in national/local language , and at the World Bank Information Shop ( Info- shop) 26  Definition of Categories (Continued) Project Identification Category B ◼ Have potential adverse environmental impacts (less than Category A); impacts are site-specific and mostly reversible; mitigation measures can be more easily designed than for Category A ◼ Examples: Small Scale Agro-industries Rural Electrification Transmission Lines Tourism Aquaculture & Mariculture Drinking Water and Sani- tation in Rural Areas Irrigation & Drainage (small) Management & Restora- tion of Watersheds Renewable Energy Construction of schools, health centers Projects involving Rehabilitation , Maintenance and Upgrading Drinking Water and Sanitation in Rural areas 27  Requirement for Category B Projects Preparation of an Environment and Social Management Plan (ESMP) Report ◼ Brief Description of the Project ◼ Safeguard Analysis and Justification ◼ Technical Alternative ◼ Analysis of Environmental and Social Impacts ◼ Preparation of an Environment and Social Management Plan (ESMP) before Project or Sub-Project Appraisal ◼ Disclosure of the ESMP prior to Project Appraisal at specific locations and in national/local language, and at the World Bank Information Shop ( Info-shop) ◼ Report and Results of Consultation with stakeholders ◼ Relevant Annexes including the names of firm (s) and /or staff that prepared the ESMP report 28  Definition of Categories (Continued) Project Identification Category C ◼ Projects likely to have minimal or no adverse environmental impacts PROVIDED THAT THE PROJECT DOES NOT GENERATE INDIRECT IMPACTS OR COULD BE A PRECURSOR FOR FURTHER NEGATIVE IMPACTS ON SUBSEQUENT OPERATIONS OR INVESTMENTS ( In such case it could be in a category A or B ) ◼ Examples: Education TA Institutional Strengthening Family Planning TA Health TA Most Human Resources Project Nutrition TA Capacity Building 29 Requirements for Category C projects ◼ None ◼ No ESIA REPORT ◼ NO ESMP REPORT 30  Definition of Categories ◼ Category FI: Financial Intermediaries: ◼ A legal entity or a commmercial bank is receiving the Bank loan and on-lend to other entities to finance the sub-projects 31  Safeguards Documentation: Safeguard-Specific Instruments Environmental Assessment and Environmental Management Plan, or Environmental and Social Management Framework (OP 4.01) Resettlement Action Plan, or Framework (OP4.12) Indigenous Peoples Plan, or Framework (OP4.10) Forest Management Plan (OP4.36) Pest Management Plan (OP 4.09) Physical Cultural Resources Management Plan (OP4.11) 32  Safeguards: Challenges Failure to trigger applicable safeguards policies Lack of client ownership Inability to review safeguards instruments – ESMF, RPF, ESIA, ESMP, RAP Focus on legalities vs. safeguard objectives Inadequate consultation and disclosure Lack of coordination between safeguards team and other project team members – engineers, procurement specialist,etc Unrealistic assessment of borrower implementation capacity Lack of follow through during supervision – can affect timely preparation of Restructurings or Additional Financing 33  When do we Deal with Safeguard Policies? Early Earlier Earliest If the Task and Safeguards Teams begin looking at potential safeguards issues well in advance, critical time and money can be saved for improved project design. 34  The Future Changing nature of Bank business: Program lending and use of intermediaries Emphasis on outreach in and outside the Bank: Consultation and dissemination with affected groups and NGOs Harmonization with Borrowers: Review National EA System Enhanced Donor Coordination Developing synergies with other tools (e.g., environmental management systems) Moving into supervision and the compliance and enforcement sphere 35  ◼ Thank You For Listening ◼ Do You Have Any Question? 36