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EXECUTIVE SHORT TERM COURSES IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 5 Session 2 Key Factors The Environment and Social Impact Assessment (ESIA...

EXECUTIVE SHORT TERM COURSES IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 5 Session 2 Key Factors The Environment and Social Impact Assessment (ESIA) BY Prof. Boryo Doris Amin (Gender & Compliance Officer) Adopted from Dr Sherif Arif, Ph D Senior Environment Consultant to the Environment Global Practice of the West and Central Africa - SAWE4 September, 2024. 1  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. 2  Steps for Conducting an ESIA for High/Substantial risk The Key steps in conducting an ESIA for the High/Substantial risk are: Screening Scoping. Stakeholder identification. Project definition. Analysis of alternatives. Baseline definition. Impact assessment. Preparation of an Environmental and Social Management Plan (ESMP), including mitigating , monitoring, institutional and reporting measures Consultation and Disclosure Grievance Redress Mechanism Environment and Social Commitment Plan 3  The Key steps in conducting a partial ESIA or ESMP for moderate risk project are: Screening Project definition. Analysis of technical alternatives including the “without project”. Baseline definition. Impact assessment. Preparation of an Environmental and Social Management Plan (ESMP), including mitigating , monitoring, institutional and reporting measures Consultation and Disclosure Grievance Redress Mechanism Environment and Social Commitment Plan 4  The Scoping Process : Purpose and Area of Influence The objective of the scoping step is to focus the remainder of the ESIA process on those environment and social impacts that are likely to result in significant effects. This is achieved through data collection and stakeholder engagement followed by analysis of the information gathered. Ideally, the scoping process should also identify the potential impacts that can be avoided through early stages of project design. To initiate scoping it is necessary to identify, on a preliminary basis, the Area of Influence , or Associated Facilities for the project which are defined as follows: The area likely to be directly affected by the project and related facilities that the project proponent develops or controls (e.g. power transmission corridors, pipelines, , tunnels, access roads, borrow and disposal and additional areas in which aspects of the environment could conceivably experience significant impacts and risks. Areas potentially affected by related or associated facilities dependent on the project and that would not have been implemented if the project did not exist, but that are not funded by the project. and, in the judgment of the Bank, are: (a) directly and significantly related to the project; and (b) carried out, or planned to be carried out, contemporaneously with the project; and (c) necessary for the project to be viable and would not have been constructed, expanded or conducted if the project did not exist Areas, including the communities within them potentially affected by unplanned but predictable activities likely to be induced by the project. In case Associated Facilities are being funded by other multilateral or bilateral funding agencies, the Bank may agree to apply the requirements of such other agencies for the assessment 5 and  THE SCOPING PROCESS: DATA COLLECTION The aim of scoping is to collect sufficient information on environmental and social conditions and to invite stakeholder input to facilitate the identification of the potential interactions between the project and resources/ receptors within the likely Area of Influence/Associated facilities In addition, scoping should involve initial consultations with possible affected communities and stakeholders. Data should be collected for those resources/receptors which have a reasonable potential to experience significant impacts. Potential resources/receptors include physical (e.g. geology and soils, surface and groundwater resources, air resources and climate, noise and vibration, prominent landscape and esthetic features), biological (flora, resident and migratory fauna, ecosystems, endangered and threatened species, their habitats and protected areas, poaching), and socio- economic and cultural features (e.g. livelihood, resettlement, community social structure, gender, vulnerable groups, health, safety, cultural property, ecosystem services). Receptors/resources which may experience transboundary impacts and global impacts, including greenhouse gas (GHG) emissions, vulnerability to climate-change and potential adaptation and mitigation measures should also be considered. During the scoping phase, an assessment should also be made of the risk of cumulative impacts – incremental impacts from other third party developments that are planned or probable at the time the impact assessment process). 6  THE SCOPING PROCESS; STAKEHOLDER IDENTIFICATION AND ENGAGEMENT Before initiating the ESIA, relevant stakeholders, especially potentially affected communities, should be identified through a stakeholder mapping analysis, so that adequate engagement and consultation can be carried out during the ESIA process This stakeholder mapping analysis should inform the development and implementation of a Stakeholder Engagement Plan (SEP) that includes a detailed description of the plan for stakeholder engagement through the ESIA process Regular stakeholder engagement activities should be carried out in alignment with the various steps that constitute the ESIA process, and should directly inform the development of the ESIA. At a minimum, for Category High/Substantial projects, stakeholders should be engaged to obtain their input into the preparation of the draft Terms of Reference, the draft ESIA report and summary, and the draft ESMP. At minimum, for projects in a Moderate category , the affected communities and stakeholders should be consulted about the draft ESMP report Finally, all stakeholder engagement activities constituting part of the ESIA process should be adequately documented, so that such activities and their outcomes can be confirmed and verified. The required process for this should be set out in the ESIA ToR. 7  Scoping Phase: Requirements and Outputs Scoping is required for the projects in categories High and Substantial The output of the scoping phase is usually a final ToR for the ESIA of the project, including a schedule and implementation plan for the ESIA. Preparation of a ToR for approval by national the authorities and by the Bank 8  PROJECT DEFINITION for ESIA and EMP The ESIA should start from a clear definition of the project to identify potential sources of impacts and risks. Project information should be collected in sufficient detail to: a) Describe, at a level that can be understood by a lay person, the features, location and activities proposed by the project proponent. b) Facilitate a comprehensive identification of the potential interactions between the project and resources/receptors, and the impacts that could result from the interactions. The Project Definition should be sufficient to convey an understanding of what is being proposed, and should focus on the elements of the project that can potentially interact with resources/receptors to produce significant impacts. Exhaustive descriptions of engineering or process details should be avoided unless warranted for one of these purposes. 9  ANALYSIS OF THE ALTERNATIVES for ESIA. An Analysis of Alternatives includes: A systematic comparison feasible alternatives to the proposed project site, technology, design, and operation—including the “without project” situation—in terms of their potential environmental and social impacts and risks. An Assessment of the alternatives’ feasibility of mitigating the environmental and social impacts; the capital and recurrent costs of alternative mitigation measures, and their suitability under local conditions; and the institutional, training, and monitoring requirements for the alternative mitigation measures. A quantification for each of the alternatives, of the environmental and social impacts and risks to the extent possible, and including economic values where feasible 10  BASELINE DEFINITION for ESIA and ESMP The description of the baseline has the following objectives: Identify the key environmental, socio‐economic, cultural and health conditions in the Areas of Influence, focusing on the resources/receptors that may be impacted by the project. Describe and, where possible, quantify the current characteristics (nature, condition, quality, extent, etc.) of resources/receptors, and predict their likely future characteristics in the absence of the project. Provide data to aid the prediction and modelling of impacts and effects. Help establish parameters for measuring impacts during pre construction , construction and implementation and commissioning Inform judgments about the sensitivity, vulnerability and/or importance of resources/receptors. The baseline should also take into consideration: current conditions, as well as changing conditions and trends apparent in the project area and Area of Influence (e.g. coastal errosion, depletion of fisheries, etc.). Other developments in the area that are underway or certain to be initiated in the near future. Developments which are planned or proposed but are not yet committed or certain (i.e, they are behind the project in the planning cycle) should be considered 11  Impact Assessment and Mitigation for ESIA and ESMP The steps involved in the impact assessment stage are: Identification of potential interactions between the project and the physical, biological, cultural or human environment (based on consideration of information gathered on the project, project alternatives and baseline conditions). Identification of the risk of cumulative impacts arising from the combination of the project’s impacts with the impacts of other developments. Prediction of impacts – determination of what could potentially happen as a result of the project’s interaction with the physical, biological, cultural or human environment, (the diverse range of impacts considered in the ESIA process may result in a wide range of prediction methods being used,including quantitative, semi‐quantitative and qualitative techniques). Definition of impact characteristics - type, extent, duration, scale and frequency of each impact Determination of impact magnitude - the degree of change that the impact is likely to impart upon the resource/receptor, based on its defined characteristics. Determination of impact significance– taking account of the sensitivity/vulnerability/importance of the resource/receptor and the magnitude and irreversibility of the impact.( if any) Identification of measures to avoid, minimize and mitigate impacts, following a mitigation hierarchy. Identification of residual impacts (i.e. after mitigation) and measures to offset/compensate for residual impacts. 12  Use of Interaction Matrix At the scoping stage ( for high/substantial project category) and.or at the impact assessment stage ( for moderate risk project) an “interaction matrix can be developed as a tool to identify possible interactions between project components and resources/receptors (air quality, water quality, land degradation, wildlife, vegetation, health. etc The matrix assists with a methodical identification of the potential interactions each project activity may have with the range of resources/ receptors within the Area of Influence The matrix consists of a list of resources/receptors that could be affected by the project activities, set against a list of project activities. Entries in the matrix cells can then be colored to indicate whether: An interaction is not reasonably expected (e.g. Green). An interaction is reasonably possible but none of the resulting impacts are likely to lead to significant effects (e.g. yellow). The interaction is reasonably possible and at least one of the resulting impacts is likely to lead to an effect that is significant (e.g. Red)). 13  THE ENVIRONMENT AND SOCIAL MANAGEMENT PLAN (ESMP) For Projects in Categories High, Substantial and Moderate An ESMP defines the basic management and monitoring measures that are needed to identify whether: a) impacts remain in conformance with predictions and applicable standards; and b) mitigation and monitoring and institutional measures are effectively addressing impacts and risks ,and compensatory measures and offsets are reducing effects to the extent predicted An ESMP should set out: (i) actions to implement mitigation measures; (ii) a monitoring and reporting program, based on agreed performance indicators; (iii) emergency response procedures; (iv) institutional and organizational arrangements; (v) capacity development and training; (vi) implementation schedule; and (vii) cost estimates. An ESMP should also address the measures for information disclosure, the grievance redress mechanism, and the process for continued consultation with and participation of affected people during project implementation. ESMP is normally: (i) a condition of project approval by the Bank issued by the borrower; (ii) a condition incorporated into the bidding documents, project construction contracts and operation and maintenance contracts; and (iii) a covenant in the Bank’s loan agreement. An ESMP should be subject to amendment during project implementation if any changes occur to the project’s design and performance or the relevant environmental and social conditions DETAILS ON THE ESMP ARE PROVIDED IN DAY 4 SESSION 1 14  Consultation and Participation The Bank will require the Borrower to engage with stakeholders, including communities, groups, or individuals affected by proposed projects, and with other interested parties, through information disclosure, consultation, and informed participation in a manner proportionate to the risks to and impacts on affected communities. The main criteria for a meaningful consultation are as follows: 1. Free: Consultation shall be free of external manipulation, interference, intimidation or coercion. 2. Prior: Consultation shall be timely in relation to the assessment process, allowing sufficient time to access and understand the information and prepare appropriate responses. 3. Informed: Consultation shall be grounded in the provision of relevant, understandable and accessible information, in the appropriate language, and in advance. 4. Open: Consultation should be open to all, inclusive to those directly or indirectly affected by the Project and shall included all stakeholders including women, youth, and people with disability 5. Accessible : Information should be easy to understand and culturally appropriate 6. Transparent : The borrower and client should be honest in explaining the difficult and controversial issues. 7. Fair and even handed: Critics will be allowed to express the stakeholders views and enabled to speak out freely and with equal opportunity. 15  CONSULTATION AND PARTICIPATION ( ctd) Consultation shall be considered an ongoing process, not just as a step in the procedures for obtaining project approval. It shall begin at the project identification stage, or at least at an early stage during project preparation, and shall continue throughout the life of the project through to construction, operation and decommissioning. For projects in Categories High and Substantial, consultation and participation should take place at least at the scoping stage , during the pre-appraisal and appraisal stages and during the review of the draft ESIA report. For projects in the Moderate category, consultation should take place at least during the pre- appraisal stage and during the review of the ESMP report. The Bank will have the right to participate in consultation activities to understand the concerns of affected people, and how such concerns will be addressed by the Borrower in project design and mitigation measures. The Bank will undertake the necessary due diligence and ascertain the outcome of the meaningful consultation, and this will contribute to the Bank’s decision making as to whether to proceed with the proposed project or not. 16  Disclosure of Information The Bank will apply the World Bank Policy on Access to Information with regards to all documents provided to it by the Borrower. Information about the potential risks and impacts of the project for the Borrower’s consultations with its stakeholders will be disclosed in a timely manner, in an accessible place, and in a form and language understandable to project-affected parties and other interested parties. The Bank will disclose documentation relating to the environmental and social risks and impacts of High Risk and Substantial Risk projects prior to project appraisal. This documentation will reflect the environmental and social impact assessment of the project, and be provided in draft or final form (if available). The Bank will disclose for moderate risk projects, the ESMP in draft prior to appraisal. In case there are changes to the project that result in additional risks and impacts, the Borrower will disclose an updated ESMP. 17  Grievance Redress Mechanism (GRM) GRM is a systematic process for receiving, evaluating and facilitating resolution of affected people’s project-related concerns, complaints and grievances about the borrower’s/client’s social and environmental performance on a project. The GRM provides a structured and managed way of allowing the concerns of affected people to be heard and addressed, including by the borrower’s/client’s project management staff and, in certain circumstances, by Bank staff The main advantages of establishing and maintaining an appropriate GRM linked to a Bank-funded project are: (a) Helping maintain good development conditions in the field, conducive to harmonious sustainable development. (b) Minimizing the risk of violent or otherwise destructive behaviors, and their associated economic and social costs; (c) Helping to protect the most vulnerable local groups and individuals. And (d) Alleviating the risk of dispute or conflict escalation, such as cases being brought to the Bank’s Inspection Panel which give affected people a greater voice in activities supported by the World Bank that affect their rights and interests, and foster redress when warranted. The Bank will require the Borrower to provide a grievance mechanism: a process, or procedure to receive and facilitate resolution of concerns and grievances of project-affected parties arising in connection with the project, in particular about the Borrower’s environmental and social performance. The grievance mechanism will be proportionate to the risks and impacts of the project Project-affected parties may submit complaints regarding a Bank-financed project to the project grievance mechanism, appropriate local grievance mechanism, or the World Bank’s corporate Grievance Redress Service (GRS). 18  Design an Effective Grievance Mechanism An effective grievance mechanism should offer: Several grievance uptake channels that ensure accessibility for all Receipt acknowledgement to the complainant Various grievance categories adapted to the project Clear procedures and timeframes for processing and investigating grievances Clear escalation measures and appeal processes An effective grievance tracking system and comprehensive grievance log The possibility to analyze grievance data to turn the GM into a continuous learning and improvement tool Regular reporting channels about feedback received from citizens and actions taken as a result Grievance mechanisms should build upon national and local grievance 19 Environmental and Social Commitment Plan (ESCP) Required in all projects, legally binding (referenced in Project Legal Agreement) Forward-looking, high-level summary of actions agreed on for implementing the project Progress with ESCP is monitored by the Borrower and reported on regularly to the Bank The ESCP may be changed during implementation to reflect changing circumstances or unanticipated risks (adaptive management) A draft ESCP is publicly disclosed before a project can be approved, and any revisions during the implementation are also disclosed DETAILED EXPLANATION WILL BE PROVIDED IN DAY 4 SESSION 3 20  Overview: Environmental and Social Considerations During Implementation Requirements summarized in ESCP, Environmental and Social Commitment Plan Integration of E&S issues in project decision-making Management structure: Resources, capacity, coordination Stakeholder engagement and Grievance Mechanism Monitoring, reporting and evaluation Adaptive management 21  Studies and Plans to be Undertaken During Implementation Updating and finalization of studies and plans, such as: Finalization of biodiversity assessment Updating of Stakeholder Engagement Plan and ongoing stakeholder consultations Site-specific Resettlement Action Plans, RAPs, based on overall Resettlement Management Framework and following final engineering designs Studies and plans may be undertaken at different times, coordinated with other project components and reflected in management decisions Example: Timeline during implementation Studies and.. reflected in.... before civil consultations revised plans implementatio works start.... and designs... n of mitigation Approva measures and Preparation Implementation Closing l support... 22  Monitoring, Supervision, and Evaluation Baseline data, benchmarks, and targets. Combination of quantitative and qualitative indicators Supervision and Monitoring Implementation Support Evaluation Borrower responsibility World Bank responsibility Can be commissioned by either the Borrower or the Bank, or jointly. Project staff. May include participatory monitoring and World Bank environmental and social specialists Independent experts independent experts. Typically at project mid-term and Continuous Intermittent completion Focus on higher level outcomes, Focus on inputs (actions) and Focus on performance and impacts, and sustainability. immediate outputs. Regular results, verification of Confirmation that objectives and reporting and disclosure. monitoring reports requirements in the ESF have been met. 23  ANY QUESTIONS THANK YOU FOR YOUR ATTENTION 24