Executive Short Term Course in Environmental Standards PDF

EXECUTIVE SHORT TERM COURSE IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 2 Session 3 INSTRUMENTS AND TYPES OF ESIA BY Dr Maged Hamed...

EXECUTIVE SHORT TERM COURSE IN ENVIRONMENTAL STANDARDS TRACK A: A FIVE DAY COURSE FOR ENVIRONMENT AND SOCIAL ASSESSMENT PRACTITIONERS Module 2 Session 3 INSTRUMENTS AND TYPES OF ESIA BY Dr Maged Hamed Regional Safeguard Coordinator And Co-TTL of SPESSE to the Environment Global Practice of the West and Central Africa - SAWE4 August 3, 2021 1  Course Content The purpose of this course is to provide an overview of the types and instruments of ESIA. These include A. The Types of Different Assessments The Strategic Environmental Assessment (SEA) The Sectoral Environmental Assessment Health Risk Assessment Environmental Audits B. Types of Loans Development Policy Loans ( DPL) The Environmental and Social Management Framework (ESMF) Emergency Recovery Projects Program for Results ( Pfor R) C. Conclusions 2  STRATEGIC ENVIRONMENTAL ASSESSMENT (SEA); its Roots in Environmental Impact Assessment (EIA) of development projects In 2006, OECD task team produced Applying Strategic Environmental Assessment: Good Practice Guidance for Development Co-operation (OECD DAC 2006). This was a timely response to the 2005 Paris Declaration on Aid Effectiveness, which calls upon donors and partners to work together to “develop and apply common approaches for strategic environmental assessment at sector and national levels” (OECD 2005) SEA applied at the policy level requires a particular focus on the political, institutional and governance context underlying decision making because : Policies are the result of competing interests in the political arena that are influenced by the historical, economic, social, cultural, and institutional context present in a given jurisdiction. It suggests that effective policy-level SEA should increase attention to environmental priorities; strengthen stakeholder constituencies; and contribute to enhancing the 3  SEA DEFINITION AND PREPARATION SEA is described as an analytical and participatory approach to strategic decision making that aims to integrate environmental considerations, into policies, plans and programs and evaluate the interlinkages with economic and social considerations. (OECD-DAC 2006) SESA ( Strategic Environmental and Social Assessment ) stresses the inclusion and relevance of social issues as well as environmental ones. There are six steps for SEA 1. Understanding policy formation and windows of opportunity to influence decision making 2. Initiation of stakeholder dialogue 3. Identification of key environmental issues a. Situation analysis b. Stakeholder analysis 4. Environmental priority setting 5. Institutional assessment 6. Formulation of policy and institutional adjustments 4  MAJOR SEA INSTRUMENTS SEA as a family of approaches using a variety of tools, rather than a fixed, single and prescriptive approach. It is an umbrella term of assessment processes that aim to integrate environmental and social considerations into decision making by using impact- centered approaches that are centered on institutions and systems for environmental and social management SEA instruments are : Regional and sectoral environmental assessments are instruments that examine environmental issues and impacts associated with a series of projects in a particular region or sector (example in subsequent sections of this course) Policy SEA is a process to establish a policy dialogue for mainstreaming environmental and social considerations in policy and sector reforms and is used to prepare Development Policy Loans (example in subsequent sections of this course) Country Environmental Analysis is an instrument to inform the dialogue between the Bank and client countries on national environmental priorities ( Example: Rapid CEA in Nigeria) 5  SECTORAL ENVIRONMENTAL ASSESSMENT An instrument that examines environmental issues and impacts associated with a particular program, or with a series of projects for a specific sector (e.g., power, transport, or agriculture); evaluates and compares the impacts against those of alternative options; assesses legal and institutional aspects relevant to the issues and impacts; Definition : and recommends broad measures to strengthen environmental management in the sector. Sectoral EIA pays particular attention to potential cumulative impacts of multiple activities.” A SECTORAL ENVIRONMENT AND SOCIAL ASSESSMENT IS REQUIRED Section 1 - Executive Summary Section 2 - Policy, Legal and Regulatory Framework Section 3 - Project Objectives and Description Section 4 - Baseline Data Section 5 - Environmental Impacts Section 6 - Analysis of Alternatives Section 7 - Environmental and Social Management Plan Section 8-Consultation 6 Key Issues Themes Sectoral Development Objectives 1. 2. Long-term sustainability Economic drivers of sector development 3. Sector issues (master plan, supply and demand, resource implications) Alternatives Analysis 1. 2. Alternative development scenarios Timing, phasing 3. Alternative technologies, sites, Identification of Environmental Issues 1. Cumulative impacts 2. Competition for scarce resources or conflicts with other resource users 3. Compatibility with long-term development plans 4. Potential breaches of (current or future) ambient standards, emission limits, operating codes and practices, technical specifications.) Analysis of Policy, Institutional and Regulatory 1. Current environmental laws, regulations, and standards and Issues likely/required future programs 2. Institutional capacity existing/required to manage, regulate and enforce the law 3. Procedures and guidance available/required to support compliance with national regulations and standards and World Bank policies and guidelines Analysis of Environmental Baseline Data 1. Current and planned future land use on site and region 2. Assessment of the need for ambient measurements of air, Requirements water, soil quality 3. Availability of basic geographical and environmental data including topography, water resources, geology, and climate (e.g., winds, precipitation, ambient air quality, ambient surface and groundwater quality) Consultation, Decision Making and 1. Aims of consultation and identification of stakeholders 2. Consultation strategy, arrangements to ensure transparency Environmental Management Planning and determination of the degree of Public Participation 7 3. Elaboration of the decision-making process  Example of Sectoral Environmental Assessment Nigeria State Education Sector Project ( 2006) US$ 50 million (credit) The overall development objectives of the proposed State Education Sector Program (SESP) are to: a) expand access to quality basic and secondary education by initiating highest priority investments, focusing on the disadvantaged groups (particularly girls) in selected LGAs; and (b) strengthen the capacity of planning, management and monitoring at the State level for more effective delivery of education services. The proposed SESP is for a Specific Investment Loan (SIL) of three years, and will support the implementation of the priority areas of the ESPs of Kaduna, Kano, and Kwara States The Project would support expanded coverage of basic and secondary education through the rehabilitation, expansion, upgrading and refurbishment of existing basic education schools (targeted to the most marginalized LGAs in the State). This rehabilitation, upgrading, and construction of schools might contribute to soil erosion, soil and water pollution or loss of 8 vegetation.  Health Risk Assessment. Ref https://www.pdhi.com/ncqa/what-is-a-health- risk-assessment/ A health risk assessment, or HRA, is a screening tool that helps individuals identify and understand their health risks and monitor health status over time. A health risk assessment includes a questionnaire, an assessment of health status, and personalized feedback about actions that can be taken to reduce risks, maintain health, and prevent disease. A health risk assessment usually includes questions in the following areas: Demographic characteristics – age, gender Lifestyle behaviors – exercise, eating habits, alcohol and tobacco use Emotional health – mood, stress, life events Physical health – weight, blood pressure, cholesterol levels Current and previous health conditions Preventive screenings Readiness to change behaviors to improve health 9  Major Tasks for Health Assessment Task A : Air and Water Quality Monitoring is essential for determining not only the level of hazardous emissions in the project or region and principal point and non-point sources of pollution, but also for determining degrees of exposure and thereby identifying high-risk populations Task B Epidemiological Study the establishment of statistically significant relationships between public health and pollution and which can subsequently be used as guidelines for public health assessment; Task C: Health Impact modelling by the establishment of statistically significant relationships between public health and pollution and which can subsequently be used as guidelines for public health assessment Task D: Cost-benefit analysis of public health improvements by evaluating the cost to society as a result of exposure to pollutants and health impacts thereof and the potential economic benefits resulting from investment in health improvement Task E:. Identification of additional requirements for a permanent monitoring program 10  Environmental audit Environmental auditing is a systematic, documented, periodic and objective process in assessing an organization's activities and services in relation to: Assessing compliance with relevant statutory and internal requirements. Facilitating management control of environmental practices. Compliance audits may be multimedia or programmatic. Multimedia audits involve identifying and auditing all environmental media (air, water, waste, etc.) that apply to the operation/company. Programmatic audits (which may also be called thematic or media-specific) are limited in scope to pre-identified regulatory areas, such as air.. 11  Generic Elements for Environmental Audit a) Estimate levels of emissions into air and water based on available data, mass balances and emission factors, and amounts and composition of wastes produced in the plants. b} Describe the processes used at the industries and the sources of different air and water pollutants and formation of wastes. c} Give advice on different technical options to reduce releases to air and water, reduce deposited amounts of wastes either process changes, material recovery ,waste minimization, and/or end of pipe control. d) Estimate the resulting releases of air and water pollutants and wastes after the possible control options, e) Estimate the costs for the different pollution mitigation options and implementation schedule. 12  Development Policy Loans (DPLs) Loans related to CHANGE in POLICIES and to REFORMS but NOT to INVESTMENTS DPL Cover financing needs for the balance of payments by the Ministries of Finance Support country-owned reform programs of policy and institutional actions Focus on delivering measurable policy results Use the recipient country’s own processes and arrangements for consultation with participation of relevant stakeholders Is prepared in collaboration with other international financing institutions and donors, as appropriate 13 13  DPL Types, and Terms Used DPL Types Programmatic: Multi Year Loans Standalone single-tranche Policy reform: Sector: Trade, Banking Energy, Water, Solid waste Micro-economic reforms: Fiscal., Privatization, Governance Terms/Definitions Program Matrix Linked prior actions Triggers of disbursement Benchmarks Results 14 14  DEVELOPMENT POLICY LENDING (DPL) OP 8.6 DPL operations are not subject to the 10 safeguard policies, However for each DPL : A determination should be made , on a case-by-case basis, whether a particular operation is “likely to cause significant effects on the country’s environment and natural resources” Identification should be made of the corresponding measures for strengthening country systems to handle these effects; An assessment should be made by the Bank of institutional reputational risks associated with the operation; and Appropriate analysis and mitigation/enhancement measures (e.g., SEAs, capacity building measures) should be agreed upon by the Borrower 15  Environmental Aspects - interpretation The Bank determines whether the specific policies supported by a DPL are likely to have a significant effect on the environment, forests, or natural resources “Significant” effects are not defined. The DPL toolkit states: environmental changes of sufficient magnitude, duration and intensity as to have non-negligible effects on human welfare. This determination should be supported by evidence/analysis or a plausible line of reasoning If likely significant effects (positive or negative) 1. The Bank assesses the borrower’s systems - policy framework and institutional capacity - for reducing such adverse effects and enhancing positive effects, 2. Draws on relevant country-level or sectoral environmental analysis for both the determination of the likely effect and how to manage the consequences. 3. If there are significant gaps in the analysis or shortcomings in the borrower’s systems, the World Bank describes in the Program Document how such gaps or shortcomings would be addressed before or during program implementation. This includes other donor support etc. 16 16  DPL Toolkit Proposed Most Least Can’t Say reforms Likely Likely Sector Agriculture ✔ (Forests) likelihood of Energy ✔ environmental Transport ✔ impact of DPL Urban/Water ✔ Trade ✔ Fiscal ✔ Financial/ ✔ Banking Privatization ✔ Public ✔ Administration Governance ✔ 17 17  Example: Third Lagos State Development Policy Operation CREDIT US$ 200 million( 2015) The objective of the project is to support a range of reforms pertaining to fiscal sustainability, budget planning, budget execution, and the investment climate in Lagos, Nigeria This operation will help sustain the state’s recent economic growth and poverty reduction while continuing to deliver social services to the city’s expanding population. In the past decade Lagos State achieved significant economic growth, improved its infrastructure and services, significantly reduced crime, and brought millions of people out of poverty. 18 Environment and Social Management Framework (ESMF) a Guide consisting of a set of methodologies, procedures and measures to facilitate adequate environmental management (risk management and impacts) related to subprojects , facilities or associated facilities financed under the project and whose specific locations and nature are unknown at appraisal or may change during project implementation Ruxandra Floroiu,Senior Environmental Engineer, ECA Region , , 19 Environment and Social Management Framework (ESMF) a Guide consisting of a set of methodologies, procedures and measures to facilitate adequate environmental management (risk management and impacts) related to subprojects , facilities or associated facilities financed under the project and whose specific locations and nature are unknown at appraisal or may change during project implementation Ruxandra Floroiu,Senior Environmental Engineer, ECA Region , , 20  Use of ESMF ESMF was originally used for Financial Intermediary projects Community Development Projects consisting of a multitude demand driven , small scale subprojects that could not be identified before appraisal Social Fund Projects consisting of large number of sub-projects targeted towards smaller municipalities or local governments to benefit the poor or especially vulnerable, with public or private agencies, such as local governments, NGOs or community groups 21  ESMF Purpose Provides guidance to the borrower , project sponsors and FIs on HOW to ensure the ESA process is carried out in compliance with national legislation and OP 4.01 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 Used as a reference document for assessing the potential environmental and social impacts of investment alternatives Serves as guidelines for the development of sub-project/site- specific Environmental and Social Management Plans (ESMPs), Environmental and Social Assessments (EAs), due diligence reports, environmental audits, etc Is an integral part of the Project Operational Manual and applicable to all FIs investments, regardless of its funding source or implementing agency Ruxandra Floroiu,Senior Environmental Engineer,ECA Region 22  ESMF Procedures Cover 1. 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 23 Ruxandra Floroiu,Senior Environmental Engineer,, ECA Region ,  Difference between ESMP and ESMF ESMP ESMF Type of project Specific, well defined Includes subprojects, components identifed subcomponents and appraised identified during design but not appraised ESA requirements Project screened Sub-projects screened during design as per in accordance with a categories A,B and C checklist during ESIA Report for Cat A implementation ESMP for cat B Legal requirements Borrower to Borrower to prepare implement the ESMP sub-project specific ESA reports and implement them Mitigating and Specific during desgin Generic during design monitoring measures 24  Potential Environmental impacts and proposed mitigation measures for different subprojects Project Potential Impacts Mitigation Measures Responsible Component Agency Improvements 1. Cross contamination 1. Coordinate with List appropriate sewage and water lines appropriate agency agency to Water Supply due to pressure and Sanitation differentials and leaks) 2. Improper disposal of 2. Proper disposal of construction debris construction wastes 3. Destruction of 3. Use chance find historical sites procedures and 4. Risk of damage to coordinate with archaeological sites appropriate agency 25 Proposed Monitoring Measures for different subprojects Sub-project Monitoring Indicators Responsibility Frequency (1) Roads 1. Operating drainage 1. Environmental Semi-annual rehabilitation channels specialists in close assessment 2. No visible negative coordination with impacts on appropriate govt. surrounding habitat agencies Improvements to 1. Clean functioning 1. Environmental Semi-annual Sanitation toilets specialists in close assessment Facilities 2. No leakage or coordination with overflows of manholes appropriate govt. or drains agencies Rehabilitation of 1. Toilet facilities clean 1. Environmental Semi-annual schools and functioning specialists in close assessment properly coordination with 2. Drinking water faucets appropriate govt. clean and safe from agencies contamination 26  Expanding the use of ESMF ESMF is not specifically mentionned in OP 4.01 Large investment projects whenever the project components and associated facilities were identified but not fully appraised Circumventing the ESIA system by deferring all the ESIA requirements during implementation « in order to gain time and go to the World Bank Board of Directors for approval quicker » 27  Circumventing the system Imposed conditionalities in the loan agreement that sub- project specific ESIA should be aproved by the World Bank Increased implementation delays because of the weak capacity of the borrowers and its lack of understanding of the ESMF system Induced tension and frustration 28 Example : ESMF for Power Sector Guarantee Project (PSGP) in Nigeria ( 2014) US$ 2014 The proposed Project will (i) increase the installed power generation capacity of Independent Power Producers (IPP) and privatized Generation Companies (GENCOs); and (ii) improve the efficiency of electricity delivery by privatized Distribution Companies (DISCOs). The Environmental and Social Management Framework (ESMF) is an assessment tool for the proposed Nigeria Power Sector Guarantees Project (PSGP). The overall PSGP by environmental screening is a category ‘A’ project, in which each partial risk guarantee (PRG) will be presented to the World Bank Board for approval. For PRGs issued to the developers of new IPP power plants, a full ESIA is required according to World Bank and Government standards,1 and the ESIA for each plant being considered for a PRG will be prepared, approved and disclosed prior to approval 29  Emergency Recovery Projects Projects that are related to Natural Disasters: Earthquakes, Floods Civil wars These projects are subject to an operation policy (OP 8.50)to define criteria and procedures for what is considered to be « emergency » Projects include a quick-disbursing component designed to finance a positive list of goods  Project should be approved within 10 weeks from initiation of project discussion with government 30  Emergency Recovery Loans Projects are normally subject to an ESIA However when compliance with any requirement of this policy would prevent the effective and timely achievement of the objectives of an emergency recovery project, the Bank may exempt the project from such a requirement. In all cases, the Bank requires at a minimum that (a) the extent to which the emergency was precipitated or exacerbated by inappropriate environmental practices be determined as part of the preparation of such projects and (b) any necessary corrective measures be built into either the emergency project or a future lending operation. 31  Example: Multi Sectoral Crisis Recovery Project in North Eastern Nigeria (2017) Credit US$ 200 million The objectives of the Multi-Sectoral Crisis Recovery Project are to: (a) support the Government of Nigeria towards rehabilitating and improving critical service delivery infrastructure, improve the livelihood opportunities of conflict and displacement-affected communities, and strengthen social cohesion in the North East Participating States of Borno, Yobe and Adamawa; and (b) in the event of an eligible Crisis or Emergency, to provide immediate and effective response to said Eligible crisis or emergency. T 32  How does Program for Results ( P for R) complement the Bank’s menu of instruments? Implementation Mechanism Funds for specific Project Lending Bank IL rules and procedures expenditures of (IL) PROJECTS Funds for non- Policy Lending earmarked Country policy processes (DPL) general budget support Program Lending Funds for specific Program systems expenditure (PforR) PROGRAM 33  PforR and Investment Lending (IL) Safeguards IL Safeguards do not apply to Pfor R PforR will not support program activities that are judged to be likely to have significant adverse impacts that are sensitive, diverse, or unprecedented on the environment and/or affected people (typically Category A activities ) Screening of the program is not based only on impacts but on RISKS : No classification of the sub-projects under category A, B or C Distribution of responsibility (Bank vs. client) 34  Environmental and Social System Assessment (ESSA) IS A REQUIREMENT FOR P for R ESSA is used to document the environmental and social management systems applicable to the program ESSA is the Bank task team’s responsibility based on data provided by the client and other stakeholders Among other tasks, the ESSA Includes a description of the proposed program, including likely risks and impacts Describes the Client’s environmental and social RISK management system Assesses capacity for effective management ofRISKS and IMPACTS in light of performance to date Assesses the management system against PforR core principles Findings are factored into an ‘integrated program’ risk assessment and action plan 35 35 P for R : Environmental and Social System Assessment (ESSA) An ESSA should be prepared to: Assess the level of overall Environmental and Social risks under the Program; Assess the Program’s environmental and social management systems (ESMS); Verify that the risks and potential environmental and social impacts of the program are subject to adequate initial screening under the ESMS; Ensure that the ESMS include processes, measures to avoid, minimize, offset and/or compensate any adverse impacts and promote environmental and social sustainability; Identify suitable measures to strengthen the Program’s ESMS; and finally Recommend ways to include such measures – in agreement with the Borrower - in the activities to be supported under the Program, such as the Program Action Plan or the Program Disbursement Linked Indicators 36  Example of Pfor R: SUSTAINABLE PROCUREMENT, ENVIRONMENT AND SOCIAL STANDARDS ENHANCEMENT (SPESSE) PROJECT (2020) Credit US$ 80 million The objective of this project is to enhance sustainable capacity in the management of procurement, environmental and social standards in the public and private sectors. The Project Components are : a.Component I: Technical assistance and Support to implementing agencies; and b.Component II: Establishment and operating the Centers of Excellence (SPESSCE). SPESSECE disbursement is linked to the agreed performance indicators. Payments will be on the basis of Time Line for Disbursement linked Indicators. 37  Example of DISBURSEMENT LINKED INDICATORS Disbursement- Disbursement amounts Total disbursement amounts per DLI for all centers Indicative timeline for DLI achievement (shows percent of the total allocation per linked per DLI per center DLI disbursed each year of project indicators implementation) (DLIs) Amount As a percent of total Amounts As a percent DLI Year 1 Year 2 Year 3 Year 4 Year 5 DLI financing (USD thousand) of total baselin (2020) (2021) (2022) s (USD allocated per center project e (%) (%) (%) (%) (%) thousan (%) financing (%) amount (%) d) TRACK A DLIs DLI-A.1: 60 360 0.45 0 100 0 0 0 0 Timely launching- All courses are offered no later than 4 months from commencemen 0.77 t TRACK B DLIs TRACK C DLIs DLI-C.1: Timely 90 38 540 0.68 0 100 0 0 0 0 launching- Rolling out  Conclusions The World Bank has developed new Environment and Social Safeguard Instruments to accommodate the needs of its clients All these instruments are not expected to be in conformity with the national ESA legislation, athough there is a clear commitment that the World Bank will rely more and more on the environment and social safeguard performance of its clients However there is one single common denominator that glue all these intruments: The Institutional and Legal Capacity of Its Clients is Essential for the Implementation of these Instruments. 39  QUESTIONS???? THANK YOU FOR YOUR ATTENTION 40