Environmental and Social Considerations: The Basics of
Environmental and Social Considerations: The Basics of
Environmental and Social Considerations: The Basics of
Environmental
and Social
Considerations
Introduction to the JICA Guidelines for
Environmental and Social Considerations
JICA
The Basics of the Environmental and Social Considerations
(Introduction to JICA Guidelines for Environmental and Social Considerations)
Compiled by:
Environmental and Social Considerations Supervision Division,
Credit Risk Analysis and Environmental Review Department,
Japan International Cooperation Agency
Nibancho Center Building 5-25, Niban-cho, Chiyoda-ku,
Tokyo 102-8012, JAPAN
TEL: +81-3-5226-8190 / 8198, FAX: +81-3-5226-6371
E-mail: erte2@jica.go.jp
Cover Art: Live and Let Live, and Prosper Together (2012) by Manabu Kochi.
Used with the permission of the artist. (Copyright reserved.)
Preface
The Japan International Cooperation Agency (JICA) is an independent
governmental agency that implements Official Development Assistance of Japan.
JICA assists the economic and social growth of developing countries and
promotes international cooperation through schemes including Technical
Cooperation, Loan Aid, Grant Aid, Volunteer Programmes, and Emergency
Disaster Relief. In 2010 JICA adopted a new set of guidelines for Environmental
and Social Considerations to ensure that its assistance will lead to sustainable
development.
1
Basic Facts
❚What would happen if the required ESC were not put into
practice?
Project proponents shall inform JICA if there is any difficulty or delay in putting
ESC into practice, or if unanticipated impacts on the environment or society have
been identified. JICA will take the necessary measures to ensure that the project
proponents comply with the ESC Guidelines, but if it becomes apparent that the
project cannot meet the conditions set out by the ESC Guidelines, JICA may opt
to suspend its assistance in accordance with the written agreement between
JICA and the project proponents.2
1
ESC Guidelines: 1.1 Policy; Appendix 1. ‘1. Underlying Principles’.
2
ESC Guidelines: 2.8 Decision-making by JICA.
2
❚Application of the ESC Guidelines3
The ESC Guidelines apply to following schemes:
Delhi Mass Rapid Transport System Project in India (Shinichi Kuno/JICA), Industrial Ring Road Construction Project in Thailand
(Yasuhiko Okuno/JICA), and Tiete River Basin Depollution Project in Brazil (Shinichi Kuno/JICA).
Project for the Improvement of the Equipment for Road Maintenance in Issyk-Kul and Chui Oblasts, Kyrgyz Republic (Shinichi
Kuno/JICA),The Project for Urgent Improvement of Water Supply System in Bemos-Dili, Timor-Leste (Shinichi Kuno/JICA), and
and The Project for Rehabilitation of National Trunk Road N8 in Ghana (Akio Iizuka/JICA)
Technical Cooperation Project for Capacity Development on Sustainable Road Maintenance and Management in Juba, South
Sudan (Shinichi Kuno/JICA), Project for Capacity Development and Establishment of Road Maintenance Management System in
Afghanistan (Raymond Wilkinson/JICA), and Solid Waste Management Project for the Pacific in Samoa (Kenshiro Imamura/JICA).
3
ESC Guidelines: 1.3 Definitions ‘3. Cooperation Projects’
3
Basic Principles
The basic principles behind the ESC Guidelines include the following:
4
ESC Guidelines: 2.8.2 Technical Cooperation for Development Planning and Preliminary Studies of Grant Aid
Projects undertaken by MOFA.
5
ESC Guidelines: 2.8.1 Loan Aid, Grant Aid, and Technical Cooperation Projects.
6
ESC Guidelines: 1.1 Policy; 2.3 Impacts to be Assessed.
7
ESC Guidelines: 2.5 Concerns about Social Environment and Human Rights; Appendix 1. ‘5. Social Acceptability’.
8
ESC Guidelines: Appendix 1. ‘2. Examination of Measures’.
9
ESC Guidelines: Appendix 1. ‘1. Underlying Principles’.
4
Important Points
The essential points of the ESC Guidelines include the following:
▶ Pollution (e.g., impacts on air, water, and soil and impacts caused by waste)
Impacts on society
In addition to the direct and immediate impacts of the project, the derivative,
secondary, and cumulative impacts as well as impacts of associated and
indivisible projects must be considered.
10
ESC Guidelines: 1.4 Basic Principles Regarding Environmental and Social Considerations
11
ESC Guidelines: 2.3 Impacts to be Assessed
12
ESC Guidelines: Appendix 1. ‘6. Ecosystem and Biota’
5
proponents can receive their inputs and plan appropriate measures to address
their concerns, avoid conflict, and achieve higher results with their support. For
this reason, the project proponents should conduct a series of consultations with
local stakeholders in an interactive and meaningful manner. During this process,
appropriate consideration must be given to socially vulnerable or different people
such as women, children, the elderly, and ethnic minorities.13
ESC in a JICA project must comply with the laws, standards, policies, and plans
of the host country. If the standard set by the host country differs from the
international standard, the project proponents are advised to adopt the standard
that better serves the purpose of attaining a higher level of ESC.
ESC in a JICA project must be in line with the World Bank’s Safeguard Policies
including Operational Policy on Environmental Assessment (OP 4.01), Natural
Habitats (OP 4.04), Involuntary Resettlement (OP 4.12), Indigenous Peoples
(OP 4.10), and other relevant policies.
❚Category A
The project is likely to have significantly adverse impacts on the environment or
society. For example:18
▶ A project for a sector that requires special attention (e.g., a sector that involves
large-scale infrastructure development), involves activity that requires careful
consideration (e.g., large-scale involuntary resettlement), or takes place inside
or adjacent to a sensitive area (e.g., protected natural habitat).
Examples of sectors, activities, and areas that require special attention are
listed in ‘Appendix 3’ of the ESC Guidelines.
(Left: Southern Highway Construction Project in Sri Lanka; right: Cai Mep Thi Vai
International Port Construction in in Viet Nam)
Photo credits from left: Cai Mep Thi Vai International Port Construction in Viet Nam (Koji Sato/JICA); Southern Highway
Construction Project in Sri Lanka (Shinichi Kuno/JICA).
7
❚Category B
The project may have adverse impacts on the environment or society, but these
impacts are less significant than those of Category A projects. These impacts are
site-specific; few, if any, of them are irreversible; in most cases, they can be
mitigated more readily than Category A projects. Responsibilities of the project
proponents include the planning and monitoring of necessary ESC activities.
ESC procedures such as Initial Environmental Examination and stakeholder
participation may be required, depending on the scale and nature of the adverse
impacts.19
❚Category C
The project is likely to have minimal or no adverse impact on the environment or
society.20
❚Category FI
JICA provides funds to a Financial Intermediary, which in turn implements
sub-projects that may have adverse impacts on the environment or society, but
these impacts cannot be identified in detail prior to JICA’s approval. If there is a
sub-project that can be categorized as Category A, it needs to go through the
same procedure as a Category A project including JICA’s environmental review
and information disclosure prior to its implementation.21
19
ESC Guidelines 2.2. Categorization ‘3. Category B’.
20
ESC Guidelines 2.2. Categorization ‘4. Category C’.
21
ESC Guidelines 2.2. Categorization ‘5. Category FI’.
8
Examples of ESC Procedures by Category
A B FI C
Mandatory If Required
▶ Environmental Impact ▶ Environmental Impact
Assessment Assessment
Mandatory If Required
JICA’s Review
Implementation agreement
Mandatory
▶ Monitor the ESC activities
▶ Report the monitoring results to JICA
N.B. The above process applies to projects carried out under any of the following schemes; Technical
Cooperation, Loan Aid, or Grant Aid (see pp. 10-15 for more details). For studies carried out through
Technical Cooperation for Development Planning, please refer to Section 3.4 of the ESC Guidelines.
9
Key Documents
▶ Environmental Impact Assessment Report
When planning a development project, the
project proponents must foresee its possible
impacts on the environment and society, and
consider the negative impacts together with
the benefits of the project before making a
decision. This is done through Environmental
Impact Assessment (EIA), a process that
involves detailed field survey, analysis of
Assessing water quality in
alternative plans, planning of mitigation and Neak Leung, Cambodia
monitoring measures, and consultation with
local stakeholders.22
http://www.jica.go.jp/english/our_work/social_environmental/id/index.html
22
ESC Guidelines: Appendix 2. EIA Reports for Category A Projects
23
ESC Guidelines: 3.2 Loan Aid, Grant Aid, and Technical Cooperation Projects; (1) Category A projects.
The objective of the RAP is to improve the living standards of the people affected,
or at least restore them to the pre-project level. To this end, RAP should be
developed together with the local stakeholders and address ESC requirements
including prior compensation at full replacement cost, support for
livelihood, and provision of expenses for relocation and re-establishment
of communities. Also, it is desirable that the RAP covers issues listed in the
World Bank’s ‘Operational Policy 4.12, Annex A’. 25
Developing RAP through consultation with local stakeholders in India (left) and in Cambodia
(right).
24
IFC, Handbook for Preparing a Resettlement Action Plan, 2002, p. x
25
ESC Guidelines: Appendix 1 ‘7. Involuntary Resettlement’
26
ESC Guidelines: 3.2 Loan Aid, Grant Aid and Technical Cooperation; Annex 1.8. Indigenous People.
Photo credits from left: Stakeholder’s meeting for National Road No. 1 Improvement Project in Cambodia (JICA Cambodia Office);
Stakeholders’ meeting in India (Hiroshi Yoshida/JICA).
11
Putting ESC into Practice
Planning Stage
JICA may assist the formulation of a Master Plan (a development programme
that covers a wide range of areas, sectors, or projects) or a Feasibility Study of
the project through schemes such as Preparatory Survey, Technical Cooperation
for Development Planning, and Preliminary Study of Grant Aid undertaken by the
Japan’s Ministry of Foreign Affairs (MOFA).
❚Master Plan
The Master Plan requires a Strategic Environmental Assessment (SEA)27,29
in which the impacts on the environment and society are taken into account
when setting priorities among the development options. Category A or B projects
developed within the Master Plan needs an ESC study that includes a
comparative analysis of alternative plans and a ‘without project’ option,
assessment of possible environmental impacts, and plans for mitigation
measures and monitoring. These ESC studies are conducted at the Initial
Environmental Examination (IEE) level, i.e., based on readily available
information and simple field surveys.28
❚Feasibility Study
A Feasibility Study for a Category A project requires an ESC study at the
Environmental Impact Assessment (EIA) level, i.e., a study based on detailed
field surveys. For a Category B project, an ESC study is conducted at the IEE
level.29, 30
27
ESC Guidelines: 1.4 Basic Principles Regarding ESC.
28
ESC Guidelines: 3.4.3 Full-scale Study Stage (Master Plan Study).
29
ESC Guidelines: 3.1 Preparatory Survey.
30
ESC Guidelines: 3.4.4 Full-scale Study Stage (Feasibility Study)
12
Planning Stage Screening Environmental Review
ESC Guidelines apply to formulation of the Master Information Disclosure
Projects are classified by JICA
Plan and Feasibility Study supported by JICA.
into one of four environmental JICA discloses the following documents on its
(See p. 12 for more information)
categories (A, B, C, or FI) website before the Environmental Review:
depending on the level of the
The Master Plan requires: • Report of Preliminary Study
ESC required. ( If the study was conducted by JICA)
• Strategic Environmental Assessment
• Initial Environmental Examination • EIA Report (At least 120 days before the
implementation agreement)
• Consultation with local stakeholders
• Environmental Permit Certification
Outline of the ESC process • RAP (For large-scale involuntary resettlement)
The Feasibility Study requires:
• Environmental Impact Assessment (EIA)
for a Category A project • IPP (When considerations are required)
• Environmental Management Plan (EMP) For more information, see ‘3. Procedures Environmental Review
• Resettlement Action Plan (RAP) of ESC’ in the ESC Guidelines. JICA reviews the ESC of the project through
(For large-scale involuntary resettlement) examination of the above-mentioned
• Indigenous Peoples Plan (IPP) documents as well as the results of information
(When considerations are required) disclosure and local stakeholder consultation.
• Consultation with local stakeholders
After Completion
Over a certain period of time, the project proponents will
continue to monitor ESC and report the results to JICA.
JICA confirms the state of ESC and discloses the
monitoring results through its website.
13
Figures: JICA, Study on the Construction of the Second Mekong Bridge in the Kingdom of Cambodia, 2006. Photo credits: Project for the Construction of Neak Leung Bridge in Cambodia.
JICA Cambodia Office (left and right); Isaya Higa/JICA (middle).
Screening
Screening is a process in which JICA classifies each project into one of four
Environmental Categories (A, B, C, and FI) depending on the level of ESC
required (see ‘Environmental Categories’ pp. 7-8). Classification of the project is
based on reports and documents prepared by the project proponents such as
the Screening Format (template included in the ESC Guidelines as ‘Appendix
4’). The project may be reclassified into a different category when there is a
change in the scope or when an unanticipated impact has been identified.31
Environmental Review
An Environmental Review is a process in which JICA examines ESC of the
project (Loan Aid, Grant Aid, or Technical Cooperation Project) whose
Environmental Category is A, B, or FI. In the Environmental Review, JICA
assesses the possible environmental or social impacts together with
countermeasures against the negative impacts and measures to enhance the
positive impacts. This is done through field survey and the examination of
documents such as the Environmental Impact Assessment Report and
Environmental Checklist32 provided by the project proponents.
▶ Resettlement Action Plan (In case the project causes large-scale involuntary
resettlement)
31
ESC Guidelines: 2.2 Categorization; 3.2.1 Environmental Review.
32
Templates of the Environmental Checklists for Category B projects are provided as ‘Reference I.’ in the ESC
Guidelines.
33
ESC Guidelines: 3.2 Loan Aid, Grant Aid and Technical Cooperation.
14
▶ Indigenous Peoples Plan (In case the project requires considerations for
indigenous peoples)
Monitoring
A project whose environmental category is A, B, or FI requires monitoring of its
environmental management process.34 Monitoring is also required for the
Resettlement Action Plan (for a project with large-scale involuntary resettlement)
and Indigenous Peoples Plan (for a project that requires considerations for
indigenous peoples). The project proponents will report the monitoring results to
JICA using methods and formats agreed by both sides.35 The reporting period
should cover the implementation phase including the preparatory stage (i.e.,
from the day of signing the implementation agreement to completion) as well as
the operational phase. The reporting period after completion is basically two
years for a Loan Aid Project and three years for Grant Aid and Technical
Cooperation projects. If an unanticipated environmental or social impact has
been identified, or if there is an outstanding issue regarding ESC, the reporting
period may be extended.36
JICA’s mission to survey the status of ESC monitoring in Indonesia (left) and in Cambodia (right).
34
ESC Guidelines: Appendix 1.8. Monitoring.
35
ESC Guidelines: 3.2.2 Monitoring and its confirmation by JICA.
36
JICA, Procedures for the Review/Supervision of the Environmental and Social Monitoring Results, 2012.
Photo credits from left: Project for the Construction of the Neak Leung Bridge in Cambodia (Isaya Higa/JICA);
Integrated Water Resource and Flood Management Project for Semarang, Indonesia.
15
Reinforcement Mechanisms
http://www.jica.go.jp/environment/advice/
index.html
❚Objection Procedure
The Objection Procedures is a fail-safe mechanism to ensure the project’s
compliance with the ESC Guidelines. Residents of the partner country who are,
or are likely to be, affected by the project due to non-compliance with the ESC
Guidelines can file an objection with JICA through this mechanism.39
The objection will be verified by the Examiners who are independent of the
operational departments of JICA, and their findings will be reported to JICA’s
president. Following the advice of the Examiners, JICA will respond to the
Requester (party who filed the objection). The reports of the Examiners, together
with JICA’s response, will be disclosed on JICA’s website.40 Further information
on the Objection Procedures can be obtained from JICA’s website at:
http://www.jica.go.jp/english/our_work/social_environmental/objection/index.html
37
ESC Guidelines: 1.10 Advisory Committee for ESC.
38
ESC Guidelines: 2.7 Advice of the Advisory Committee for ESC.
39
ESC Guidelines: 2.9 Ensuring Appropriate Implementation of, and Compliance with, the Guidelines.
40
JICA, Objection Procedures Based on the ESC Guidelines, 2010.
Photo credit: Credit Risk Analysis and Environmental Review Division, JICA.
16
Where to find the ESC Guidelines
The ESC Guidelines can be downloaded from the JICA Website at:
http://www.jica.go.jp/english/our_work/social_environmental/guideline/index.html
17
Contacts
▶ Environmental and Social Considerations Review Division
(For ESC Review and Technical Cooperation for Development Planning)
Phone: +81-3-5226-8190
E-mail: erte1@jica.go.jp
August 2013