Training On World Bank Safeguard Policies

TRAINING ON
WORLD BANK SAFEGUARD POLICIES
Introduction and Overview
gi Kiss
B Safeguards Training Workshop
maty, December 2012
 Overview of the WB Safeguard Policies (10+1)
 Roles and Responsibilities of WB, FI/PIU,

project sponsor/implementer
 World Bank SG policies in relation to national

laws, IFC/MIGA Performance Standards
Borrowers
Private WB
WB
Investors Management
Board
International
Financial Civil
Media Institutions Society
Project Affected
Beneficiaries NGOs Persons
Overview of Safeguard Policies
(Details in Separate Presentation)
Overall scope and principles
All SG Policies: objectives and triggers
OP OP
4.01 Closer Look 7.05
OP OP
OP 4.37
4.04
4.12
OBJECTIVES:
 Avoid negative impacts where possible; otherwise minimize,
reduce, mitigate, compensate (in that order)
 Identify and support sustainable approaches / env & social benefits

 Match level of review, mitigation and oversight to level of risk and
impacts
 Inform the public and enable people to participate in decisions
which effect them
 Integrate environmental and social issues into project
identification, design and implementation
 Strengthen Borrower / implementer capacity
Application:
• to all WB-financed investment operations (including TA)
• To all activities under any project receiving funding from
WB, even if financed from another source
6
Environmental Policies Social Policies
• OP 4.01 Environmental Assessment • OP 4.12 Involuntary Resettlement
• OP 4.04 Natural Habitats • OP 4.10 Indigenous Peoples
• OP 4.09 Pest Management
• OP 4.11 Physical Cultural Resources
• OP 4.36 Forests Legal Policies
• OP 4.37 Safety of Dams • OP 7.50 International Waterways
• OP 7.60 Disputed Areas
+ Access to Information Policy
- Use of Country Systems for Safeguard Policies......
Some environmental and social issues of concern are not covered by

specific Safeguard OPs (e.g.: climate change, gender, child labor, poverty
alleviation…). Where relevant these should be covered in the ESIA (OP 4.01)
OP 4.01 (Environmental Assessment): Ensure potential negative
env/social issues are identified, understood and avoided or
mitigated ; support environmentally sustainable options
Triggers: direct or indirect physical investments (civil works;
provision of goods with “issues”); TA linked to physical investments;
any other OP triggered
Documentation: SEA, E(S)IA / E(S)A, EMF, EMP, Environmental

Guidelines, Environmental Audit, etc.
OP 4.04 (Natural Habitats): Maintain biodiversity and natural

ecosystems ; involve local communities in management of
Protected Areas and biodiversity
Triggers: investments in, near or likely to affect natural ecosystems
(terrestrial, riverine, coastal, marine, aerial); Protected Areas
Documentation: Incorporated in EA/EMP
OP 4.09 (Pest Management): Reduce human & environment
exposure to hazardous pesticides; promote Integrated Pest
Management
Triggers: financing purchase of pesticides; investments likely to

introduce or increase pesticide use (expansion or diversification of
agricultural production)
Documentation: Pest Management Plan (or section in EA)
OP 4.10 (Indigenous Peoples): Protect livelihoods and cultures,

support economic and social integration on peoples’ own
preferred terms
Triggers: investment within an area occupied or used for economic
purposes (presently or traditionally) by a group which falls within
definition of IP (in ECA, only northern Russia)
Document: Indigenous Peoples Plan

OP 4.11 (Physical Cultural Resources): Preserve cultural
heritage
Triggers: civil works on historical buildings or in historic areas

or areas with rich cultural history)
Documentation: Physical Cultural Protection

Plan or section in EA/EMP
OP 4.12 (Involuntary Resettlement): Protect people from

economic & social impacts of losing land or access to land-
based resources
Triggers: potentially any case where land is required for investment

(privately owned or publicly owned). Residence or economic use; legal title
or not. New construction: presume triggered unless clearly demonstrated
otherwise.
Documentation: Resettlement (or Land Acquisition)
Policy Framework; Resettlement (or LA) Action Plan
OP 4.36 (Forestry): Promote sustainable forest management; natural
forest protection; rural poverty reduction
Triggers: investments in/near/upstream of forest areas (esp. natural

forest) which are likely to result in forest loss/encroachment;
enterprises involving wood or non-timber forest products
Documentation: section in EA/EMP
OP 4.37 (Safety of dams): Protect people and investments from dam

failure
Triggers: dam construction/rehabilitation; water or power projects

dependent on dams
Documentation: Dam safety analysis, emergency plan, etc.
OP 7.50 (International Waters): riparian States are notified of and
have opportunity to question/comment on projects affecting shared
water bodies
Triggers: ANY investment involving water abstraction, release of

water or materials into water, or hydrological impacts (regardless
of scale) , which is connected with a water body shared by 2 or
more countries (aquifers, open seas excluded; exception available
for rehabilitation of existing schemes)
Documentation: notification letter (or exemption memo)
OP 7.60 (Disputed Areas): Ensure disputing States agree to proposed

project
Trigger: investments in area which is under dispute between

countries (e.g. disagreement on precise border)
Documentation: legal agreements
Access to Information: Transparency, stakeholder participation, better

projects
Trigger: all operations

Documentation: Process described and meeting
minutes included in EIA
Roles and Responsibilities: Direct Investment Projects
World Bank Borrower

 Screens and Sets Project EA  Prepares and Implements
Category EA/EMP/EMF in accordance
with national laws and WB OPs
 Advises Borrower on the
Bank’s EA requirements  Consults project-affected
groups and local NGOs
 Reviews and gives “No
Objection” for EA reports (Due  Discloses draft/final
Diligence instruments) documents in country
 Makes report available in Info  Responds to Bank and public
shop
 Monitors implementation of
 Supervises implementation of EMP
EA/EMP
 Ensures compliance under
 Makes mutually agreeable national laws
changes during
implementation
Roles & Responsibilities: “Indirect investment” Projects
World Bank
Contractual relationship
Assigns SG Category to the overall Project (FI,
A, B, C)
FI (or other Intermediary)
Assesses FI capacity to implement SG
Prepares Framework Documents for the
Advises FI on SGs and on Framework
overall Project (Environmental
Documents; gives No Objection to Framework
Management Framework; Resettlement
Documents
Policy Framework)
Discloses all SG documents in Infoshop and
Disclosure and public consultation on
sends to Board as required
Framework Documents
Prior and/or Post-review of EAs/EMPs/RAPs
Screens, categorizes, evaluates, approves
and monitors Sub-projects based on
Supervises implementation together with FI
Framework documents (including
ensuring preparation of acceptable
(Sub) Borrower EAs/EMPs; RAPs*)
Prepares EA/EMP, RAP* based on guidance
from FI
Disclosure & public consultation of EMP/RAP
Implementation of EMP/RAP* (including *Preparation and/or implementation of RAP

selection of contractors; incorporating EMP might be responsibility of a separate
in contracts; ensuring compliance) Government agency
WB Safeguard Policies and National Legislation/Regulations
Principles:
Where requirements or standards differ, the more stringent requirements

prevail (might be national, might be WB)
Where WB policies and national laws conflict, WB policies prevail for

projects with WB financing (even for project components financed by Govt.
or others)
 Legal basis: Loan Agreement with WB has standing of international

treaty, superseding national law
 Result: ideally national policy reform, but may be “ring-fencing” of

project (can lead to situation of different standards applied in different
cases)
 Some flexibility in implementation as long as consistent with

fundamental principles of Safeguard policies
 Screening methodology and outcomes (when
is EIA required)
 Alternative EA documents (e.g. EMP)
 Contents of EIA
 One integrated EIA vs. separate EIAs for
different project components
 Timing (at what stage of project preparation)
 Consultation (timing, frequency, scope,
reporting)
Separate presentation to come

NATIONAL LEGISLATION World Bank
Identification/
Pre/Feasibility Study Preparation
Preliminary EIA
EA/EMP
incl. mitigation measures
Appraisal
Detail Design Implementation

Bidding Docs Final EIA Env. Permit
(Monitoring)
Construction Permit
17

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TRAINING ON

WORLD BANK SAFEGUARD POLICIES

Introduction and Overview

 Roles and Responsibilities of WB, FI/PIU,

 World Bank SG policies in relation to national

Overall scope and principles

All SG Policies: objectives and triggers

 Identify and support sustainable approaches / env & social benefits

+ Access to Information Policy

- Use of Country Systems for Safeguard Policies......

Some environmental and social issues of concern are not covered by

Documentation: SEA, E(S)IA / E(S)A, EMF, EMP, Environmental

OP 4.04 (Natural Habitats): Maintain biodiversity and natural

Triggers: financing purchase of pesticides; investments likely to

Documentation: Pest Management Plan (or section in EA)

OP 4.10 (Indigenous Peoples): Protect livelihoods and cultures,

Document: Indigenous Peoples Plan

Triggers: civil works on historical buildings or in historic areas

Documentation: Physical Cultural Protection

OP 4.12 (Involuntary Resettlement): Protect people from

Triggers: potentially any case where land is required for investment

Triggers: investments in/near/upstream of forest areas (esp. natural

Documentation: section in EA/EMP

OP 4.37 (Safety of dams): Protect people and investments from dam

Triggers: dam construction/rehabilitation; water or power projects

Triggers: ANY investment involving water abstraction, release of

OP 7.60 (Disputed Areas): Ensure disputing States agree to proposed

Trigger: investments in area which is under dispute between

Access to Information: Transparency, stakeholder participation, better

Trigger: all operations

World Bank Borrower

Disclosure & public consultation of EMP/RAP

Implementation of EMP/RAP* (including *Preparation and/or implementation of RAP

Where requirements or standards differ, the more stringent requirements

Where WB policies and national laws conflict, WB policies prevail for

 Legal basis: Loan Agreement with WB has standing of international

 Result: ideally national policy reform, but may be “ring-fencing” of

 Some flexibility in implementation as long as consistent with

Separate presentation to come

Detail Design Implementation

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