Introduction to World Bank Safeguard Policies and Project Preparation
Senior environmental engineer and energy specialist lead a Safeguards Workshop for the National Electrification Project in Myanmar, focusing on the management of environmental and social impacts. The presentation covers the objectives, key messages, importance of safeguards, and overarching concepts related to project preparation and policy compliance.
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Presentation Transcript
Introduction to World Bank Safeguard Policies and Project Preparation Frank van Woerden, Senior Environmental Engineer Alan David Lee, Energy Specialist Safeguards Workshop National Electrification Project Myanmar NPT, November 5, 2014
Objective of this presentation 2 Introduce World Bank Safeguard Policies (focus on management of Environmental and Social Impacts) Review required actions for the National Electrification Project Safeguards Workshop NPT, November 5, 2014
Key messages 3 1. Safeguards exist to avoid harm and do good 2. Safeguards are a legal obligation for the borrowing Government 3. The World Bank will help the Government prepare and apply safeguards Safeguards Workshop NPT, November 5, 2014
Why safeguards? 4 Do no harm Protect people and environment from adverse impacts Reduce/manage risk Do good Enhance social equity and promote sustainability Reflect global values and development objectives Can make or break a project s success Safeguards Workshop NPT, November 5, 2014
5Safeguards complement other requirements Laws and regulations on environment and social issues Government of Myanmar Safeguard Policies for public borrowers World Bank Group World Bank International Finance Corporation (IFC) Performance Standards for private borrowers Safeguards Workshop NPT, November 5, 2014
Safeguards Policies - Overarching Concepts 6 Avoid negative impacts where possible; otherwise minimize, reduce, mitigate, compensate Identify and support environmental & social benefits Match response to level of risk Requires consultation, monitoring and disclosure Strengthen borrower/implementer capacity Safeguards Workshop NPT, November 5, 2014
A project may not trigger all safeguard policies 7 During project concept stage, World Bank determines which Safeguard Policies are triggered, according to specific criteria Integrated Safeguards Data Sheet (ISDS) explains justification for triggering or not triggering each policy Triggered policies can be revised during project appraisal stage If a safeguard is triggered during project implementation, the project must be re-structured and re-approved Safeguards Workshop NPT, November 5, 2014
The World Bank has 10 Safeguard Policies 8 # Policy name 4.01 Environmental Assessment Environmental 4.04 Natural Habitats 4.36 Forests 4.09 Pest Management 4.11 Physical Cultural Resources 4.37 Safety of Dams 4.10 Indigenous Peoples Social 4.12 Involuntary Resettlement 7.50 Projects on International Waterways Legal 7.60 Projects in Disputed Areas Safeguards Workshop NPT, November 5, 2014
Which safeguard policies does the NEP trigger? 9 # Policy name Triggered for NEP?* YES 4.01 Environmental Assessment Environmental ? 4.04 Natural Habitats NO (?) 4.36 Forests NO (?) 4.09 Pest Management YES 4.11 Physical Cultural Resources NO 4.37 Safety of Dams YES 4.10 Indigenous Peoples Social YES (?) 4.12 Involuntary Resettlement NO 7.50 Projects on International Waterways Legal NO 7.60 Projects in Disputed Areas Safeguards Workshop NPT, November 5, 2014 *Triggered at concept stage
Environmental Assessment (# 4.01) 10 Triggered for most investment projects Umbrella policy: subsumes elements of others Screens and classifies projects based on risks and loan type A (high risk), B (medium risk), C (low risk) FI (financial intermediary, with some risk) Defines scope of issues (environmental and social) and applicable instruments Safeguards Workshop NPT, November 5, 2014
Physical and cultural resources (# 4.11) 11 Safeguards Workshop NPT, November 5, 2014
Involuntary Resettlement (# 4.12) 12 Aims to avoid or minimize the taking of land or assets Explore all viable alternative project designs If land acquisition is unavoidable, policy aims to ensure that affected people are able to improve or at least maintain their livelihoods / level of income e.g. through compensation at replacement value Safeguards Workshop NPT, November 5, 2014
Indigenous Peoples (Ethnic Minorities) (# 4.10) 13 Ensure culturally appropriate benefits Can lead to Indigenous Peoples Planning Framework Screen for presence of ethnic minorities Requires free, prior and informed consultations leading to broad community support May further lead to an Indigenous Peoples Plan, or similar instrument Safeguards Workshop NPT, November 5, 2014
World Bank project funding cycle 14 Project Concept Note (PCN) Review Note (PCN) Review Project Concept Decision Meeting Before Appraisal Before Appraisal Decision Meeting Decision/Clearance Negotiations Negotiations Decision/Clearance Board of Directors Board of Directors Approval Approval Decision Points Points Decision Strategy Strategy Identification Identification Preparation Preparation Appraisal Appraisal Negotiations Negotiations Project Information Document (PID) & Integrated Safeguards Data Sheet (ISDS) Data Sheet (ISDS) Project Information Document (PID) & Integrated Safeguards Safeguard Reports Safeguard Reports or Drafts* or Drafts* Updated PID Updated ISDS Updated ISDS Updated PID Disclosed Disclosed Documents Documents Conditions of Conditions of Effectiveness Effectiveness Effectiveness Effectiveness Supervision Supervision Completion Completion Evaluation Evaluation Project Appraisal Document (PAD) and Legal Agreements after Approval after Approval Project Appraisal Document (PAD) and Legal Agreements Status of IBRD/IDA Projects in Execution (SOPE) Execution (SOPE) Status of IBRD/IDA Projects in Independent Evaluation Group (IEG) reports (IEG) reports Independent Evaluation Group Implementation Completion Report (ICR) Report (ICR) Implementation Completion *Safeguard reports = Integrated Safeguards Data Sheet (ISDS); Environmental Assessment (EA); Resettlement Instruments (RI); Indigenous *Safeguard reports = Integrated Safeguards Data Sheet (ISDS); Environmental Assessment (EA); Resettlement Instruments (RI); Indigenous Peoples Development Plan (IPDP) Peoples Development Plan (IPDP) Safeguards Workshop NPT, November 5, 2014
Safeguard development process 15 Action Responsibility Project stage Concept (Oct 2014) 1. Screen project World Bank Government (with WB support) 2. Prepare safeguard instrument/s Project preparation (Nov 2014-Mar 2015) Government (with WG support) 3. Consult on instrument/s 4. Approve instrument/s Government and WB Approval (Apr 2015) Government, and all contractors / agencies 5. Implement instrument/s Project implementation (2015-2020) 6. Report on implementation Government and WB 7. Supervise implementation WB 8. Build Government capacity WB As needed throughout Safeguards Workshop NPT, November 5, 2014
Institutional arrangements 16 Safeguards Workshop NPT, November 5, 2014
Managing Safeguards in the NEP 17 NEP exact locations and designs are unknown at project preparation stage Use an Environmental and Social Management Framework (ESMF) ESMF: Legal commitment Applies to all sub-projects Defines procedure for Government to prepare and apply site-specific safeguard plans during project Safeguards Workshop NPT, November 5, 2014
ESMF Procedures for Project Implementation 18 1. Screen and Scope all sub-projects Eliminate sub-projects that are ineligible for financing. Identify potential risks. 2. Prepare Terms of Reference for safeguards review studies and preparation of plans as needed (Environmental Impact Assessment; Environmental and Social Management Plan; Resettlement Action Plans; Indigenous Peoples Plan (based on consultations and social assessment; Physical Cultural Resources Plan) 3. Prepare required Safeguards Work and consult 4. Implement Safeguards Plans 5. Monitor Safeguards Plans implementation Safeguards Workshop NPT, November 5, 2014
Inputs to ESMF 19 Poverty and Social Impact Assessment Social Assessment (ethnic minorities) Assessment of potential environmental impacts Consultations Safeguards Workshop NPT, November 5, 2014
Key ESMF Elements 20 Guidance on sub-project screening and further safeguards work; e.g. Environment Impact Assessment / consultations Environmental and Social Management Plan Environmental Standards and Guidelines Resettlement Planning Framework Indigenous Peoples Planning Framework Safeguards Workshop NPT, November 5, 2014
Questions for discussion 21 What safeguard arrangements are needed to match different finance models (private vs public)? What do Government and implementing agencies/contractors need to be ready to implement safeguards? How can World Bank best provide support? Safeguards Workshop NPT, November 5, 2014
