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World Bank Safeguard Policies:
An Overview
Pan Africa Indigenous Peoples Dialogue with the
Forest Carbon Partnership Facility (FCPF)
April 2012
World Bank Group
This presentation will focus on the Safeguards Operational Policies of the:
International Bank for Reconstruction and Development (IBRD)
International Development Association (IDA)
These agencies of the World Bank Group have Performance Standards similar to the Safeguards OP:
International Finance Corporation (IFC)
Multilateral Investment Guarantee Agency (MIGA)
General Objectives of Safeguard
Policies
Avoid, minimize, mitigate and/or compensate for adverse environmental and social impacts of Bank-supported projects;
Ensure that environmental and social issues are thoroughly evaluated in project preparation and supervision;
Provide a mechanism for consultation with project affected peoples (PAPs) and civil society (including NGOs);
Fully disclose relevant project information to PAPs and public stakeholders; and
Supervise safeguards compliance and outcomes during project implementation
Safeguard Policies Are mechanisms for integration of environmental and
social issues into decision making
Are focused on evaluation and management of environmental and social impacts and risks
Provide a set of specialized tools to support development processes and sustainable outcomes
Support participatory approaches and transparency
Do not cover all social impacts or issues
When do Safeguards Apply in
Bank Operations? Safeguards apply to Investment Lending, including:
Specific Investment Loans (SILs)
Sector-Wide Approaches (SWAps)
Financial Intermediaries (FI)
Community Driven Development (CDD)
Emergency Operations (with flexibility)
IBRD Guarantees
Carbon Finance
Technical Assistance
For Use of Country Systems and Program for Results operations, the focus is on ensuring that the borrower has an acceptable environmental and social management system.
10 Safeguard Policies 4.01 Environmental
Assessment
4.04 Natural Habitats
4.36 Forests
4.09 Pest Management
4.37 Safety of Dams
4.11 Physical Cultural Property
4.12 Involuntary Resettlement
4.10 Indigenous Peoples
7.50 Projects involving International Waters
7.60 Projects in Disputed Areas
Plus Access to Information Policy
Piloting the use of borrower systems (March 2005)
Program for Results (P4R) (January 2012)
Triggering Safeguards for Projects
Each safeguard operational policy specifies circumstances to which safeguard applies (“triggers”)
Failure to trigger a particular applicable safeguard may result in significant adverse impacts on the natural environment and/or PAPs
Threshold decision at Project Concept stage, and revised as necessary through Appraisal
Decision to trigger applicable safeguards is documented in the Integrated Safeguards Data Sheet (ISDS) and other project documents
Safeguard Triggers
4.01 Environmental
Assessment
Project is likely to have potential, adverse environmental risks and impacts in its area of influence
Preparation of an Environmental Assessment (EA)
Safeguard Triggers (continued)
4.04 Natural Habitats
Project has the potential:
(i) to cause significant conversion” (loss) or “degradation” of “natural habitats”:
- Directly (through
construction) or
- Indirectly, through
human activities induced
by the project
(ii) impact on critical natural habitats
Safeguard Triggers (continued)
4.36 Forests
Project:
(i) has the potential to have impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests ; or
(ii) aims to bring about changes in the management, protection, or utilization of natural forests or plantations
Safeguard Triggers (continued)
4.09 Pest Management Procurement of pesticides or
pesticide application equipment is envisaged either directly or indirectly (through on-lending, co-lending, co-financing or government counterpart procurement)
Project could affect pest management practices with resulting harm in the form of substantially increased pesticide use, maintenance or expansion of unsustainable pest management practices, or otherwise resulting in health or environmental risks
Safeguard Triggers (continued)
4.12 Involuntary Resettlement
Loss of land or other assets resulting in:
(i) relocation or loss of shelter;
(ii) loss of assets or access to assets (including legally protected parks and protected areas resulting in adverse impacts upon livelihoods); and
(iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location
Compensation for those with or without formal title to the land
Safeguard Triggers (continued)
4.10 Indigenous Peoples
Project affects Indigenous Peoples in the project area (adversely or beneficially)
Social assessment and free, prior and informed consultation resulting in broad community support for the project
IPs should receive social and economic benefits that are culturally appropriate and inclusive
Safeguards Triggers (continued)
4.11 Physical Cultural Resources (PCR)
PCR known or
expected to be
present in project area (as part of EA)
Accountability: Borrower and Bank
Responsibilities
Safeguard policies are Board-approved Operational Policies
Corresponding Bank Procedures are approved by Management
Borrower has primary responsibility for the implementation of Bank safeguard policies as per Operational Policies
Bank plays a supporting role, provides guidance, approves borrower safeguard-related activities during preparation and supervises borrower implementation throughout the project cycle as per corresponding Bank Procedures
Consultation
Mandated by OPs on Environmental Assessment, Involuntary Resettlement and Indigenous Peoples
Borrower consults with project-affected peoples and civil society in developing the Environmental Assessments, Resettlement Action Plans and Indigenous Peoples Plans as required by these OPs
Consultation with PAPs does not end at project approval, but is expected to continue through project implementation
Safeguards Documentation:
Safeguard-Specific Documents
Environmental Assessment and Environmental Management Plan, or Environmental and Social Management Framework (OP 4.01)
Resettlement Action Plan, or Framework (OP 4.12)
Indigenous Peoples Plan, or Framework (OP 4.10)
Forest Management Plan (OP 4.36)
Pest Management Plan (OP 4.09)
Physical Cultural Resources Management Plan (OP 4.11)
Other Key Safeguard Instruments
Strategic Environmental Assessment
Regional/Sectoral Environmental Assessment
Cumulative Impact Assessment
Dam Safety Plan
Environmental/Social Audits and Planning Studies
18
Public Disclosure of Information on
Environmental and Social Impacts
As part of its consultation process the Borrower provides project affected groups, local NGOs and the general public with:
- draft and final versions of Environmental Impact Assessment, Resettlement Action Plan and Indigenous Peoples Plan
- information is provided in a timely manner and at a venue, in a language and format understandable and accessible to groups being consulted
Bank discloses EA, RAP, IPP via field offices at Bank Infoshop prior to Appraisal
Like consultation, disclosure is an ongoing process during project preparation and supervision
Safeguards Documentation in
Standard Project Documents
Integrated Safeguards Data Sheet (ISDS): summarizes key safeguard issues, updated through Appraisal
Project Appraisal Document (PAD): sections and annexes on environmental and social assessment, consultation, disclosure and loan conditions; environmental and social safeguard issues are included in the risk matrix
Loan Agreement (LA): agreements on safeguard issues may be included as conditions in LA with specific reference to EMP, RAP, IPP
Safeguards in Project Supervision
(per OP/BP 4.01 and 13.05)
During project implementation
The Borrower:
- reports on compliance with measures agreed with the Bank on the basis of the findings of the EA and other safeguard documents, including implementation of the EMP, RAP, IDP, etc.
- status of mitigatory measures; and
- findings of monitoring programs
The Bank: bases its supervision of project environmental aspects on the findings and recommendations of the EA, including measures set out in legal agreements, any EMP and other project documents
Safeguards: Challenges
Failure to trigger applicable safeguard
Lack of client ownership
Focus on legalities vs. safeguard objectives
Inadequate consultation and disclosure
Lack of coordination between safeguards and project implementation
Unrealistic assessment of borrower implementation capacity
Lack of follow through during supervision – can affect timely preparation of Restructurings or Additional Financing
Environmental, Health and Safety
Guidelines / Pollution Prevention
and Abatement Handbook www.ifc.org/ifcext/sustainability
General EHSG is “universal”
Ambient air quality
OH&S
Community Health & Safety
etc.
Inspection Panel Established in 1993 by the Board.
An accountability, fact-finding mechanism designed to address the concerns of the people who may be affected by Bank projects and to determine whether the Bank has followed its operational policies and procedures during design, preparation and implementation phases of projects.
3 members who are appointed by the Board for non-renewable periods of five years.
Members are selected on the basis of their ability to deal thoroughly and fairly with the requests brought to them, their integrity and independence from the bank Management, and their exposure to developmental issues and living conditions in developing countries.
Update of Bank Safeguard
Policies Ongoing – drawing on recent
experience with IFC’s Performance Standards, input from civil society around the world, and consultations with stakeholders
Regional consultations planned for later this year and in the first half of 2013.
OP 4.10 (Indigenous Peoples) – Key
points raised to date The Indigenous Peoples Policy should remain a
stand-alone policy
The Bank should adopt a stand-alone Human Rights safeguard policy
The Bank should adopt the standard of Free, Prior and Informed Consent for Indigenous Peoples
The Bank should carry out more extensive consultations with Indigenous Peoples, especially during the safeguard policy updating and consolidation process
A rights-based approach is particularly important for climate programs, including REDD+
More Information on Safeguard
Policies at the World Bank Group
Safeguards Website
www.worldbank.org/safeguards
WB Group Environmental, Health and Safety Guidelines http://www.ifc.org/ifcext/sustainability.nsf/Content/EHSGuidelines