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INTERNATIONAL BANK FOR RECONSTRUCTION AND DEVELOPMENT

ENERGY EFFICIENCY PROJECT

Borrower: Joint Stock Company ―The State Export-Import Bank of Ukraine‖

Guarantor: The State of Ukraine

ENVIRONMENTAL ASSESSMENT FRAMEWORK (EAF) DOCUMENT

Preamble

1. Environmental and social systems are continually under pressure worldwide as society

endeavors to expand its development activities. Despite efforts of many nations and international

organizations to adopt a more sustainable approach to development, we witness daily affronts to

our environment. These are reflected in the continuing permanent losses of valuable natural

resources that include agricultural soils, primeval forests, aquatic and other critical ecosystems,

ocean fisheries, and species of animals and plants. These losses along with deteriorating air and

water quality have serious economic costs, particularly the latter which often can be directly related

to illnesses that have to be addressed by national health programs. Often the losses are small in any

one instance but cumulatively they represent significant impacts to the environment and the

economy.

2. The environment is the concern of everyone, not only governments but also to international

watchdogs. Society as a whole has a responsibility to ensure that global resources are developed

and managed on a sustainable basis and are protected for future generations. The various lending

institutions that provide the necessary capital for development therefore have the responsibility to

ensure that investments financed through them do not have an adverse impact on the environment.

To this end, lending institutions must be aware of the effects that their financing actions can have

on the environment and establish lending regulations and guidelines based on the concepts of

sustainable development.

3. Investing in sound sustainable development makes good business sense. The world is

increasingly becoming concerned with the state of the environment and many leading edge

businesses already actively promote their own efforts towards sustainable and responsible

environmental management. They recognize that such an approach provides a foundation for a

strong and growing business. Investment officers, as part of their normal assessment and

monitoring, should verify that investments meet a set of acceptable environmental parameters and

that these investments will not cause or do harm to the environment.

Introduction

4. The Loan would be utilized by UkrEximBank (UEB) and in the future by Participating

Banks (PBs) to directly finance eligible sub-projects in Industrial and Municipal Sectors, and state

guarantee will be provided by the GoU.

5. The proposed project includes three components: (1) financing of energy efficiency

investment in the industrial sector; (2) municipal energy efficiency market development; and (3)

technical assistance to help build capacity in delivering energy efficiency. These components are

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selected based on the assessments of Ukraine‘s energy efficiency market, investment priorities, and

key bottlenecks during project preparation and in consultation with the Government and other

international development partners.

6. It is also possible that Energy Efficiency Project (EEP) funds available will be provided

through separate legal agreements, to a limited number of selected commercial banks (Participating

Banks - PBs). These PBs will on-lend the funds for sub-projects on terms and conditions that have

been agreed in principle with the UEB and World Bank.

7. All sub-projects to be financed under the EEP will be subject to an environmental review

process utilizing the procedures described in this Environmental Assessment Framework (EAF).

This EAF is intended to provide those responsible for assessing the viability of sub-projects simple

step by step guidelines/procedures to ensure that the sub-projects receive the required attention

from an environmental and social point of view. UEB and PBs will be required to follow these

procedures as part of the overall appraisal of sub-borrowers/sub-projects. These procedures are

consistent with both the environmental policies and regulations of the Government of Ukraine and

the Bank (OP/BP 4.01 Environmental Assessment, Social Assessment Procedure).

Environmental Assessment Framework (EAF) Document:

8. The purpose of this EAF document is to provide guidance to sub-borrowers, UEB and the

PBs for environmental assessment process to be followed in evaluating individual sub-projects to

be considered for financial support from the Ukraine EEP. This framework document defines the

contents, procedures and institutional responsibilities for Environmental Assessment (EA) of the

sub-projects, whose purpose is to ensure that sub-projects are in compliance with both Ukrainian

environmental regulations and in accordance with World Bank EA policies and procedures (OP/

BP 4.01 Environmental Assessment, Social Assessment Procedure).

9. The procedures will include the following aspects of sub-project preparation and

implementation where applicable:

Preparation Phase

Sub-project Screening

Environmental Assessment (EA) Documentation

Public Consultation

Review and Approval

Disclosure

Related Conditionalities and Responsibilities

Prior and Post Review

Implementation Phase

Arrangements for Environmental Management

Monitoring

Capacity Development

Reporting

A) PREPARATION PHASE

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Sub-project Screening

10. The Sub-borrowers (UkrEximBank (UEB) and Participating Banks (PBs)) are

responsible for EA document preparation, public consultation, and disclosure. There will

be a two stage process including review of the project based on Ukraine Environmental

requirements and then screened and classified by loan officers of UEB and PBs into one

of the three Categories (A, B, or C) based on World Bank OP/BP 4.01 Environmental

Assessment procedure. Given the focus of this project and scope of the sub-projects, it is

expected that the majority of sub-projects likely to be proposed would fall into Category

B or C.

11. Sub-project screening will be performed in two stages. The first stage involves the

normal review by Ukrainian environmental authorities if required by Ukrainian law, to

determine if Full EIA/Environmental Expertise is required. The second stage of screening

will be performed by the UEB and PBs and confirmed by the UEB PIU based on World

Bank OP/BP 4.01 Environmental Assessment procedure. The procedure will be as

follows:

If required by Ukrainian law, the sub-borrower will submit all necessary

documentation to Ukrainian environmental authorities for determination if full

EIA and Environmental Expertise are required1. The outcome of this first stage

will be statement of said authorities whether EIA/ Environmental Expertise are

required or not required.

The sub-borrower then submits official government documentation to the

UEB or PBs indicating whether full EIA/Environmental Expertise required or

not.

UEB or PBs will then make an independent evaluation of project eligibility

and environmental assessment Category assignment based upon criteria of the

existing facilities environmental performance (Items 1-4 of Attachment I) and

World Bank EA screening policies for the proposed project. If the existing

facility is considered eligible, the proposed Sub-project is assigned to one of

three Categories: Category A, B or C using the World Bank environmental

screening criteria presented as items 5, 6 and 7 in Attachment I in this

Environmental Framework Document. When Category is identified

recommendations are given to the sub-borrower on further actions needed

based on sub-project categorization.

First Stage Screening - Ukrainian Screening Procedure

12. The Sub-borrower will discuss the proposed Sub-project with appropriate regional

or State Ukrainian environmental authorities and provide them the necessary information

they would require to establish the environmental risks. Ukrainian environmental

authorities will then screen the Sub-project and determine if full EIA is required as well

as Environmental Expertise or not.2

1 Ukrainian Environmental legislation defines list of objects which require Environmental Expertise

and Environmental Impact Assessment. They are defined in Cabinet of Ministers of Ukraine Resolution #

554 as of 27-07-1995. 2 Ukrainian Environmental legislation defines requirements for Environmental Impact Assessment

(EIA). Implementation regulations for EIA and Public Consultation and Disclosure are included in

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Second Stage Screening - World Bank OP/BP 4.01 Environmental Assessment

13. Second stage of screening is provided to assess under which category (A, B or C)

project is falling.

14. Category A: A proposed sub-project is classified as Category A if it is likely to

have adverse environmental impacts that are significant (based on type, location,

sensitivity, and scale of the project and the nature and magnitude of its potential

environmental impacts). These impacts are generally large-scale, irreversible, sensitive,

diverse, cumulative or precedent setting and may affect an area broader than the sites or

facilities financed by the sub-project. For example, Category A includes sub-projects that

have one or more of the following attributes: large-scale conversion or degradation of

natural habitats; extraction, consumption, or conversion of substantial amounts of forest;

mineral and other natural resources; direct discharge of pollutants resulting in degradation

of air, water or soil; production, storage, use or disposal of hazardous materials and

wastes; measurable changes in hydrologic cycle; risks associated with the proposed large-

scale use of pesticides, etc.

Box 1 provides an indicative list of types of sub-projects typically classified as

Category A.

Box 1: An Indicative List of Category A Projects

Large-scale infrastructure: ports and harbor development, transport (rail, road and

waterways), large- scale water resources management (river basin development, water

transfer); dams and large reservoirs, hydropower and thermal power, extractive

industries and oil and gas transport;

Large-scale agriculture, irrigation, drainage and flood control, aquaculture; agro

industries, and production forestry;

Major urban projects involving housing development, water treatment, wastewater

treatment plants, solid waste collection and disposal;

Industrial pollution abatement, hazardous waste management, industrial estates,

manufacture and large-scale use of pesticides; and

Sub-projects that, regardless of scale or type, would have severe adverse impacts on

critical or otherwise valuable natural or cultural resources.

15. Category B: A proposed sub-project is classified as Category B if the potential

impacts on the environment are typically site-specific, reversible in nature; less adverse

than those of Category A sub-projects and for which mitigatory measures can be designed

more readily. Sub-projects in Category B often differ only in scale from Category A sub-

projects of the same type. For example, large irrigation and drainage sub-projects are

usually categorized as A; however, small-scale sub-projects of the same type may be

categorized as B. The same can be true for small-scale, relatively clean (gas or light diesel

oil fired) thermal power plants, Energy efficiency project with replacement of old

generation equipment, micro hydro power plants, and small sanitary landfills. Similarly,

sub-projects that finance rehabilitating or maintaining an existing infrastructure (e.g.,

roads, power, transmission and irrigation networks) may have adverse impacts, but are

Ukrainian State Construction Standard DBN A.2.2.-1-2003 (Title: ―Structure and Contents of the

Environmental Impact Assessment Report (EIR) for Designing and Construction of Production Facilities,

Buildings and Structures‖).

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likely to be less significant compared to a Category A project, and would be categorized

as B. Category B is also broken down to 2 subcategories: ‗B High‘ and ‗B Low‘

depending on magnitude of environmental impact and requirements of Ukrainian

legislation. Details are given below.

Box 2 provides an indicative list of Category B type sub-projects.

Box 2: An Indicative List of Category B Projects

Small-scale infrastructure projects: power transmission and distribution networks,

rural electrification, mini (run of the river with no major water impoundments) or

micro-hydropower projects, small-scale clean fuel fired thermal power plants,

renewable energy (other than hydropower), energy efficiency and energy conservation,

rural water supply and sanitation, road rehabilitation, and maintenance;

telecommunications, etc.;

Health care service delivery, HIV-AIDS, education (with limited expansion of

existing schools/buildings), repair/rehabilitation of buildings when hazardous materials

might be encountered (e.g., asbestos, stored pesticides); construction of new buildings

greater than one or two rooms; and

Small-scale irrigation, drainage, agricultural and rural development sub-projects, rural

water supply and sanitation, watershed management and rehabilitation, and small-scale

agro-industries, tourism (small-scale developments).

16. Category C: A proposed sub-project is classified as Category C if it is likely to

have minimal or no adverse environmental impacts. For example, most technical

assistance sub-projects on institutional development, computerization, and training fall in

Category C. Box 3 provides an indicative list of Category C type projects.

Box 3: An Indicative List of Category C Projects

Education and Health projects not involving construction;

Rehabilitation of a limited number of small buildings (e.g., schools or health clinics

where health care waste is not an issue); and

Institutional development, training and certain capacity building activities.

The following table contains key Ukrainian legislation regarding environmental

assessment and procedures for approval of investment programs and construction

projects.

Table 4: Ukrainian Legislation on Environmental Assessment

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Law on Environmental Expertise, February 9. 1995

On the List of Activities and Objects, that Pose a Heightened Environmental Threat,

Enactment # 554 of the Cabinet of Ministers, July 27, 1995

2

On the Order of Approval of Investment Programs and Construction Projects and

Carrying out Complex State Expertize, Enactment # 483 of the Cabinet of Ministers,

April 11, 2002

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3 State Construction Norms. Contents of the Documentation on Environmental Impact

Assessment for Design and Construction of Enterprises, Buildings and Structures

(ДБН А.2.2-1-2003), Official Document, 2004

17. Environmental Impact Assessment (EIA) is part of the Ukrainian project planning

and permitting procedures. Implementation regulations for EIA and Public Consultation

and Disclosure are included in the Ukrainian State Construction Standard DBN A.2.2.-1-

2003 (Title: ―Structure and Contents of the Environmental Impact Assessment Report

(EIR) for Designing and Construction of Production Facilities, Buildings and

Structures‖).

18. Annex E of Ukrainian State Construction Standard DBN A.2.2.-1-2003 contains a

list of ―types of projects or activities which constitute higher environmental risk‖ for

which full EIA is mandatory, and the Ministry of Environment being the competent

authority. However, DBN A.2.2-1-2003 prescribes that an EIA with a narrower scope (to

be determined case by case) shall be undertaken for projects not contained in the Annex

E, and the local authorities of the Ministry of Environmental and local State Sanitary and

Epidemiology Service (Ministry of Public Health) being the relevant authorities for the

project permitting.

19. In pursuance of the requirement of the Ministry of Environment of Ukraine an

EIA needs to be carried out in compliance with provisions of State Construction Norms

DBN A.2.2.1-2003 and requirements of nature protection legislation (letter dated

11.04.05, Ref. No.2496/21-10).

Environmental Assessment (EA) Documentation

20. Bank Category A (High Risk, Full EIA/ Environmental Expertise Required under

Ukrainian Legislation and Bank Environmental Safeguards procedures): The sub-

borrower will be required to submit the following documentation to UEB/PBs:

A copy of the official letter indicating a ―Positive Decision‖ by relevant

environmental authorities (Full EIA and EMP, prepared by third party, is

satisfactory and is approved according to Ukrainian legislation)

Any special requirements, conditions, or qualifications which accompany

the ―Positive Decision‖

An English language Executive Summary of EIA (as described in OP 4.01

‗Content of an Environmental Assessment Report for a Category A

Project‘). If deemed necessary, the Bank may request an English language

version of the entire EIA document.

A completed English language and Ukrainian language version of the EMP,

in accordance with requirements of OP 4.01 (as specified in Attachment III

of this Environmental Framework Document), which reflects all the

significant environmental impacts included in the Environmental

Assessment and any of the special requirements, conditions or qualifications

which accompanied the Environmental Expertise ―Positive Decision‖.

If the enterprise has an existing operation, the sub-borrower should provide

a list of certifications (for example emissions, discharge and waste disposal

limits) and evidence that all environmental licenses, permits, approvals for

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this activity are valid, and an indication of the expiration dates for these

requirements.

Details of two Public Consultation on the EIA/EMP(as specified in

Attachment III of this Environmental Framework Document)

All category A subprojects will go for ―prior review‖ by WB safeguard experts and

Executive Summary of EIA will be send to World Bank Board of Directors for

information.

21. Bank Category B (Intermediate Risk, EIA/Environmental Expertise may or may

not be required based on Ukrainian Environmental Legislation). Sub-projects can be

categorized into two different sub-categories. A) Sub-projects which require partial

EIA/EMP/Environmental Expertise under Ukrainian Environmental Requirements –

‗Category B High‘. B) sub-projects which require only EMP – ‗Category B Low‘. For all

B category projects the sub-borrower will be required to prepare Project Environmental

Information Sheet (as specified in Attachment II of this Environmental Framework

Document).

For ‘Category B High’

Project Environmental Information Sheet (as specified in Attachment II of

this Environmental Framework Document).

A copy of the official letter indicating a ―Positive Decision‖ by relevant

environmental authorities (Partial EIA and EMP, prepared by third party, is

satisfactory and is approved according to Ukrainian legislation).

In case if under Ukrainian Environmental Requirements sub-project does

not require EIA but under Bank procedures it does sub-borrow should

follow Bank guidelines and develop English language Executive Summary

of EIA (as described in OP 4.01 ‗Content of an Environmental Assessment

Report for a Category A Project‘) and submit it for review to UEB/PBs.

Any special requirements, conditions, or qualifications which accompany

the ―Positive Decision‖.

A completed English language and Ukrainian language version of the EMP,

in accordance with requirements of OP 4.01 (as specified in Attachment III

of this Environmental Framework Document), which reflects all the

significant environmental impacts included in the Environmental

Assessment and any of the special requirements, conditions or qualifications

which accompanied the Environmental Expertise ―Positive Decision‖


a list of certifications (for example emissions, discharge and waste disposal

limits) and evidence that all environmental licenses, permits, approvals for

this activity are valid, and an indication of the expiration dates for these

requirements.

Details of one Public Consultation (as specified in Attachment III)

First three ‗Category B High‘ subprojects will go for ―prior review‖ by WB safeguard

experts.

For ‘Category B low’

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Project Environmental Information Sheet (as specified in Attachment II)

Environmental Management Plan (EMP) (as specified in Attachment III of

this Environmental Framework Document), identifying potential

environmental risks and proposed mitigation measures, and submit it to

UEB or PB for review.


certification, including key standards for emissions and discharges and

evidence that all environmental licenses, permits, approvals for this activity

are valid, and an indication of the expiration dates for these requirements.

Such approvals could include matters closely related to Environmental

Assessment, such as Cultural Property in those few cases where this could

apply to sub-projects.

Details of one Public Consultation (as specified in Attachment III of this

Environmental Framework Document)

No ‗prior review‘ of Category B Low sub-projects is required as main review will be

done by UEB/PBs as well as decisions taken for approval. WB safeguard specialist will

randomly select projects for post review during annual supervision missions to check if

decisions made by PIU were performed up to Ukrainian and WB standards.

22. Category C (Low Risk, EIA/Environmental Expertise Not Required): If a sub-

project receives this classification, no environmental assessment documentation is

needed, and no further environmental review or approvals are necessary.

Public Consultation

23. The Sub-borrower is responsible for conducting two public consultations if

classified as category A sub-projects and one public consultation if classified as category

B sub-projects under World Bank Safeguard procedures.

24. The Ukrainian EIA implementation regulations contained in the Standard DBN

A.2.2.-1-2003 also include provisions for public consultation and information disclosure

as part of the implementation of the Aarhus Convention to which Ukraine is signatory.

According to the Standard, for Annex E projects (i.e. with significant environmental

impact), public hearings are mandatory, while for non – Annex E Projects only the

decision on the result of the Environmental Assessment needs to be made public.

25. For Category A sub-projects – Immediately after two stage project screening if

project is identified as Category A sub-borrower is requested to finalize ToR for

EIA/EMP and carry out 1st public consultations. Second stage of public consultations

should be carried out 120 days after 1st set of consultations (which provide enough time

for public to comment on environmental issues related to the project) when draft

EIA/EMP are completed. At the second stage of consultations draft EMP (or EA) are

reviewed and consulted (as specified in Attachment III of this Environmental Framework

Document). The purpose of public consultation(s) is to solicit views of groups or

individuals who may be affected by the Sub-project regarding their environmental

concerns. Affected groups or people should identify the environmental issues they believe

to be significant. Any significant issues, established during the public consultation, should

be incorporated into the EIA/EMP. Draft EIA/EMP need to be disclosed at least 1 month

prior to second stage of public consultations.

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26. For Category B sub-projects – For Category B projects, just one public

consultation required, where draft EMP (or EIA) are reviewed and consulted (as specified

in Attachment III). The purpose of public consultation(s) is to solicit views of groups or

individuals who may be affected by the Sub-project regarding their environmental

concerns. Affected groups or people should identify the environmental issues they believe

to be significant. Any significant issues, established during the public consultation, should

be incorporated into the EIA/EMP. Draft EIA/EMP need to be disclosed at least 1 month

prior to public consultations.

27. The Sub-borrower responsibilities include: (a) public notification including

disclosure of draft documents on which public was consulted, (b) conducting the

consultation and (c) recording the significant findings, list of participants who attended

the consultations, conclusions, recommendations and next steps. Details of the

documentation required for the public consultation are presented in Attachment III of this

Environmental Framework Document.

28. Ukrainian/Russian language of the EMP and the record of the public consultation

should be placed at a public location near the project site and on the Sub-borrower

website.

Review and Approval

29. Category A: Loan Officer together with Environmental specialist at UEB or PB

will review the Environmental Impact Assessment (as described in OP 4.01 ‗Content of

an Environmental Assessment Report for a Category A Project‘) and EMP making sure

that all items identified during Project Environmental Expertise assessment as well as any

conditions, requirements, and qualifications required by Bank OP 4.01 are properly

incorporated. He/she will then submit Full EIA/EMP to Environmental Specialist of the

PIU at UEB with a recommendation for approval. The PIU of UEB will review those

materials and if conforming to the requirements approve it. Then English Language

versions of the: (a) Environmental Impact Assessment, (b), EMP (c) copy of the official

letter indicating a ―Positive Decision‖ by the relevant authorities (Environmental

Assessment is approved), and (d) documentation of any special requirements, conditions,

or qualifications which accompanied the ―Positive Decision‖ will be send to the World

Bank Safeguard Expert for ―No Objection‖.

No release of Bank funds are permitted by UEB or PBs until official Bank approval (No

Objection) is provided.

30. Category B: Loan Officer together with Environmental specialist at UEB or PB

will review and approve for ‗Category B High‘: Project Environmental Information

Sheet; A copy of the official letter indicating a ―Positive Decision‖ by relevant

environmental authorities; An English language Executive Summary of EIA; A

completed English language and Ukrainian language version of the EMP; list of

certifications (for example emissions, discharge and waste disposal limits) and evidence

that all environmental licenses, permits, approvals for this activity are valid, and an

indication of the expiration dates for these requirements; and Details of one Public

Consultation. First three ‗category B High‘ subprojects will be prior reviewed by WB

safeguard specialist. The remaining sub-projects will be post reviewed.

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31. Loan Officer together with Environmental specialist at UEB or PB will review for

‗Category B Low‘: Project Environmental Information Sheet; A completed English

language and Ukrainian language version of the EMP; list of certifications (for example

emissions, discharge and waste disposal limits) and evidence that all environmental

licenses, permits, approvals for this activity are valid, and an indication of the expiration

dates for these requirements; and Details of one Public Consultation. No ‗prior review‘ of

Category B Low sub-projects is required as main review will be done by PIU of UEB as

well as decisions taken for approval. WB safeguard specialist might post-review

randomly selected projects during annual supervision missions to check if decisions made

by PIU were performed up to Ukrainian and WB standards.

Category C: Not applicable because no environmental assessment is required.

Disclosure

32. The Ukrainian EIA implementation regulations contained in the Standard DBN

A.2.2.-1-2003 include provisions for public consultation and information disclosure as

part of the implementation of the Aarhus Convention to which Ukraine is signatory.

According to the Standard, for Annex E projects (i.e. with significant environmental

impact), public hearings are mandatory, while for non – Annex E Projects only the

decision on the result of the Environmental Assessment needs to be made public.

33. For Category A sub-projects and based on Ukrainian procedure for information

disclosure sub-borrower is required to carry out Public Consultations and disclose ToR

for EIA where it will describe timing when draft EIA/EMP are to be completed and

solicit views of groups or individuals who may be affected by the Sub-project regarding

their environmental concerns. 1 month prior to second consultation the sub-borrower will

place a Ukrainian language copy of draft EIA and EMP in a public location (library,

company office etc.) at sub-project site and provide a letter to UEB Loan officer/the PB

documenting the location where the EIA and EMP were placed and the date of the

disclosure. After second consultation period final English version of EIA/EMP, which

incorporates all comments from Public Consultations, will be send to the Bank, which

will be posted in the InfoShop and provided for Information to World Bank Board of

Directors. The PIU in UEB may request that Project Environmental Information Sheet

and EMPs for Category B projects be also disclosed in a suitable and accessible location.

Related Conditionalities and Responsibilities

34. All sub-loan agreements for all Category A and Category B sub-projects must

include a condition requiring the sub-borrower implementing the mitigation, monitoring,

and reporting measures specified in the EMP and strictly follow the procedures according

to related Ukrainian laws and regulations in the event of chance finds of culturally

significant artifacts or sites. Environmental Specialist from PIU in UEB will exercise its

responsibility to supervise implementation by UEB loan officers/the PBs those

conditions.

35. It is the responsibility of the Sub-borrower to assure that all tender documents and

construction contracts include all relevant requirements put forward in the EMP. During

Sub-project implementation, PIU at UEB or the PBs will have the right to check tender

documents and construction contracts to verify this condition has been satisfied.

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Contractor agreement to satisfy these conditions should be one prerequisite for a

contractor to win the bid.

Prior and Post Review

36. Prior and Post-Review – IBRD/PIU. Environmental evaluations and review

procedures will be subject to ―ad-hoc‖ review by the PIU and IBRD supervision missions.

The World Bank will perform prior review and clearance of all sub-projects falling in

Category A and first 3 of ‗Category B High‘ projects and on the ―ad-hoc‖ basis thereafter.

The review of evaluations will ensure that: the work was of satisfactory quality, the

appropriate recommendations were made, all documentation was properly filed and

recorded, and that the conditions of approval were met. During the Project

implementation, IBRD missions will supervise the overall screening process and

implementation of environmental recommendations for selected sub-borrowers/sub-

projects. The IBRD supervision team will also review, on ―ad-hoc‖ basis environmental

documentation. Therefore, all this documentation should be kept on file with the

UkrEximBank PIU as needed.

B) IMPLEMENTATION

Arrangements for Environmental Management

37. The format for an Environmental Information Sheet (EIS), Environmental Impact

Assessment (EIA for A, B Category Projects) and Environmental Management Plan,

including institutional organization and arrangements is provided in Attachment III to this

Environmental framework Document.

38. PIU of UEB should have throughout the project lifetime a staff member or a

consultant with an environmental background undertake environmental due diligence.

The individual must be able to recognize an activity for which a loan is being sought that

may fall into Category A, B or C of the Bank and ensures that EIA/EMPs developed

under the project will meet World Bank requirements and Ukrainian Environmental

legislation.

39. The Sub-borrower is responsible for insuring that all the requirements of EMP are

properly implemented. Mitigation of any environmental effects will be the responsibility

of the sub-borrower. However, it will also be the responsibility of the PIU of UEB to

ensure that mitigation is carried out successfully. This responsibility will be effected

through monitoring system.

Monitoring

40. Loan officers together with Environmental specialist at UEB and PBs will have

ultimate responsibility for any environmental effects that may result from their projects as

defined in Section 41 below. With some basic training (see Section ―Capacity

Development‖) Loan Officers will be able to monitor their projects but often they will

have to rely on consultations with the Environmental Specialist from PIU at UEB and/or

World Bank Safeguard Expert. As it is expected to have a large number of Category B

low projects that will be assigned to each loan officer, monitoring will likely be

conducted on a sample basis. Monitoring of category A and B High will be fully

performed. From an environmental viewpoint, those groups of projects which have the

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potential for creating the most serious environmental problems should be given highest

priority. For monitoring to be effective, results must be acted upon, and as such,

monitoring results will be considered when loan applications are reviewed and conditions

are placed on subsequent loans.

41. Bank supervision missions should consider including an environmental safeguard

specialist once a year to audit monitoring procedures and results and as well, provide an

assessment of the effects, if any, that the project may be having on cumulative impacts.

The loan officer/environmental specialist at UEB/PBs will be responsible for:

monitoring all Category A and Category B High projects that have

required an EIA/EMP to ensure that mitigation is carried out as planned

and to ensure that no unanticipated effects have occurred

randomly reviewing/monitor Category B low projects that have not

required full EIA but which do require EMP, to ensure that they are

environmentally acceptable

where necessary, prescribing corrective actions to be taken, without which

the loan will be cancelled/not renewed

taking into account the cumulative effect of a number of projects in a small

area, particularly emissions from small boilers

Capacity Development

42. At the minimum, Loan Officers from UEB and PBs engaged in Project

implementation should attend minimum a three day environmental safeguards training

workshop that will demonstrate how financed sub-projects can affect the environment and

the steps to be taken to avoid, mitigate impacts and carry out monitoring. And, as noted

above, an environmental specialist will be hired by the PIU of UEB, who will supervise

environmental due diligence of sub-projects together with loan officers at UEB and PBs.

43. Loan officers should have the capacity to recognize, in a general way, potential

environmental risk of certain investments, in order that they are able to report potential

problems to head of PIU at UEB (Environmental expert at UEB PIU). Key personnel

from the PIU of UEB and PBs should attend an environmental safeguards training

workshop and all loan officers engaged in Project implementation should attend an

environmental safeguards training workshop.

Reporting

44. UkrEximBank and PBs should include a section in their regular yearly supervision

reports indicating whether the sub-borrower is complying with all requirements of the

EIA/EMP, if any environmental issues emerged during the reporting period, and, if so,

how those issues were or are being addressed.

13

Attachment I Environmental Eligibility Checklist for the Existing Enterprise and Screening Criteria

for the Proposed Project

CRITERIA N/A YES NO Comments

1 Does the existing enterprise have a valid

operating permit, licenses, approvals etc.?

If no, either:

All required

licenses/permits/approvals etc.

must be obtained prior to

project approval, or

Project investment must

provide key investments

needed to obtain them

2 Does the existing enterprise meet all

Ukrainian environmental regulations

regarding air emissions, water discharges

and solid waste management?

If no:

Facility must take corrective

measures to meet all

environmental regulations

prior to project approval,

or

Project investment must

provide key investments

needed to meet them

3 If the existing enterprise has any

significant outstanding environmental fees,

fines or penalties or any other

environmental liabilities (e.g. pending

legal proceedings involving environmental

issues etc.) will the investment be used to

correct this condition?

If the enterprise has

outstanding liabilities the

facility must take corrective

measures to remove them

prior to project approval.

4 If there have been any complaints raised

by local affected groups or NGOs

regarding conditions at the facility will the

investment be used to remedy these

complaints?

If yes: UEB or PBs should

examine the nature of the

complaints and actions taken

to address them. If there are

significant unresolved

complaints, UEB/PBs should

consult with WB regarding

appropriate action

5 Will the project likely have significant,

diverse environmental impacts that are

sensitive, diverse, or unprecedented?

Impacts may affect an area broader than

the sites of facilities subject to physical

works

If yes, assign ―Category A‖

6 Will the project have potential adverse

impacts on human populations or

environmentally important areas-including

wetlands, forests, grasslands, and other

natural habitats-are less adverse than those

of Category A. Are the impacts site

specific, few if any irreversible and

mitigating measures are readily developed

If yes, assign ―Category B

High‖ if EIA/Environmental

Expertise is required under

Ukrainian Environmental

Legislation is required or

assign ―Category B Low‖ in

cases where EIA/Expertise is

not required.

7 Will the project likely have minimal or no

adverse impacts

If yes, assign ―Category C‖

14

Attachment II

Project Environmental Information Sheet

SECTION I (To be Completed by the Sub-Project Sponsor)

1. Project Description: Describe the nature of the investment: equipment purchases, civil

works construction, removal/demolition of existing structures etc.

2. Project Location Description: Describe the general land use characteristics at or near

the project site. Indicate nearest population centers (villages, cities etc.), any surface waters

(lakes, rivers, etc.), any areas of particular human or ecological sensitivity or cultural interest

(hospitals, schools, religious houses of worship, historical sites or monuments, natural areas

protected by the government or international agreement, etc.)

Environmental Factors

3. Air Pollution: Indicate any releases of gases to the atmosphere expected from project

implementation-either during construction or project operation. Provide information about if

these releases will be controlled, and if so, the nature of the control.

4. Water Pollution: Indicate the nature of any wastewater discharges to either surface

waters or to groundwaters anticipated from project implementation-either during construction

or project operation. Provide information about the nearest drinking water sources. Indicate if

these discharges will be treated, and if so, the nature of the treatment that will be used.

5. Solid Wastes: Describe the nature of solid material wastes that will be produced either

during project construction or operation phases. Distinguish between non-hazardous and

hazardous wastes. Provide information about how each of these types of solid materials will

be managed (e.g. recycled, used as a raw material elsewhere, burial, incineration, etc.).

For an Existing Operation, provide copies or details that all environmental permits, licenses,

approvals are valid and the expiration dates for these requirements.

SECTION II (To be completed by Ukreximbank or the PB)

6. Does the project comply with all environmental regulations concerning atmospheric

emissions, effluent discharges and solid waste management? If not, please provide an

explanation.

7. Will the project present a risk of significant impact to any sensitive areas of the

natural and human environment? If the response is positive, please describe the nature of the

impact and an assessment of the risks involved?

8. Does the sub-borrower have an existing system in place for environmental

management, or is such a system currently being developed? If not, please provide describe

provisions for effective management proposed for the sub-loan.

9. For an Existing Operation are all environmental permits, licenses, approvals valid and

are the expiration dates in a reasonable time in the future.

15

10. Does the sub-borrower have a record of environmental penalties, legal judgments, etc.

related to their environmental performance, or any outstanding liabilities related to their

environmental management? If yes, please elaborate.

RECOMMENDED CATEGORY RATING

Please describe the basis upon which this Category rating is recommended

16

Attachment III

Environmental Management Plan (EMP) Format

Sub-Project Description: Present a brief description of the Sub-project. Include the nature of the investment, the location, and any characteristics of

the area that are of particular interest, e.g. near a protected area, area of cultural, historical, religious interest etc. Also, very briefly describe the general

land use characteristics (farming, small industry etc.), and the location(s) of the nearest population centers. Provide a brief summary of the major Sub-

project related environmental issues, how will they be managed, who will manage them and what, if any, are the environmental risks.

MITIGATION PLAN

Phase

Issue

Mitigating

Measure

Applicable Standard Cost of

Mitigation

(If Substantial)

Responsibility*

Start

Date

End

Date Ukrainian World Bank

Construction

Operation

*Items indicated to be the responsibility of the contractor should be specified in the bid documents

17

MONITORING PLAN

Phase What

parameter is to

be monitored?

Where

is the

parameter to

be monitored?

How

is the parameter

to be monitored/

type of

monitoring

equipment?

When

is the parameter to

be monitored-

frequency of

measurement or

continuous?

Monitoring Cost

What is the cost of

equipment or

contractor charges

to perform

monitoring

Responsibility Start

Date

End

Date

Construct

Operate

Institutional Arrangements: A brief narrative discussion should be prepared to indicate how monitoring data is going to be used to maintain sound

environmental performance—who collects the data, who analyzes it, who prepares reports, whom the reports are sent to and how often, what he/she

does with the information.

18

Public Consultation

Provide documentation of the following:

Documentation

Manner in which notification of the consultation was announced (Should includ

date(s) on which the draft document was made available to public prior to

consultation meeting):

- media(s) used, date(s), description or copy of the announcement

Date(s) consultation(s) was (were) held

Location(s) consultation(s) was (were) held

Who was invited

- Name, Organization or Occupation, Telephone/Fax/e-mail

number/address (home and/or office)

Who attended

- Name, Organization or Occupation, Telephone/Fax/e-mail

number/address (home and/or office)

Meeting Program/Schedule

- What is to be presented and by whom

Summary Meeting Minutes (Comments, Questions and Response by

Presenters)

List of decisions reached, and any actions agreed upon with schedules

and deadlines and responsibilities

List of Attachments on Public Consultations:

Annex 1 – Minutes

Annex 2 – Letters of Invitation to Public Consultation

Annex 3 – Announcement in Media on Public Consultations

Annex 4 – List of Attendants of Public Consultations

Annex 5 – Log of phone calls

Annex 6 – Invitation Published at UkrEximBank website and EAFD Published

Annex 7 – Registrations to Public Consultations and Questions

19

Annex 1 - Minutes

MINUTES

of the public hearings on the Environmental Assessment Framework Document

under the Energy Efficiency Project to be jointly implemented with the World Bank

September 28, 2010 Kyiv

Head: Hudiash S.V.

Secretary: Levсhenko A.O.

Attendants (registration log is attached herewith):

Lisovenko V.V. – Member of the Board, JSC ―Ukreximbank‖

Glazkov D.S. - Energy & Infrastructure Operations Officer, World Bank Country Office in

Ukraine

Kartavtsev O.M. – Head, Department for Environmental Expert Assessment, Audit and

Certification, Ministry of Environmental Protection of Ukraine

Kryvolap K.K. - Deputy Head, Investment and Scientific Policy Department – Head, Section for

Investments

Shkrebtiy O.O. - Chief Specialist, Section of Expert Assessment of IFIs Projects and

International Technical Assistance, Department for International technical Assistance and

Cooperation with IFIs, Ministry of Economy of Ukraine

Hudiyash S.V. – Head, Department for IFI Programs, JSC ―Ukreximbank‖

Hrebet V.G. – Head, Section for Energy Efficiency Programs, Department for IFI Programs, JSC

―Ukreximbank‖

Lisovets K.I. – Deputy Head – Chief Accountant, Ukrainian Society for Environmental

Gavaga O.V. – Head, Economy Section, JV ―Ukrinterm‖, LLC

Thorovska L.M. – Engineer, Section on Quality, JV ―Ukrinterm‖, LLC

Nikolayeva O.M. – Director, Fuel and Energy Department, All-Ukrainian non-governmental

organization ―Gospodari zemli‖

Gitchenko S.O. – Director, Legal Firm ―Zakon Slova‖

Kotov O.V. – entrepreneur

Ponomarenko Ye.D., Kuznetsova I.M., Klimenko B.V., Zhula Yu.O., Tymoshyna G.O.,

Bondar D.L., Shyian K.A., Bykov S.I., Ivaschenko V.V., Levchenko A.O., Butsko Ye.M.,

Kapatsyn L.M., Safronova I.M., Anilovska O.I., Ganenko M.V. – JSC ―Ukreximbank‖

Total: 28 persons.

The venue: conference-hall at the office of JSC ―Ukreximbank‖ located at 127, Gorkogo Str.,

Kyiv city.

AGENDA

1. Organizational issues

2. Electing the secretary of the hearings

3. Approving the agenda of the public hearings

4. Introductory word by Mr. Lisovenko V.V.

5. Background information on the Energy Efficiency Project to be jointly implemented with

the World Bank and the Environmental Assessment Framework Document (speaker –

Mr. Hrebet V.G.)

6. Discussions, questions/answers

7. Summarizing

20

1. Organizational issues

The public hearings were announced to have been opened, the subject and participants of the

public hearings were announced.

2. Electing the secretary of the hearings

HEARD:

1. On electing the secretary of the hearings

SPEAKERS:

Hudiyash S.V. suggested electing Levchenko A.O. as the secretary of the public hearings

RESOLVED:

Levchenko A.O. was elected to be the secretary of the public hearings

3. Approving the agenda of the public hearings

HEARD:

1. On approving the agenda of the public hearings

SPEAKERS:

Hudiyash S.V. suggested the following agenda: 1) Introductory word by

Mr. Lisovenko V.V.; 2) Background information on the Energy Efficiency Project to be

jointly implemented with the World Bank and the Environmental Assessment Framework

Document by Mr. Hrebet V.G.; 3) Discussions, questions/answers; 4) Summarizing

RESOLVED:

The following agenda shall be approved:

1. Introductory word by Mr. Lisovenko V.V.

2. Background information on the Energy Efficiency Project to be jointly implemented with

the World Bank and the Environmental Assessment Framework Document by

Mr. Hrebet V.G.

3. Discussions, questions/answers

4. Summarizing

4. Introductory word

HEARD:

Introductory word

SPEAKERS:

Lisovenko V.V. outline Bank‘s priorities in practical implementation of environmental

protection arrangements and highlighted Bank‘s social accountability; highlighted

engagement in energy efficiency programs as one of key activity fields for JSC

―Ukreximbank‖. He also provided information on Bank‘s experience in the implementation

of the Energy Efficiency Program implementation and the new Energy Efficiency Project to

be jointly implemented with the World Bank. Furthermore, he stressed on the readiness to

take into account standpoints of hearings attendants with regard to aspects and criteria of

environmental assessment and environmental impact of projects within the said joint-

implementation project.

5. Background information on the Energy Efficiency Project to be jointly implemented

with the World Bank and the Environmental Assessment Framework Document

21

HEARD:

Background information on the Energy Efficiency Project to be jointly implemented with the

World Bank and the Environmental Assessment Framework Document

SPEAKERS:

Hrebet V.G. made a speech highlighting particularities of the Energy Efficiency Project,

reported on investments in stable and sustainable development and its economic effectiveness,

on the loan to be used by Ukreximbank and, in future, for the direct financing of approved

subprojects in the industrial and municipal sectors. It was stressed that all the projects to be

financed under the Energy Efficiency Program will go through the economic assessment with the

procedures stipulated by the Environmental Assessment Framework Document. The purpose of

the Environmental Assessment Framework Document is to provide guidelines for sublenders,

Ukreximbank and participating banks for the environmental assessment procedures to be

complied with in the analysis of individual subprojects that will be considered in terms of

possible financial assistance under the Energy Efficiency Project. Also, he commented the

contents of the document. A particular attention was devoted to the environmental procedures

and their stages during the preparation and implementation of sublenders.

It was underscored that the Environmental Assessment Framework Document depicts

fruitful cooperation between Ukreximbank and the Work Bank which has been underway since

the mid-1990s. This paper is to provide the World Bank specialists with a clear-cut lay-out of

cooperation, particularly at the initial stage of enterprise‘s loan application processing. Also, it

was underlined that this document is the guideline for credit specialists and enterprises.

6. Discussions, questions/answer

Hudiyash S.V. reported that following the publishing of the Environmental Assessment

Framework Document no questions or suggestions had been received by the organizers and gave

the floor to participants (communication log is attached herewith).

QUESTIONS:

1. Kartavtsev O.M. (Head, Department for Environmental Expert Assessment, Audit and

Certification, Ministry of Environmental Protection of Ukraine) asked if the Environmental

Assessment Framework Document had been agreed with public agencies and whether this paper

is an internal document of the Bank.

2. Hrebet V.G. replied that the Document had been cleared with the World Bank. At the

preparation stage it wasn‘t envisioned that it should be agreed with public agencies. The Energy

Efficiency Project will be implemented under the government guarantees the Loan Agreement

will be ratified by the Verkhovna Rada of Ukraine.

3. Hudiyash S.V. added up and highlighted that the Document is public, it was developed

by JSC ―Ukreximbank‖ jointly with the World Bank in order to provide guidelines on

environmental operations to credit specialists. It was underscored that, according to the effective

legislation, a Ukrainian bank is not obliged to pass any environmental assessment during the

analysis of subprojects. It was stressed that JSC ―Ukreximbank‖ is a socially accountable bank

and the guidelines were developed for credit specialists in terms of environmental protection.

SUGGESTIONS:

1. Kartavtsev O.M. suggested holding additional consultations with the specialists of the

Ministry of Environmental Protection of Ukraine on the Environmental Assessment Framework

Document.

2. Hudiyash S.V. agreed with the afore-said suggestion.

7. Summarizing

22

Hudiyash S.V., before closing the hearings, draw participants‘ attention to the fact that

the Bank had been working in implementing energy efficiency projects for a long time. In May

2010 the Bank was honored with the award for ―For Outstanding Achievements in Energy

Resources Saving and Climate Change Prevention‖ by the EBRD.

RESOLVED:

The Environmental Assessment Framework Document shall be approved, additional

consultations shall be held with the specialists of the Ministry of Environmental Protection of

Ukraine.

Following the completion of the hearings additional consultations on the Framework

Document were held. As a result, it was defined that in general the Environmental Assessment

Framework Document complies with the effective environmental legislation and, if needed, it

may be further elaborated, engaging the environmental expert assessment specialists of the

Ministry of Environmental Protection of Ukraine.

Head (signed) Hudiyash S.V.

Secretary (signed) Levchenko A.O.

23

Annex 2 – Letters of Invitation to Public Consultations

Joint stock company “THE STATE EXPORT-IMPORT BANK OF UKRAINE”

127, Gorkogo Str., Kyiv, 03150, UKRAINE

Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082

Telex: 131258 EXIMB UX, 131655 EXIMB UX

http://www.eximb.com

Ref. no. 170-00/6043 of Sep. 07, 2010

Secretariat

Cabinet of Ministers of Ukraine

12/2, Grushevskogo Str.

Kyiv, 01008

The Joint stock company ―The State Export-Import Bank of Ukraine‖ (JSC

―Ukreximbank‖) jointly with the World Bank launches the Energy Efficiency Project. Long-term

lending resources available within the Project will be targeted at funding energy-saving

investment projects of Ukrainian companies.

As a part of the preparation of subprojects to be funded under the Energy Efficiency

Project environmental impact assessment procedures will be applied, taking into account

requirements of the World Bank. To this end the Environmental Assessment Framework

Document was elaborated to define methodological and organizational fundamentals of Project

lenders‘ compliance with the Ukrainian law and environmental requirements of the Work Bank.

The text of the Environmental Assessment Framework Document was uploaded and can

be retrieved at the official web-site of JSC ―Ukreximbank‖:

http://www.eximb.com/ukr/corporate/loans/p_hearings/eaf/. It can be also received through

calling at (+38 044) 247-8085 (Section for Energy Efficiency Programs) or sending a request by

fax: (+38 044) 247-8082 or email: [email protected].

We invite a representative of your agency to take part in the public hearings on the

Environmental Assessment Framework Document to be held at 10:00 am on September 28,

2010, at the office of JSC ―Ukreximbank‖ located at 127, Grokogo Str., the city of Kyiv

(entrance from Tverska Str.).

In order to get registered you should communicate representative‘s full name and position

through one of the mentioned contacts at 5:45 pm on September 23, 2010 at the latest. In order to

get a pass to the venue a person should have a valid ID with his/her photo.

(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

24



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6039 of Sep. 07, 2010

Ministry of Environmental Protection of Ukraine

35, Urytskogo Str., Kyiv, 03035






















(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

25



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6040 of Sep. 07, 2010

State Environmental Inspection


3, Novopecherskyi Provulok, building 2

Kyiv, 01042






















(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

26



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6041 of Sep. 07, 2010

Ministry of Economy of Ukraine

12/2, Grushevskogo Str., Kyiv, 01008






















(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

27



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6042 of Sep. 07, 2010

Department for

Sanitarian and Epidemiological Surveillance

Organization

Ministry of Health of Ukraine

12/2, Grushevskogo Str., Kyiv, 01008






















(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

28



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6044 of Sep. 07, 2010

Ukrainian Society for Environmental Protection

5-B, Henri Barbusse Str., Kyiv, 03150















We invite a representative of your organization to take part in the public hearings on the







(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

29



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6045 of Sep. 07, 2010

All-Ukrainian Environmental League

12-A, Saksaganskogo, Suite 307,

Kyiv, 01033















We invite a representative of your organization to take part in the public hearings on the







(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

30



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6046 of Sep. 07, 2010

World Bank Country Office in Ukraine

1, Dniprovskyi Uzviz, Kyiv, 01010


―Ukreximbank‖) assures of its esteem and informs as follows.

As a result of joint efforts on the Energy Efficiency Project the Environmental

Assessment Framework Document was elaborated.



http://www.eximb.com/ukr/corporate/loans/p_hearings/eaf/. The announcement was also

published in the newspaper of central executive agencies ―Uriadovyi Kurier‖.

The public hearings on the Environmental Assessment Framework Document will be

held at 10:00 am on September 28, 2010, at the office of JSC ―Ukreximbank‖ located at 127,

Grokogo Str., the city of Kyiv (entrance from Tverska Str.).

Representatives of executive agencies and non-governmental environmental

organizations were invited to join the public hearings.

Officers of the World Bank are also welcome to take part in the afore-said public

hearings.

(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

http://www.eximb.com/ukr/corporate/loans/p_hearings/eaf/

31



Tel.: (+38 044) 247-8948, 247-3838

Fax: (+38 044) 247-8082



Ref. no. 170-00/6708 of Sep. 07, 2010

World Bank Country Office in Ukraine

1, Dniprovskyi Uzviz, Kyiv, 01010


―Ukreximbank‖) assures of its esteem and informs as follows.

In pursuance of preparation arrangements on the Energy Efficiency Project to be jointly

implemented with the World Bank the public hearings on the Environmental Assessment

Framework Document were held at 10:00 am on September 28, 2010, at the office of JSC

―Ukreximbank‖, as recorded in the Minutes.

The announcement on the public hearings on the Project to be jointly implemented with

the Bank was published at the official web-site of JSC ―Ukreximbank‖:

http://www.eximb.com/ukr/corporate/loans/p_hearings/?f=personal/. It was also available in the

newspaper of central executive agencies of Ukraine ―Uriadovyi Kurier‖ of September 01, 2010.

The text of the Environmental Assessment Framework Document was uploaded and

made available at the official web-site of JSC ―Ukreximbank‖:

http://www.eximb.com/ukr/corporate/loans/p_hearings/eaf/ on August 17, 2010. It was also

possible to get it by calling at (+38 044) 247-8085 (Section for Energy Efficiency Programs) or

sending a request by fax: (+38 044) 247-8082 or email: [email protected].

Representatives of executive agencies and non-governmental environmental

organizations were invited to take part in the public hearings. For this purpose specific

invitations were sent to the Secretariat of the Cabinet of Ministers of Ukraine, the Ministry of

Environmental Protection of Ukraine, the State Environmental Inspection of Ukraine, the

Ministry of Health of Ukraine, the Ministry of Economy of Ukraine, the All-Ukrainian

Environmental League and the Ukrainian Society for Environmental Protection. Copies of the

invitation were also faxed and emailed.

As a result, the Environmental Assessment Framework Document was approved by the

participants of the public hearings.

Annexes:

1. The Minutes of the Public Hearings on the Environmental Assessment Framework

Document – 4 pages;

2. A copy of the public hearings participant registration log – 3 pages;

3. Copies of invitation letters to representatives of executive agencies and non-

governmental organizations – 7 pages;

4. A copy of the announcement on the public hearings in the newspaper ―Uriadovyi

Kurier‖ of September 01, 2010, - 1 page;

5. Screen prints of JSC ―Ukreximbank‖ web-site pages with the announcements on the

public hearings to be held and the text of the Environmental Assessment Framework

Document – 3 pages;

32

6. The communication log on incoming phone calls and mail received by the public

hearings organizers – 3 pages;

7. Copies of incoming letters with questions that were received through the public

hearings organizer‘s inbox and answers thereto; incoming letters with requests for

registration in the hearings that were received by fax – 9 pages.

(signed and sealed)

V.V. Lisovenko

Board member

Executed by:

Levchenko A.O.

(+38 044) 247-8085

33

Annex 3 – Announcement in Media on Public Consultations

URIADOVYI KURIER

NEWSPAPER OF CENTRAL EXECUTIVE AGENCIES OF UKRAINE

http://www.ukurier.gov.ua

Issue no. 160 (4311) of Sep. 01, 2010

Public Hearings on Environmental Aspects of the Energy Efficiency Project

to be Implemented jointly with the World Bank















The public hearings on the Environmental Assessment Framework Document to be held

at 10:00 am on September 28, 2010, at the office of JSC ―Ukreximbank‖ located at 127,

Grokogo Str., the city of Kyiv (entrance from Tverska Str.).

Those who would like to participate in the public hearings have to register not later than

on September 23, 2010, and communicate a full name and organization through one of the afore-

mentioned contacts. In order to get a pass to the venue a person should have a valid ID with

his/her photo.

34

Annex 4 – List of Attendants of Public Consultations

LIST

of attendants of the public hearings

on the Environmental Assessment Framework Document

September 28, 2010 the city of Kyiv

Item

no.

Full name Year of birth Passport series

and no.

Home address, phone no. Signature

1. Gavara Olena Vasylivna Mar. 21,

1974

SK 776154 JV ―UKRINTERM‖, LLC

11, Bankova Str.,

Bila Tservka town

(signed)

2. Thorovska Liudmyla

Mykolayivna

Mar. 01,

1958

SK 723888 JV ―UKRINTERM‖, LLC

26, Chernyshevskogo Str.,

Bila Tservka town

(signed)

3. Kartavtsev Oleg

Mykolayovych

Ministry of Environmental

Protection of Ukraine

(signed)

4. Ponomarenko Yevgeniy

Danylovych

JSC ―Ukreximbank‖ (signed)

5. Kuznetsova Iryna

Mykolayivna

Risk Control Department (signed)

6. Klymenko Borys

Volodymyrovych

Department for

Organization and

Community Affairs

(signed)

7. Shkrebtiy Oxana

Olexandrivna

Ministry of Economy of

Ukraine

+38 097 993 32 42

(signed)

8. Zhula Yuliya Olexandrivna Department for

Methodology and

Administration

(signed)

9. Tymoshyna Ganna

Olexandrivna

Department for

Methodology and

Administration

(signed)

10. Kryvolap Kyrylo

Kostiantynovych

Ministry of Environmental

Protection of Ukraine

+38 067 440 53 71

+38 044 206 31 12

(signed)

11. Nikolayeva Oxana ―Gospodari zemli‖

+38 067 270 05 85

(signed)

12. Kotov Olexandr

Volodymyrovych

Entrepreneur, Kyiv city,

+38 067 502 00 90

(signed)

13. Gytchenko Sergiy ―Zakon Slova‖

+093 581 42 17

(signed)

14. Lisovets Kateryna

Ivanivna

UkrTOP

+38 044 289 72 54

(signed)

15. Bondar Dmytro

Leonidovych

Department for IFI

Programs

16. Shyla Kyrylo

Anatoliyovych


17. Bykov Sergiy Ivanovych JSC ―Ukreximbank‖ (signed)

18. Butsko Yevdokiya

Mykhaylivna


19. Kapatsyn Lesia

Mykolayivna


20. Ivaschenko Vladyslav

Volodymyrovych


21. Safronova Iryna

Mykolayivna


22. Anilovska Olga Igorivna JSC ―Ukreximbank‖ (signed)

35

23. Ganenko Maryna

Viacheslavivna


24. Levchenko Antonina

Olegivna


25. Lisovenko Vitaliy

Vasyliovych

JSC ―Ukreximbank‖

26. Glazkov D.S. World Bank

27. Hudiyash S.V. JSC ―Ukreximbank‖ (signed)

28. Hrebet V.G. JSC ―Ukreximbank‖ (signed)

[Translator’s comment: All table items are hand-written]

Head of the hearings (signed) Hudiyash S.V.

Secretary of the hearing (signed) Levchenko A.O.

36

Annex 5 - Log of phone calls

Log of phone calls and requests to the Department for IFI Programs of JSC

“Ukreximbank” with regard to the preparation of the public hearings on the

Environmental Assessment Framework Document

10 phone calls received in total.

4 emails received at [email protected]

1. Oct. 02, 2010

Phone call

Molchan Anatoliy Mykolayovych

Chief Engineer at the municipal district heating company

Olexandriya town

Cell: +38 067 520 86 93

General inquiries regarding the public hearings

2. Sep. 06, 2010

Phone call, email

Kryvolap Kyrylo Kostiantynovych

Deputy Head of the Investment and Scientific Policy Department –

Head of the Section for Investments


Tel.: +38 044 206 31 12 (ext. 1036)

[email protected]

35, Urytskogo Str., Suite 705, the city of Kyiv

www.menr.gov.ua

Environmental friendliness/compatibility criteria and the presentation of E5P were sent

Question: ―What is a ―big‖ or ―small‖ project for ―Ukreximbank‖ and what is the overall

mount of the program?‖

3. Sep. 08, 2010

Phone call, email

Olena Gavaga

Joint venture ―Ukrinterm‖

Tel.: +38 04563 6 45 14, 6 14 25

[email protected]

www.ukrinterm.com.ua

Questions re. the public hearings, registration and the Energy Efficiency Project.

4. Sep. 08, 2010

Phone call

Deputy Minister of Health of Ukraine

Question: ―Who should be invited to the public hearings?‖

5. Sep. 09, 2010

Phone call


Tel.: +38 044 206 33 11

37

Cell: +38 095 749 24 77

Question: ―Who are invited: finance specialists or environmental protection specialists?‖

6. Sep. 15, 2010

Fax

State Environmental Inspection


Registration for the public hearings

7. Sep. 16, 2010

Phone call


Bila Tserkva town

Olena Gavaga

Tel.: +38 04563 333 97

Questions on the public hearings agenda, clarifications regarding the timing and venue

8. Sep. 17, 2010

Phone call


Bila Tserkva town

Liudmyla Thorovska

Cell: +38 050 732 05 87


9. Sep. 21, 2010

Phone call

Sergiy Olexiyovych Gitchenko

Director of the legal firm ―Zakon Slova‖

Cell: +38 093 581 42 17

He registered himself for the public hearings and:

Nikolayeva Oxana Mykolayivna

Director of the Fuel and Energy Department

All-Ukrainian non-governmental organization

―Gospodari zemli‖

Cell: +38 067 270 05 85

Kotov Olexandr Volodymyrovych, an entrepreneur

Garitova Olena Volodymyrivna, an entrepreneur

10. Sep. 21, 2010

Fax

Subsidiary ―Design Institute ―KYIVSKYI PROMBUDPROEKT‖

State JSC ―Construction Company ―UKRBUD‖


11. Sep. 23, 2010

Phone call

Shkrebtiy Oxana Olexandrivna

Chief Specialist

Section of Expert Assessment of IFIs Projects and International Technical Assistance

Department for International technical Assistance and Cooperation with IFIs

Ministry of Economy of Ukraine

38


12. Sep. 23, 2010

Email

Liudmyla Thorovska

Joint venture ―Ukrinterm‖, LLC

[email protected]

Questions re. the registration for the public hearings and availability of information on

requirements to enterprises participating in the Energy Efficiency Project

13. Sep. 27, 2010

Phone call

Kryvolap Kyrylo Kostiantynovych who registered for the public hearings

Deputy Head of the Investment and Scientific Policy Department –

Head of the Section for Investments


Tel.: +38 044 206 31 12 (ext. 1036)

[email protected]

35, Urytskogo Str., Suite 705, the city of Kyiv

www.menr.gov.ua

39

Annex 6 – Invitation Published at UkrEximBank website and EAFD Published

40

41

42

43

44

Annex 7 - Registrations to Public Consultations and Questions

Public Hearings –

FROM: ―oksana‖ [email protected]

TO : [email protected]

DATE: 09.23.2010 12:35

Subject [SPAM] RE:

Ministry of Economy of Ukraine nominate Shkrebtiy Oksana Oleksandrovna – lead specialist,

Expertise of International Financial Organizations projects and International Technical

Assistance Division, Department of International Technical Assistance and Cooperation with

IFO for Public Hearings participation.

With kind regards.

mailto:[email protected]


45

FROM: public hearings

TO : Krivolap

DATE: 09.06.2010 2:33

Subject: re: MoEP

Kyryl, thank you for your question, but at the present moment we cannot surely give you the

answer concerning a volume of program and projects, the reason is that everything is under

preparation and negotiation stage with the World Bank.

>>>Kryvolap Kyryl [email protected] 09.06.2010 13:06>>>

I would like to send you criteria of assessment of ―ecology‖ of energy efficiency projects, which

are approved by MoE. May be, soon we would get the second version of such document with

more detailed formula, but the principles are remain the same.

Also, I would like to send you a presentation of the E5P program, for you to understand – in the

framework of what such criteria have been developed by MoE. At the last pages you can notice

that the World Bank group also is in the donors list.

Additional, I would like to ask you, what is for UEB ―small‖ or ―big‖ project and what volume

has a program.

With regard,

Kryvolap Kyryl Kostyantynovich

Ministry for Environmental Protection of Ukraine

Deputy Head, Investment and Scientific Policy Management Department

Head of Investment Division.

044 206 31 12 (ext 1036)

[email protected]

Kyiv, Urytsky St. 35, apr 705

www.menr.gov.ua



http://www.menr.gov.ua/

46

Public Hearings –

FROM: Elena Gavaga <[email protected]>


DATE: 09.08.2010 10:51

Subject [SPAM] request:

Good afternoon!

I would like to ask you to provide us with a Framework document with Environmental

Assessment and related documents to the public hearings to be held in September 28th

, 2010 to

this email [email protected]

With kind regards,

―Ukrintem‖

Tel: 04563 6-45-14, 6-14-25

www.ukrintem.com.ua

FROM: <[email protected]>


DATE: 09.23.2010 16:24

Subject [SPAM] Energy Efficiency project. Public Hearings

>>>[email protected]>23. 09.2010 13:46

Hello! When preparing for participation in the Public Hearings some questions arose. If possible,

please answer them.

1. What kind of specialists should (can) attend the Public Hearings?

2. Program of the above activity.

3. Will information on the requirements to companies–participants in the Energy Efficiency

Project be presented (e.g. as a package of documents or electronically)?

Best regards,

Lyudmyla

Company ―Ukrinterm‖

_________________________________________________________________________

From: Public Hearings

To: [email protected]

Date: Thursday, September 23, 2010 5:11

Topic: Reply: Energy Efficiency Project. Public Hearings

Dear Lyudmila,

Thank you for your interest in Public Hearings. Here are the answers to your questions in the

order we have received them:

1. You can nominate a representative to take part in the Public Hearings at your discretion.

2. The Program of the Public Hearings provides for discussion of a framework

environmental assessment document under the Energy Efficiency Project which is a

jointly implemented with the World Bank.



http://www.ukrintem.com.ua/




47

3. Information about requirements to companies taking part in the project will be presented

in the report only partially since some of the requirements are still being discussed.

Please, note that the deadline for registration for the Public Hearings is today, September 23,

2010.

In response to Stock-company ―Ukreksimbank‖

Good afternoon!

I would like to ask you to provide us with a Framework document with Environmental

Assessment and related documents to the public hearings to be held in September 28th

, 2010 to

this email [email protected]

With kind regards,

―Ukrintem‖

Tel: 04563 6-45-14, 6-14-25

www.ukrintem.com.ua


http://www.ukrintem.com.ua/

48

State Joint stock company “Construction Company “UKRBUD”

Subsidiary Company

“Design Institute “KYIVSKYI PROMBUDPROEKT”

1, M. Kotsiubynskogo Str., Kyiv, 01030

Tel.: (+38 044) 234-40-14, fax: (+38 044) 239-74-62

Email: [email protected]

http://www.prombudproject.kiev.ua

Ref. no. 09-01/283 of Sep. 14, 2010

Section for Energy Efficiency Programs

JSC “The State Export-Import Bank of Ukraine”

For the participation in the public hearings on the Environmental Assessment Framework

Document we ask to register the following representatives of the Institute:

- Yaroschuk Stepan Volodymyrovych (Chief Engineer);

- Mykytiuk Vsevolod Volodymyrovych (Head of the Department for Territories

Problems and Environmental Protection).

(signed)

V.V. Yefimchuk

Director

Executed by:

Mykytiuk V.V.

(+38 044) 235-62-21

(+38 097) 571-57-57

49

MINISTRY OF ENVIRONMENTAL PROTECTION OF UKRAINE

STATE ENVIRONMENTAL INSPECTION OF UKRAINE 3, Novopecherskyi Provulok, building 2, Kyiv, 01042

Tel./fax: (+38 044) 521-20-40, tel.: (+38 044) 521-20-56

Email: [email protected]

Ref. no. 8-7/732 of Sep. 15, 2010

Section for Energy Efficiency Programs

JSC “The State Export-Import Bank of Ukraine”

Re.: Participation in the public hearings

The State Environmental Inspection of Ukraine has considered the invitation letter of JSC

―Ukreximbank‖ and informs as follows.

Tsymbal Olesia Valeriyivna, a chief specialist at the section for analysis, planning of

inspection activities and community affairs, will take part in the public hearings on the draft

Environmental Assessment Framework Document to be held at the office of JSC

―Ukreximbank‖ on September 28, 2010.

P.B. Zhyla

Head

Executed by:

(+38 044) 521 20 60

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