Frank van Woerden, Senior Environmental Engineer Alan David Lee, Energy Specialist Safeguards...

Frank van Woerden, Senior Environmental EngineerAlan David Lee, Energy Specialist

Safeguards Workshop National Electrification Project Myanmar NPT, November 5, 2014

Introduction to World Bank Safeguard Policies and Project Preparation

Safeguards Workshop NPT, November 5, 2014

Objective of this presentation2

Introduce World Bank Safeguard Policies (focus on management of Environmental and Social Impacts)

Review required actions for the National Electrification Project


Key messages3

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


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


5

Safeguards complement other requirements

Government of Myanmar

Laws and regulations on environment and social issues

World Bank Group• World Bank• International Finance

Corporation (IFC)

Safeguard Policiesfor public borrowers

Performance Standardsfor private borrowers


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


A project may not trigger all safeguard policies7

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


8

# Policy name

Environmental

4.01 Environmental Assessment

4.04 Natural Habitats

4.36 Forests4.09 Pest Management4.11 Physical Cultural Resources

4.37 Safety of Dams

Social

4.10 Indigenous Peoples

4.12 Involuntary Resettlement

Legal

7.50 Projects on International Waterways

7.60 Projects in Disputed Areas

The World Bank has 10 Safeguard Policies


9

# Policy name Triggered for NEP?*

Environmental

4.01 Environmental Assessment YES

4.04 Natural Habitats ?

4.36 Forests NO (?)4.09 Pest Management NO (?)4.11 Physical Cultural Resources YES

4.37 Safety of Dams NOSocia

l

4.10 Indigenous Peoples YES

4.12 Involuntary Resettlement YES (?)

Legal

7.50 Projects on International Waterways NO

7.60 Projects in Disputed Areas NO

Which safeguard policies does the NEP trigger?

*Triggered at concept stage


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

Environmental Assessment (# 4.01)


11Physical and cultural resources (# 4.11)


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

Involuntary Resettlement (# 4.12)


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

Indigenous Peoples (Ethnic Minorities) (# 4.10)


14World Bank project funding cycle

Project Concept Note (PCN) Review

Decision Meeting—Before Appraisal

DecisionPoints

Decision/Clearance—Negotiations

Board of Directors Approval

Conditions of Effectiveness

Project Information Document (PID) & Integrated Safeguards Data Sheet (ISDS)

Safeguard Reports or Drafts*

*Safeguard reports = Integrated Safeguards Data Sheet (ISDS); Environmental Assessment (EA); Resettlement Instruments (RI); Indigenous Peoples’ Development Plan (IPDP)

Updated PIDUpdated ISDS

Project Appraisal Document (PAD) and Legal Agreements after Approval

Status of IBRD/IDA Projects in Execution (SOPE)

Implementation Completion Report (ICR)

Independent Evaluation Group (IEG) reports

DisclosedDocuments

Strategy Identification Preparation Appraisal Negotiations

Effectiveness Supervision Completion Evaluation

Project Concept Note (PCN) Review

Decision Meeting—Before Appraisal

DecisionPoints

Decision/Clearance—Negotiations

Board of Directors Approval

Conditions of Effectiveness

Project Information Document (PID) & Integrated Safeguards Data Sheet (ISDS)

Safeguard Reports or Drafts*

*Safeguard reports = Integrated Safeguards Data Sheet (ISDS); Environmental Assessment (EA); Resettlement Instruments (RI); Indigenous Peoples’ Development Plan (IPDP)

Updated PIDUpdated ISDS

Project Appraisal Document (PAD) and Legal Agreements after Approval

Status of IBRD/IDA Projects in Execution (SOPE)

Implementation Completion Report (ICR)

Independent Evaluation Group (IEG) reports

DisclosedDocuments

Strategy Identification Preparation Appraisal Negotiations

Effectiveness Supervision Completion Evaluation


15Safeguard development process

Action Responsibility Project stage

1. Screen project World Bank Concept(Oct 2014)

2. Prepare safeguard instrument/s Government(with WB support) Project preparation

(Nov 2014-Mar 2015)3. Consult on instrument/s Government

(with WG support)

4. Approve instrument/s Government and WB Approval (Apr 2015)

5. Implement instrument/s Government, and all contractors / agencies Project

implementation(2015-2020)

6. Report on implementation Government and WB

7. Supervise implementation WB

8. Build Government capacity WB As needed throughout


16Institutional arrangements


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

Managing Safeguards in the NEP


18

1. Screen and Scope all sub-projectsEliminate 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

ESMF Procedures for Project Implementation


19

Poverty and Social Impact Assessment Social Assessment (ethnic minorities) Assessment of potential environmental

impacts Consultations

Inputs to ESMF


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

Key ESMF Elements


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?

Questions for discussion

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