Middle East and North Africa Region

The World Bank

Rural Development, Water and Environment Department

The Environment Cluster Team

A Guide for the

Preparation and Review of

Environmental Assessment Reports

October 2000

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 i THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 ii CONTENTS

INTRODUCTION i-vii

1 COMMISSIONING AN EA

1.1 INTRODUCTION 1.2 TIMING: EA AND THE PROJECT CYCLE 1.3 DEVELOPING TERMS OF REFERENCE 1.4 TOR PREPARATION: KEY ISSUES AND OUTPUT – THERMAL POWER 1.5 TOR PREPARATION: KEY ISSUES AND OUTPUT – ROADS AND HIGHWAYS 1.6 TOR PREPARATION: KEY ISSUES AND OUTPUT - SOLID WASTE MANAGEMENT 1.7 TOR PREPARATION: KEY ISSUES AND OUTPUT - WATER SUPPLY AND SANITATION 1.8 TOR PREPARATION: KEY ISSUES AND OUTPUT – IRRIGATION AND DRAINAGE 1.9 TOR PREPARATION: KEY ISSUES AND OUTPUT – AGRICULTURE 1.10 TOR PREPARATION: KEY ISSUES AND OUTPUT – FINANCIAL INTERMEDIARIES AND SOCIAL FUNDS

2 SECTORAL ENVIRONMENTAL ASSESSMENT

2.1 INTRODUCTION 2.2 FROM PROJECT LEVEL EA TO SECTORAL EA 2.3 BENEFITS OF SECTORAL EA 2.4 TYPES OF SECTORAL EA 2.5 TOR PREPARATION: KEY ISSUES AND OUTPUT FOR SECTORAL EA

3 PART B - REVIEWING ENVIRONMENTAL ASSESSMENT REPORTS

3.1 INTRODUCTION 3.2 COMPONENTS OF AN EA REPORT 3.3 HOW TO USE THIS CHAPTER

ANNEX I WORLD BANK ENVIRONMENTAL AND SOCIAL SAFEGUARD POLICIES ANNEX II MNA CORE SERVICES FOR ENVIRONMENTAL & SOCIAL COMPLIANCE OF SAFEGUARD POLICIES ANNEX III WORLD BANK GENERAL ENVIRONMENTAL GUIDELINES ANNEX IV MODEL TERMS OF REFERENCE ANNEX V MNA REGION COUNTRY COMMITMENTS TO INTERNATIONAL CONVENTIONS AND MEMBERSHIP ORGANIZATIONS

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 iii BOXES

Box 1.1 Introduction and Background for EA TOR Box 1.2 General Content of an EA Report Box 1.3 Key Output for EA of a Thermal Power Plant (in addition to Box 1.2) Box 1.4 Key Output for EA of Road or Highway Project (in addition to Box 1.2) Box 1.5 Key Output for EA of Solid Waste Management Project (in addition to Box 1.2) Box 1.6 Key Output for EA of Water Supply and Sanitation Project (in addition to Box 1.2) Box 1.7 Key Output for EA of an Irrigation and Drainage Project (in addition to Box 1.2) Box 1.8 Key Output for Project Level EA for an Agricultural Project (in addition to Box 1.2). Box 1.9 Key Output for Project Level EA for an FI Project, FI or SF (in addition to Box 1.2). Box 1.10 EMPs for Infrastructure Financial Intermediary sub-projects Box 1.11 EMPs for Social Fund sub-projects Box 2.1 World Bank Definition of Sectoral EA Box 2.2 General Content of a Sectoral EA Report

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 iv TABLES

Table 1.1 Example Mitigation Plan for small thermal power plant in region Table 1.2 World Bank general air and water ambient quality standards (from Thermal Power: Guidelines for New Plants and General Environmental Guidelines from the World Bank’s Pollution Prevention and Abatement Handbook) Table 1.3 General Monitoring program for a new gas fired combined cycle power plant. Table 1.4 Example Mitigation Plan for a new road project Table 1.5 General Monitoring program for a new road project Table 1.6 Example Mitigation Plan for new solid waste management facility Table 1.7 General Monitoring program for new solid waste management facility Table1.8 Example Mitigation Plan for wastewater treatment plant project Table 1.9 General Monitoring program for a wastewater treatment plant Table 1.10 Example Mitigation Plan for a drainage project Table 1.11 General Monitoring program for a drainage project Table 1.12 Example Mitigation Plan for potential issues associated with specific aspects of an agricultural project Table 1.13 Checklist for assessing FI capacity and legislative and regulatory framework and Corrective Action Plan Table 1.14 Requirements for preparation an FI Environmental Management System (EMS) Table 1.15 Potential Environmental impacts and proposed mitigation measures for different SF subprojects Table 1.16 SF sub-projects monitoring plan Table 2.1 Key Benefits of Sectoral EA Table 2.2 Key Issues and Themes in Sectoral EA Table 2.3 Likely Key Issues for Sectoral EA for Four Sectors in the MNA Region Table 3.1 Assessment Criteria

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 v INTRODUCTION

BACKGROUND

The World Bank published its first policies and procedures for environmental assessment (EA) of projects in 1989 and 1990 (OMS 2.36, Environmental Aspects of Bank Work and Operational Directive (OD) 4.01 Environmental Assessment and related and subsequent documents). The World Bank policies and procedures for environmental assessment and related matters were substantially revised in 1999 (Operational Policies (OP) 4.01, Environmental Assessment, and related annexes, Bank Procedures (BP 4.01) and Good Practice guidance (GP 4.01)).

Between 1989 and 1999 the World Bank published a number of supporting reports, studies and guidance documents pertaining to environmental assessment policies, procedures and practice. Of particular note for EA practitioners have been the EA Sourcebook (1991), the 26 published EA Sourcebook Updates, and the Environmental Guidelines published in 1988 and replaced in 1999 by the Pollution Prevention and Abatement Handbook. The latter two documents provide descriptions of the environmental issues typically associated with a number of specific industrial sectors as well as recommended emission, effluent and noise guidelines.

As a result there is a substantial body of information related to EA policies, procedures and practice. To develop a working knowledge of this extensive body of material can present a formidable challenge to the non-specialist charged with commissioning and/or reviewing an EA study and report for a specific project. This document was developed to address this problem and to serve as an initial guidance tool or “road map” for non-specialists carrying out the commissioning and/or review of an EA for certain types of projects in which the Bank is likely to be involved in the MNA region.

OBJECTIVES

The ultimate aim of this guide is to facilitate and improve a key element of the EA process, the commissioning and reviewing of EA studies and reports, which resulted in the title, A Guide for the Preparation and Review of Environmental Assessments. The guide is targeted for two main, non-specialist audiences: the task teams (TTs) in the Bank client country counterparts of the

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 vi Middle East and North Africa (MNA) region of the World Bank (WB). The guide was formulated to provide the user with the basic necessary information and understanding to plan, commission (including preparation of the terms of reference - TOR, and review an EA study and/or report. This guide will be available on the World Wide Web as well as the World Bank intranet at the MNA site (see Annex II for a listing of World Bank intranet addresses).

SCOPE OF THIS GUIDE

This guide consists of two parts:

 Part A focuses on the preparation of an EA report including environment management plans (EMPs) for seven sectors covered by investment operations in the MNA region. Guidelines were also prepared for project- specific and sector specific EA reports.

 Part B focuses on the review of the EA report by the environment cluster team in MNA or by the environment agencies in client countries. Both parts complement each other and should enable clients, operators and consultants to address the minimum EA requirements for the preparation of the EA report as well as the checklist and criteria which will be used by the MNA region and/or the client's regulatory agency for reviewing the EA reports.

This guide addresses only the EA study and report phase of the larger EA process. The EA study and report phase is often carried out by international consultants and typically involves 3 to 6 months of effort over a 4 to 9 month period. Whereas the EA process may last many years, beginning with the initial planning of the project 18-24 months prior to project approval by the Bank and ending with the completion of the Environmental Management Plan (EMP) several years after project completion.

This guide was based on World Bank operational policies OP 4.01 and publications including the Pollution Prevention and Abatement Handbook (1999), the EA Sourcebook (1991) and the EA Sourcebook Updates as well as selected TORs considered to be best practice at the World Bank. It was drafted primarily for projects that are classified as category “A” projects in accordance with OP 4.01. Much of the guide would also apply to projects classified as categories B and FI (Financial Intermediary).

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 vii The user of the manual should also be aware of the World Bank’s Environmental and Social Safeguard Policies in addition to OP 4.01, which are applicable to all World Bank projects (see Table 1). The full safeguard policies are included in Annex I of this guide. The ten safeguard policies have been introduced into Bank procedures with the intent to prevent or mitigate any harmful effects on the environment or vulnerable human groups which may result from a Bank-funded project or activity.

The guide is not comprehensive and does not replace the handbooks, guidelines and EA Sourcebook of the World Bank. It should be used as a “how to” guide for the preparation and review of the EA report and should not substitute for “common sense” as the basic criterion for the EA process.

Table 1 World Bank Environmental and Social Safeguard Policies

Operational Policy Number Title 4.01 Environmental Assessment 4.04 Natural Habitats 4.09 Pest Management 4.11 Cultural Property 4.20 Indigenous Peoples 4.30 Involuntary Resettlement 4.36 Forestry 4.37 Safety of Dams 7.50 Projects on International Waterways 7.60 Projects in Disputed Areas

HOW TO USE THIS GUIDE

Part A includes two chapters: Chapter 1 consists of guidelines for project- specific EA and Chapter 2 is for sector-specific EA. Part B consists of Chapter 3, a summary of the preparation of the EA report as well as the criteria and checklists for the review of an EA report.

The seven sectors covered in the guide are: 1. Power; 2 Roads and Highways; 3. Municipal Waste Management; 4. Water Supply and Waste Water; 5. Agriculture; 6. Irrigation and Drainage; and 7. Financial Intermediaries and Social Funds.

Part B also includes a section on Sectoral EA.

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 viii The guide consolidates into one chapter the basic skills required for the EA team, the likely major or key environmental and social issues typically associated with projects in the sector, a summary of the typical outputs expected in an EA of a project in the sector including environmental and social impacts, a generic environmental mitigation and environmental monitoring plans for the sector. The General Environmental Guidelines from the Pollution Prevention and Abatement Handbook are included in Annex A for easy reference. For Thermal power, the sector specific guidelines for emissions, effluents and noise from the Pollution Prevention and Abatement Handbook are provided in a table in the section.

The following steps are proposed for the best use of this guide for EA preparation for World Bank funded projects. These are based on the project cycle process within the Bank1. For additional sources of information and support, the user should refer to the MNA Core Services for Environmental & Social Compliance of Safeguard Policies in Annex II.

 Prior to the preparation of the project concept, an environment specialist assigned by the environment cluster team in MNA, will assist the task team (TT) in identifying the environmental issues which need to be addressed in this project on the basis of the guide, and any other relevant information, as well as agree on the content and schedule of the EA. Based on the project knowledge, an EA screening category will be agreed upon between the TT leader and environmental specialist.

 At the decision meeting of the Project Concept Document (PCD), the environment issues, environmental classification (A, B, C or FI) and requirements will be confirmed in the decision memorandum by senior management. The guide will also serve to define the necessary preparation arrangements for the EA, if required.

 After the PCD is issued, the TTL in consultation with the environment specialist will prepare a detailed TOR for the EA on the basis of the annotated TOR as well as the generic environment management plan included in each sector of the guide. For category A projects, and category B projects which are financed by IDA, the detailed TOR should be discussed and modified during the project scoping with the project beneficiaries, affected people and local NGOs.

1 The reader is also referred to the World Bank Africa Region’s Pocketbook on EA Management for the Africa Region for more detailed discussion of Bank procedures.

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 ix  Prior to project appraisal, a draft EA report would be submitted by the borrower on the basis of a detailed TOR modified during scoping. The EMP would include as a minimum the elements of the mitigating measures and monitoring indicators included into the guide.

 During the drafting of the Project Appraisal Document (PAD), the TTL and the environment specialist should ensure that the relevant environment issues and environment management plan (EMP) are summarized in the PAD and expanded in a PAD annex. Costs related to the implementation of the EMP should be included in the project financial table and reflected as appropriate in the procurement and disbursement sections of the PAD.

 During the preparation of the loan/credit agreements, the TTL and environment specialist will work with the country lawyer to incorporate the appropriate environment covenants and requirements to ensure the EMP implementation.

 During the preparation of the Project Implementation Plan (PIP) or Project Operation Plan (POP), the borrower would prepare the necessary implementation actions to follow on the mitigating and monitoring plans. This will be included as part of the progress report to be submitted by the borrowers in all World Bank financed projects.

 Public Consultation and Disclosure – The World Bank requires the borrower to consult project-affected groups and local NGOs for all Category A and B projects. For Category A projects the consultation should occur twice: shortly after the EA category is assigned and after the EA report has been completed. The disclosure and distribution (accessibility) of relevant information is mandatory for all A and B projects. The borrower must provide the information in a form and language that are understandable as follows: 1. For Category A projects the information must be made available prior to appraisal as follows:  At project scoping prior to the initiation of the EA study and again after the EA report has been prepared;  The borrower makes the EA report available at some public place accessible to official groups;  The Bank should obtain permission in principle for the release of the EA report to the Executive Directors of the Bank; and  The EA report (and Resettlement Action Plan if applicable) must be available to the public at the Bank’s Infoshop;

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 x 2. For Category B projects financed by IDA the requirements are identical as for Category A above; 3. For Category B projects financed by the World Bank (IBRD) for which a separate EA report is required (no time period given for the submission of the EA report) the EA report must be:  Available in a suitable public location in the borrowing country;  Available at the Bank Infoshop when received; 4. For Guarantee operations:  A or B report must be submitted before the end of appraisal;  For IBRD guarantee: A report at Infoshop 60 days before board date, B report 30 days;  For IDA guarantees same as loans above.

The following guidelines are proposed for the use of this guide during the review of an EA report:

 After the PCD, the relevant sections pertaining to the preparation of the EA in a specific sector in part A will be shared with the borrower’s implementing agency(ies), the national environment agency as well with the consultant which will prepare the EA.

 Prior to the EA preparation start up, the checklist and criteria proposed in part B should be tailored to the specific project and shared with the borrower’s implementation agency(ies), the national environment agency and the consultants.

 Prior to project appraisal, environment reviewers at the national environment agency and the environment cluster team would independently evaluate the EA report on the basis of the tailored checklists and criteria.

 During the appraisal mission, the environmental reviewers from the national environment agency and the World Bank will discuss the results of the EA report evaluation. If approved, the report should be endorsed by the national environment agency in accordance with the country’s EA legal requirement. If the report is deficient, the borrower’s implementing agency and the operator will be informed by the national environment agency which will share the result of the evaluation. An addendum to the EA report could be required to correct deficiencies.

Since no two projects are alike and EA processes differ among countries, it is expected that there will be variations and modifications in the preparation of the EA report and its review. Furthermore, as the regulatory framework, information disclosure requirements and enforcement capacity in the MNA

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 xi countries are relatively weak, the understanding and the applications of the requirements in this guide will not be straightforward and will take time. It is therefore planned that training materials will be developed and training courses will be offered to explain this guide and its use to both the task teams and environment specialists in the MNA countries. Under the Mediterranean Environmental Technical Assistance Program (METAP), financing from the World Bank Development Grant Fund (DGF) will be used to conduct training programs for the environment reviewers, private consultants, NGOs and environmental trainers for the eight countries of the Southern Mediterranean. In addition, the Regional Environmental Assessment Centre is being established in Tunis with the Centre International des Technologies de L’Environment de Tunis (CITET) under METAP. The aim of the Regional Environmental Assessment Centre is promote and develop environmental assessment expertise among all METAP countries.

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 xii ACKNOWLEDGEMENTS

The guide was prepared by Mr Reed Huppman, principal environment consultant at Environmental Resources Management, working directly with Sherif Arif and Nicole Glineur of the environment cluster team in MNA. Messrs/Mmes Aline Cabal, Tuyet Chuppe, and Allan Rotman from the environment cluster team in MNA also contributed. Many staff members of the environment family at the World Bank contributed also to the review and refinement of the materials. Special thanks are due to Messrs Jean-Roger Mercier and Rusdian Lubis who peer reviewed the document. This guide was financed from the Strategic Compact Fund allocated by the MNA Vice Presidency to the Rural Development, Water and Environment Department (MNSRE). Encouragement and support provided by Messrs/Mmes Doris Koehn (Director, MNSRE) Salah Darghouth (Sector Manager, MNSRE) and Anand Seth (Director, MNAVP) were particularly appreciated.

Sherif Arif Regional Environmental Coordinator Rural Development, Water and Environment Department Middle- East and North Africa Region The World Bank

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 xiii THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA, OCTOBER 2000 xiv 1 COMMISSIONING AN EA

1.1 Introduction

1. Part A provides guidance for commissioning an EA (and an Environmental Management Plan), including preparation of TORs. Chapter 1 covers the main sectors in which the World Bank is active in the region. These are:

1) Thermal Power; 2) Roads and Highways; 3) Solid Waste Management; 4) Water Supply and Sanitation (wastewater treatment); 5) Irrigation and Drainage; 6) Agriculture; and 7) Financial Intermediaries (FIs and Social Funds (SFs)).

2. Chapter 2 covers Sectoral EA.

3. As opposed to concentrating on the format of TORs, this guide focuses instead on the key issues and output of an EA report. For each of the above sectors, the requisite skills of the EA team and the likely key issues and outputs to be considered when preparing terms of reference (TOR) for an EA are described.

4. The issues and information needs described for the various sectors considered are fairly comprehensive in scope. However, it should be noted that for most World Bank projects in these sectors, a technical, engineering feasibility study will have been carried out or will be carried out in parallel with the EA. It is standard practice for the EA team and the consultants performing the technical feasibility study to coordinate and share information. Hence, much of the project information regarding technical specifications and details, design options and alternatives, as well as existing baseline or background conditions for the project will be a presented in the feasibility study. In such cases it may not be necessary or cost effective to duplicate all this information in the EA study or report.

The World Bank Guidebook for Preparation and Review of EA, October 2000 1 1.2 Timing: EA and the Project Cycle

1. The stages of the EA process that should occur in relation to the unfolding project cycle1 are shown in Figure 1. Note that ideally the process begins before a site is selected and continues throughout the project’s life via the Environmental Management Plan (EMP). The EA should be carried out before the completion of the final design(s).

2. With the caveat that every project is different, the time required for the preparation of a Category A EA report for a major infrastructure project in the above sectors is typically four to eight months. The review and approval process can add two to three months to the process. An EA report for a Category B project will typically require less time as the effort is focused on fewer issues. This time schedule is of course dependent on the type, scale, complexity and setting of the project, the timing and schedule of the feasibility study, and the availability and quality of baseline data. In some cases it may be necessary to gather several months to a year of baseline data before beginning the study for the EA report. It is important to incorporate the time required for baseline data collection into the overall planning and scheduling of the EA process and the planning and scheduling of the EA study and report. This latter component must also allot time for the tendering and commissioning of consultants to carry out the EA study and prepare the EA report.

1.3 Developing Terms of Reference

1. The TOR for an EA should state the purpose of the EA, provide background and guidance for the EA team, set the schedule and deliverables of the EA study and report, and serve as the contractual basis for commissioning the work. The necessary introduction and background information is described in Box 1.1.

2 2. The main content of this chapter consists of the following information ( ) for each of the seven sectors listed previously:

 requisite skills for the EA team;  likely key issues;  key outputs of the EA study and report;

1 While the World Bank project process is linear, it has traditionally been referred to as a cycle; to avoid confusion, we have used the familiar term project cycle in this document.

2 () Only the first three categories of information are applicable for EAs of Financial Intermediary and Social Investment Fund projects.

The World Bank Guidebook for Preparation and Review of EA, October 2000 2  applicable World Bank standards or guidelines for the sector;  example Environmental Management Plans (EMPs); and  example environmental monitoring programs.

Environmental Project Cycle Assessment

Identification Screening No EA Required

Pre-Feasibility Scoping and Study Public Consultation

Preparation Feasibility Study Terms of Reference EA Team Selection

Project Planning EA Preparation and Detailed  examine alternatives; Design  assess impacts;  prepare mitigation, management and monitoring plans

Appraisal Project Appraisal Review EA Report and Public Consultation

Negotiation Loan Negotiation Incorporate environmental Loan Approval provisions in loan documents

Implementation Monitoring Project Environmenta Implementation l Quality and Supervision Monitoring Mitigation Measures

Evaluate EA Evaluation Implementation Report Completion Report Evaluate Figure 1 EA and the Mitigation Plan The World Bank Guidebook for Preparation and Review ofProject EA, October Cycle 2000 Evaluate Performance Audit 3 and OED Institutional Evaluation Capacity Additional reference material is included in the Annexes:

 Annex I contains summaries of the 10 World Bank Environmental and Social Safeguard policies;

 Annex II contains the MNA Environmental Cluster Unit’s informational brochure for listing the review process, sources of information, and the staff in the department;

 Annex III contains the General Environmental Guidelines from the World Bank’s Pollution Prevention and Abatement Handbook which apply to all of the sectors addressed except for Thermal Power. For Thermal Power, a table providing emission, effluent, and noise guidelines from Guidelines for Thermal Power Projects, is presented in the section;

 Annex IV contains two “best practice” TORs. One is a TOR for a solid waste project and the other for a thermal power plant. These are included to provide guidance regarding structure, format and level of detail in a TOR. When preparing a TOR on the basis of this guide, the user should refer to the information herein for the appropriate sector as well as the sample TORs in Annex IV. For further detail and guidance, the user should refer to the World Bank’s policy, procedures and practices for Environmental Assessment (OP/BP/GP 4.01), March 1999 and the World Bank’s EA Sourcebook; and

 Annex V contains a listing the MNA Region country commitments to international environmental conventions and membership organizations.

The World Bank Guidebook for Preparation and Review of EA, October 2000 4 Box 2.1 Introduction and Background for EA TOR

In addition to the description of the information required in the EA report, the TOR will need to include background information on the proposed project. This should be supplied within the TOR under the following headings:

Introduction

State the purpose of the EA, identify the development to be assessed, and explain the executing arrangements for the EA.

Background

This section should include information pertinent for potential parties who may conduct the EA, whether they are consultants or government agencies. This would include:

 a brief description of the major components of the proposed project  a statement of the need for the project and the objectives it intends to meet  the implementing agency  a brief history of the project, including alternatives considered  its current status and timetable  a brief description of any associated projects

If this information is not available, the client, the consultant will likely have to undertake a scoping exercise that would be outlined under a different TOR.

4. The key issues and examples of output presented in the remainder of this guide for TOR preparation are intended for guidance only and are by no means a comprehensive summary of the issues potentially associated with a real project. In the majority of cases, the key issues are dictated by local and site specific characteristics that can not be anticipated or addressed in a general document of this type. Furthermore, in some cases it may be necessary to revise or amend the TOR during the EA process, especially at scoping, because of new information and/or project design changes.

5. The World Bank’s EA reporting structure is used as the basis for organizing the key output information presented for the eight sectors in the remainder of this chapter. The World Bank EA report structure has seven parts:

 Section 1 - Executive Summary  Section 2 - Policy, Legal and Regulatory Framework  Section 3 - Project Objectives and Description  Section 4 - Baseline Data  Section 5 - Environmental Impacts

The World Bank Guidebook for Preparation and Review of EA, October 2000 5  Section 6 - Analysis of Alternatives  Section 7 - Environmental Management Plan

6. Box 1.2 presents general descriptions of the expected content for each of the above sections applicable to all sectors. Additional information specific to the eight sectors is presented in the remainder of this chapter.

Box 2.2 General Content of an EA Report

Executive Should be designed to be a consultation document and should be available in the Summary: language most used by the project stakeholders and English. It should contain a concise statement of the project objectives and a brief project description in addition to a description of key project findings and recommendations for environmental management.

Policy, Legal, In some MNA countries EA legislation is in the process of development or awaits and formal adoption. These countries may, nevertheless, operate according to a Administrative “voluntary” standard procedure, and the requirements of this should be described, Framework: including a brief description of the permitting and licensing procedures. Summaries of the requirements of any co-financing institutions should also be included. If transboundary impacts are likely, relevant international conventions should be described (a list of International Conventions and MNA country signatories is supplied in Annex V).

Tables should be used to list applicable standards and note which authorities are responsible for their application. Where there are no relevant local standards, suitable international norms may be used (see World Bank guidelines and standards in Annex III).

Project This section should describe the need for the project in the context of the local and Objectives and national situation and strategy. The effect on economic and social development Description: goals of the locality, country and region should be described. If the project is an element of an overall development program in the area, then a description of the other program elements must be presented.

A physical and engineering description of the project should be provided.

Baseline Data This section should include descriptions of the area of influence or study area (which should be determined at initial scoping) and the relevant physical, biological and socioeconomic conditions. This should include any topics falling under the safeguard polices of the World Bank (see Introduction and Annex I). The data presented should be relevant to decision making regarding project location, design, operation, and mitigation measures for adverse impacts. The source, accuracy and reliability of the data should be clearly stated. Appropriate baseline data is not always readily available. It may be necessary to initiate a monitoring program for collection of baseline data prior to initiating the formal EA study. Many countries will have meteorological data and in most cases relatively inexpensive field investigations can provide much of the remainder. Where more detailed information is required (if significant effects on an important natural or cultural resource are anticipated, for example) there will often be

The World Bank Guidebook for Preparation and Review of EA, October 2000 6 previous studies of local conditions prepared for international agencies. There may also be unpublished information in government departments, universities, PhD theses, or voluntary groups. These should be investigated and used where relevant, provided that the sources, and any assumptions or uncertainties in the data are documented.

The World Bank Guidebook for Preparation and Review of EA, October 2000 7 Environmental A prediction of the changes in the environment resulting from project construction Impacts: and operation are to be considered, and an assessment of the effect on the surrounding physical, biological, and human systems, should be presented. This should include positive as well as negative impacts. Mitigation measures should be identified as well as any negative impacts for which there are no mitigative measures. This section should also identify and estimate the extent and quality of available data, key data gaps, and uncertainties associated with predictions, and specific topics that do not require further attention.

Analysis of This section should provide a brief description of possible alternatives to the Alternatives: project/project design (including the ‘no action’ alternative). These may include alternative location, site layout, technologies, design options, and management systems.

The reasons why the various alternatives considered were rejected should be documented.

Environmental This section should include details of the management initiatives to be Management implemented during both the construction and operational phase of the project. Plan: The EMP should have three main components:

 Institutional capacity issues;  Environmental mitigation implementation program; and  Monitoring program.

Responsibilities, implementing agencies or consultants, costs and sources of funds should be specified. Costs for EMP implementation typically range between ½ to 5% of project costs, though in some special cases costs may be higher. Higher costs are typically associated with projects involving large scale resettlement.

The standards, guidelines or targets for performance measurement for the monitoring program should be specified as well. This may include social economic measurements in cases where re-settlement is required. Performance standards are typically based on national legislation and the guidelines contained in the World Bank’s Pollution Prevention and Abatement Handbook.

The World Bank Guidebook for Preparation and Review of EA, October 2000 8 The World Bank Guidebook for Preparation and Review of EA, October 2000 9 1.4 TOR Preparation: Key Issues and Output – Thermal Power

1.4.1 Required Expertise

1. The consulting team should have:

 General EA experience;  Environmental specialists;

2. And expertise in the following areas:

 Environmental aspects of thermal power technology and engineering;  Environmental modeling, specifically air quality modeling, ideally in the power project context; and  Social assessment and public participation.

1.4.2 Key Issues

1. EA is generally required for all thermal power station projects where the plant capacity exceeds 50 MW. Thermal plants burn oil or gas in the MNA region, not coal, so the issues of sulfur removal, high particulate emissions, and fly ash disposal, often the key environmental problems associated with solid fuel plants elsewhere, are usually of lesser importance. For a more detailed discussion of the issues see the Pollution Prevention and Abatement Handbook: Thermal Power – Guidelines for New Plants and Thermal Power – Rehabilitation of Existing Plants.

2. Key issues in the MNA region for EA of a thermal power project typically are:

Air Quality:

 Thermal power plants emit large quantities of atmospheric pollutants.

 The major parameters of concern are nitrous oxides (NO2) and sulfur

dioxide (SO2) and Particulate Matter less than 10 microns in size (PM10).  World Bank guidelines for emissions are based on ambient conditions, with stricter emission requirements for airsheds with poor ambient air quality.  Ambient air quality is poor in most urban centers due to motor vehicle and other emissions, but good monitoring data is often unavailable.  Availability of appropriate baseline air quality monitoring data should be determined early in project planning; if available data is inadequate, a data

The World Bank Guidebook for Preparation and Review of EA, October 2000 10 collection program should be initiated as early as possible in the project cycle.  Measures to mitigate and/or minimize emission impacts should be incorporated in project planning and design.

The World Bank Guidebook for Preparation and Review of EA, October 2000 11 Water Quantity and Quality

 Thermal power plants require large volumes of water for cooling (although this need not be potable water, i.e., seawater at coastal sites).  Resource and allocation issues including the origin of coolant water, the effects of abstraction on the source and on other users must be clearly understood and managed.  Coolant will usually be treated to prevent biological growth and will be discharged at higher than ambient temperature.  The water temperature (and to a lesser extent quality) impacts of the discharge of the coolant water back into the environment must be clearly understood and managed.  Availability of appropriate baseline water quantity and quality data should be determined early in project planning; if available data is inadequate, a data collection program should be initiated as early as possible in the project cycle.

Land Use and Siting:

 Power plants require land for the plant site as well as corridors for supply roads and transmission lines  Depending on airshed characteristics and topography, siting may be a key factor in managing the air quality impacts of new plants  Prime development land is a limited resource, and plant and associated facility siting may require resettlement of populations, both of titled land holders and squatters  Siting and land take issues related to public health and safety include buffers or set backs for safety zones and noise abatement

Public Consultation

 Public consultation has not traditionally been strong in the MNA region. It is important that EA for all projects take the necessary measures to ensure adequate public consultation with all stakeholders including project affected people and NGOs.  Gender and communication issues must be carefully considered and incorporated in the design of public consultation exercises and in the dissemination of project information (see EA sourcebook Updates).

1.4.3 The EA Study and Report

1. Consultants are required to carry out an EA study and prepare an EA report according to the standard EA format of the World Bank:

The World Bank Guidebook for Preparation and Review of EA, October 2000 12  Executive summary  Policy, Legal, and Administrative Framework  Project Objectives and Description  Baseline Data  Environmental Impacts  Analysis of Alternatives  Environmental Management Plan

2. The general requirements for the above are described in the introduction to this chapter, Box 1.2 (for additional details see the World Bank’s OP/BP/GP 4.01 Environmental Assessment at the World Bank). Specific aspects, which should be addressed in an EA of a thermal power project are provided in Box 1.3.

Box 2.3 Key Output for EA of a Thermal Power Plant (in addition to Box 1.2)

Project Objectives The project description should describe the airshed and watershed (surface and and Description: groundwater) where the project is located. In addition, this section should describe the need for and target consumers of the power in the context of the local and national electricity supply strategy. The effect on economic and social development goals of the locality, country and (where electricity is being transported through or sold to neighboring countries) region should be described. If the project is an element of an overall power development program in the area, then a description of the other program elements must be presented. A physical and engineering description of the project should be provided including at least the following:  Fuel type, characteristics, source, location, transport, storage;  Heat of combustion, content of sulfur, ash, carbon, and hydrogen;  Worker health and safety;  Power cycle, boiler type, cooling cycle, water balance;  Solid waste management systems;  Associated infrastructure.  Activities during construction and operation;  Hazardous wastes (generation, handling, storage, disposal);  Noise; and

 Global impacts (CO2 and other greenhouse gases).

Policy, Legal, and In addition to the general information described previously, this section should include: Administrative  Policy, laws, guidelines, institutional responsibilities and regulatory framework for Framework: the energy or power sector  Descriptions of any relevant ongoing monitoring programs

Baseline Data: This section should describe The key categories of data needed for a thermal power plant EA include the following:  Meteorological data including wind speed and direction, temperature and dominant seasonal patterns;  Flow data for water resources to be used or discharged to;  Data on other users of the water resource;  Ambient air quality in the airshed affected by the proposed plant;

The World Bank Guidebook for Preparation and Review of EA, October 2000 13  Ambient water quality for surface waters;  The surrounding land uses and any natural or heritage areas;  Emissions from any major sources of pollution within the area; and  Noise.

The World Bank Guidebook for Preparation and Review of EA, October 2000 14 General meteorological data is often available, but the baseline data required for air emission impact modeling may not be available. Data availability and suitability for air, water and noise should be determined early in the project planning; if the data is not sufficient monitoring programs to collect the data should be initiated a soon as possible.

Environmental For a thermal power project, the EA should pay particular attention to: Impacts:  Air quality and emissions (baseline emissions data should be used in a standard dispersion model to estimate impacts under different design assumptions). If transboundary pollution is an issue (particularly where international agreements have been ratified) long range transport models should be used to demonstrate the nature, magnitude, and location of any impacts;  Hydrology (describe any changes to the water balance which may be introduced with the power station cooling cycle);  Water quality (should describe effluent discharges from the facility and their ultimate fate);  Industrial risks and Emergency Response (i.e., risks of fire or explosion depending on fuel type and source/storage);  Occupational Health and Safety for workers;  Socio-economic impacts should include an assessment of changes to demographics (including increased burdens on social services and/or existing infrastructure), land use and land use plans, water resources, economy, (include indirectly through multiplier effects), and cultural resources.

Analysis of A brief description of possible alternatives to the project/project design (including the Alternatives: ‘no action’ alternative). These may include demand side management, alternative location(s), site layout, fuels, power generation technologies, water supply and intake, waste discharge, and management systems. The reasons why the various alternatives considered were rejected should be documented.

Environmental Institutional Component Management Plan:  Institutional responsibilities for environmental management of power sector  Responsibilities for emission monitoring, reporting and enforcement

Environmental Mitigation Plan Table 1.4.1 presents the key aspects of the mitigation plan for a small, diesel driven thermal power plant in the region.

Environmental Monitoring Plan Monitoring should aim toward achieving the optimal operation performance as consistently as possible. This will require maintaining the combustion temperature and

excess oxygen level within the optimal band in which PM and NOx emissions are minimized simultaneously. Monitoring should address both emission and ambient levels of pollutants where these may be detrimental to human health.

Table 1.4.2 presents general ambient quality standards, however the figures presented are ambient guidelines only and in no way substitute for a country’s quality standards. Furthermore they do not adhere to plant specific characteristics or to the World Bank guidelines for establishing stricter emission levels in response to local

The World Bank Guidebook for Preparation and Review of EA, October 2000 15 ambient conditions (see Thermal Power: Guidelines for New Plants, from the World Bank Pollution Prevention and Abatement Handbook).

Table 1.4.3 presents monitoring parameters and recommended frequency for a combined cycle plant burning natural gas.

Table 2.1 Example Mitigation Plan for small thermal power plant in region

Issue Mitigating Measure Responsibility Time or Cost Requirements Institutional

Environment Ministry capacity EA includes a TOR for assistance Government 6 week consultancy for managing the environmental project to strengthen the ministry’s for development of components of the project was capacity to manage issues and training materials assessed to be limited. monitoring in the energy sector as and delivery of well as to procure necessary training equipment. Air Quality

Available baseline air quality Initiate air monitoring program in Ministry of 3 month was limited which limited site vicinity to collect pre-operation Environment with consultancy confidence air modeling results baseline, measure plant impacts support of though there is reasonable when plant comes on line, and to international confidence in results develop database for future energy consultant projects

Design stack height of Increase stack height to 25m, National Electric insufficient height to meet pending outcome of additional Company – to be To be determined requirements of World Bank air modeling with new ambient air included in contract quality guidelines based on quality data to be collected – Contractor modeling

Water Quantity and Quality

Water consumption Add evaporative, recirculating National Electric To be determined cooling system to plant design Company

Oily waste management Develop simple oil waste National Electric $20,000 study; management procedures for Company with implementation cost collection, handling and recycling or support or to be determined proper disposal international pending study consultant Land Use and Siting

Noise exposure to existing Implement agreed external noise National Electric To be determined; residential community abatement recommendations to Company – to be check with local reduce noise exposure included in final ISO 14,000 contract- requirements Contractor

The World Bank Guidebook for Preparation and Review of EA, October 2000 16 The World Bank Guidebook for Preparation and Review of EA, October 2000 17 Table 2.2 World Bank general air and water ambient quality standards (from Thermal Power: Guidelines for New Plants and General Environmental Guidelines from the World Bank’s Pollution Prevention and Abatement Handbook)

Monitoring Parameter Maximum Value

Ambient Air 24 hour average (µg/m3) Annual arithmetic mean (µg/m3)

PM10 70 50 sulfur dioxide 125 50 nitrogen dioxide 150

Water milligrams per liter (mg/L)

PH 6-9 total suspended solids 50 oil and grease 10 total residual chlorine1 0.2 chromium (total) 0.5 copper 0.5 zinc 1.0 iron 1.0 temperature increase at the edge of less than or equal to 30C the mixing zone2 Receptor Decibels Noise Industrial/commercial

70 Residential/institutional:  Day 55  Night 45

1: So-called ‘chlorine shocking’ may be preferable in certain circumstances. This involves using high chlorine levels for a few seconds rather than a continuous low level release. The maximum value is 2mg/L for up to 2 hours, not to be repeated more frequently than once in 24 hours, with a 24-hour average of 0.2mg/L (the same limits would apply to bromine and fluorine).

2: The effluent should result in a temperature increase of no more than 3 degrees Celsius at the edge of the zone where initial mixing and dilution takes place. Where the zone is not defined, use 100 meters from the point of discharge where there are no sensitive aquatic ecosystems within this distance.

The World Bank Guidebook for Preparation and Review of EA, October 2000 18 Table 2.3 General Monitoring program for a new gas fired combined cycle power plant.

Item Monitoring Sampling Frequency: Monitoring Locations: Parameters: Baseline A baseline monitoring program may be required if existing data is insufficient for decision making; such a program may be more rigorous than the construction and operation monitoring programs.

Construction Phase Air Quality Particulate matter Every 2 to 4 weeks 4 locations minimum: at nearest residences and site boundary

Noise Decibels (dB) Weekly 6 locations minimum: at nearest residences

Vibration Weekly

Water Quality oil and grease Daily At all discharges including run-off

Total Suspended Solids Daily At all discharges including run-off and waste water discharges BOD Weekly At waste water discharges

Total and fecal coliform Weekly At waste water discharges

Total ammonia Weekly At waste water discharges

Operations Phase Air Quality  Coal and Oil Fine particulate matter Continuous and/or 24 hour average 2. 1 km Upwind and downwind Plants Sulfur dioxide Continuous and/or passive samples 2 continuous / 10 passive Nitrogen dioxide every 2/4 weeks 2 continuous / 10 passive Continuous and/or passive samples Every 2/4 weeks Metals (in soils) Survey every 1-5 years 10 -15 soil samples

 Gas Plants Sulfur dioxide Continuous/passive - 2/4 weeks Nitrogen dioxide Continuous/passive -2/4weeks

Noise Bi-annually to annually 6-10 sites at nearest residences around the plant

Water Quality of Biological Oxygen Weekly At waste water discharges discharged water Demand Total and fecal Weekly At waste water discharges cloakrooms Total ammonia Weekly At waste water discharges

The World Bank Guidebook for Preparation and Review of EA, October 2000 19 Item Monitoring Sampling Frequency: Monitoring Locations: Parameters: PH Continuous with alarm In discharged water Temperature Continuous with alarm In discharged water oil and grease Daily In discharged water Total residue chlorine Daily In discharged water Total Suspended Solids Daily In discharged water and waste water discharges Suite of heavy metals Monthly In discharged water including copper, iron, zinc as a minimum) Seasonal At edge of mixing zone Temperature increase at the edge of the mixing zone

The World Bank Guidebook for Preparation and Review of EA, October 2000 20 1.5 TOR Preparation: Key Issues and Output – Roads and Highways

1. The consultants should have:

 Experience with EAs of roads and highways and/or other corridor projects;  Terrestrial ecology (wildlife, plant and conservation ecology);  Hydrology, sediment and erosion control in arid regions/desertification issues;  Social assessment and public participation.

1.5.2 Key Issues

1. EA is generally required for all-new construction or major upgrading of highways or rural roads. In addition, EA may also be required for rehabilitation or maintenance of highways or rural roads.

2. There is a growing awareness that road development has major environmental impacts. Road developments can damage sensitive ecosystems and lead to the loss of productive agricultural lands. In addition socio- cultural impacts include the resettlement of large numbers of people, permanent disruption of local economic activities, the destruction of important cultural heritage sites, demographic change, accelerated urbanization, and the introduction of disease to previously remote areas. Roads may also cause long term secondary impacts to the regions they pass through from improved access; the follow on impacts may include in- migration and settlement, natural resource exploitation, and commercial development to service travelers and new residents.

1. Key issues in the MNA region will usually include:

Land Use and Siting (Ecological, Socio-economic and Cultural Heritage Issues)

 Desertification: roads planned for rural or desert areas may be routed through sensitive or fragile soils where there is a high potential for permanently destroying or displacing natural vegetation and its beneficial

The World Bank Guidebook for Preparation and Review of EA, October 2000 21 effects, thereby initiating long term accelerated erosion problems; the potential for desertification will need to be recognized and mitigation measures taken accordingly.  Road widening or upgrading projects in urban areas will often involve permanent displacement of landowners and squatters.  New road construction in rural areas may take agricultural land or interfere with movements of itinerant herders.  Properties newly adjacent to a planned road can decline in value (or conversely increase in value if suitable for commercial use).  The region is rich in archaeological sites of major local and international importance, and any rehabilitation of existing roads or development of new routes will need to take careful account of the potential damage to such sites.

 Roads create noise from traffic, which can significantly affect quality of life in a neighborhood.

Surface Hydrology

 Roads by necessity alter drainage patterns and increase impervious surface area, which serves to increase net run-off and therefore exacerbate erosion and other natural processes. In conjunction with infrequent heavy rains, a road project may exacerbate flash flooding conditions unless mitigation measures for such rare events are incorporated in project design.

Air Quality

 Road construction operations can generate considerable quantities of dust; however, in an arid or semi-arid region where dust conditions are naturally high and water a precious resource, standard mitigation measures such as sprinkling earthen roads may not be feasible.  Vehicular traffic can generate great quantities of emissions including sulfur dioxides, nitrogen oxides, carbon monoxide and, where lead fuel is in use, lead. However, where a new road or road widening project is intended to relieve congestion and improve traffic flow, the impact may be a net local decrease in emissions generated, at least until traffic levels increase past capacity once more.

The World Bank Guidebook for Preparation and Review of EA, October 2000 22 Public Consultation

 Public consultation has not traditionally been strong in the MNA region. It is important that EA for all projects take the necessary measures to ensure adequate public consultation.  Gender and communication issues must be carefully considered and incorporated in the design of public consultation exercises and in the dissemination of project information.

1. Consultants are required to carry out an EA study and prepare an EA report according to the World Bank standards. The report should include the sections:

 Executive summary  Policy, Legal, and Administrative Framework  Project Objectives and Description  Baseline Data  Environmental Impacts  Analysis of Alternatives  Environmental Management Plan

2. The general requirements for the above are described in the introduction to this chapter (for additional details see the World Bank’s OP/BP/GP 4.01 - Environmental Assessment at the World Bank). Specific aspects under the above components of the EA that should be addressed in an EA of a road or highway project are described below.

The World Bank Guidebook for Preparation and Review of EA, October 2000 23 Box 2.4 Key Output for EA of Road or Highway Project (in addition to Box 1.2)

Project Objectives This section should describe the need for the road in the context of the local and and Description: national transport strategy. The effect on economic and social development goals of the locality, country and (where the road crosses through neighboring countries) region should be described. If the project is an element of an overall transport development program in the area, then a description of the other program elements must be presented.

A physical description of project should be provided, including the road location/route, type, expected volume of use, traffic impacts, and necessary construction activities including temporary re-routing of traffic, etc.

Detailed engineering descriptions should include work involving:

Road Construction Road Improvements/Upgrading  Site clearance;  Sub base, base and bituminous  Erection of fences and environmental pavement; barriers;  Raising the pavement grade in areas  Earthworks; subject to frequent flooding;  Drainage and service ducts;  Widening and paving of shoulders;  Road pavements (general, unbound  Widening and stabilizing of materials, bituminous bound materials, embankments; concrete and cement bound materials);  Improvements to or replacement of  Traffic safety features; culverts;  Road signs and road markings;  Repair and replacement of bridges; building of bridges.  Improvements to side drainage.

Baseline Data: The key categories of data needed for a road project include the biological environment (of road site and potential area of influence of the road); ecologically important or sensitive habitats, including parks or preserves; and significant natural, cultural or historic sites.

In populated areas baseline data will also need to include:

 meteorological data including wind speed and direction, temperature etc.  ambient air quality in the airshed affected by the proposed road; and,  ambient water quality for surface waters;

Most countries will have some meteorological data and inexpensive field investigations can provide much of the remainder. Where more detailed information is required (if significant effects on an important natural or cultural resource are anticipated, for example) there will often be studies on local areas done by international agencies. There may also be unpublished information in government departments, universities, PhD theses, or voluntary groups. These should be investigated and used where relevant, provided that the sources, and any assumptions or uncertainties in the data are documented.

The World Bank Guidebook for Preparation and Review of EA, October 2000 24 Environmental A prediction of the changes in the environment resulting from project construction and Impacts: operation are to be considered, and an assessment of the effect on the surrounding physical, biological, and human systems, should be presented. The engineering plans should reflect “best practice” in road alignment and construction to ensure that potential negative environmental impacts are minimized. In addition to the construction site, consideration should also be given to quarries, borrow pits and material storage areas that serve the project. Among the issues to be investigated are the following:

 General: effects on biodiversity caused by facilitation of access to and spontaneous settlements in natural areas; effect on hydrology due to construction of road; impacts on arid and semi-arid lands; impacts on coastal zone management; impacts on land resources caused by clearing, topsoil removal (desertification), grading, filling, and paving.  Air quality: air pollution from asphalt plants; dust; noise from construction equipment and blasting.  Land resources: loss of vegetative cover; foreclosure of other land uses; landslides; erosion; desertification; roadside litter.  Hydrology: modification of natural drainage patterns; changes in groundwater elevation; flash flooding.  Water quality: stream and lake sedimentation; use of pesticides; fuel and oil spills; water pollution from spills or accumulated contaminants on road surfaces.  Biological: interference with movements of wildlife and livestock.  Socio-economic/cultural: interference with movements of people; destruction of important cultural/historic sites; increased demand for motor fuels; accidents with and/or displacement of non-motorized methods of transport; effects to local and regional economy; presence of non-resident labor force; injury or death to people attempting to cross roadways; accidents involving hazardous materials in transit; induced development (“urban sprawl”); increased motorized transportation (with possible increased dependency on imported fuels); impairment of non-motorized transportation economy due to changes in land use and/or increased availability of motorized alternatives.

Analysis of Alignment is often the key factor determining impacts associated with a road project. Alternatives: The alignments considered and the reasons for selection of the final alignment should be clearly presented (including the ‘no action’ alternative). Additional issues may include increased access t formerly remote areas, and engineering alternatives including type of road surface, drainage management, and river crossing structures.

Environmental This section should include details of the management initiatives to be implemented Management Plan: during both the construction and operational phase of the road. The EMP will need to account for monitoring of environmental parameters and the influence of mitigation measures on environmental impacts. It should include the following basic components.

Institutional Component  Institutional responsibilities for management of roads and the transport sector  Responsibilities for monitoring, reporting and enforcement  Identification of any needs for capacity building, training or equipment

The World Bank Guidebook for Preparation and Review of EA, October 2000 25 Environmental Mitigation Component Table 1.5.1 presents the key aspects of a mitigation plan for a new road project.

Environmental Monitoring Component Monitoring should address both emission and ambient levels of pollutants where these may be detrimental to human health. For Bank financed road projects the results of the monitoring and analysis including interpretation and recommendations, if any, should be reported to the Bank on a quarterly basis during the construction phase and annually during the operational phase for at least three consecutive years following the completion of construction. The World Bank’s General Environmental Guidelines, which would apply to projects of this type, are provided in Annex III.

General monitoring parameters and their suggested monitoring frequency for road projects are presented in Table 1.5.2, and are also applicable to all expressways, connecting roads and construction roads which may be financed under the project. It is important to note that these parameters apply in general to road developments in urbanized areas, and may not be truly representative of the realities of the MNA region. They do however provide a benchmark for the environmental management plan, which will need to be geared toward the specific project circumstances.

Table 2.4 Example Mitigation Plan for a new road project

Issue Mitigating Measure Responsibility Time or Cost Requirements Land Use and Siting Alignment crosses 12 km of Minimize construction corridor, Transport and To be determined semi-arid steppe strictly monitor construction, restore Environment disturbed lands with native Ministries vegetation and monitor for restoration for 5 years Taking of 2.4 hectares of Purchase of replacement land and Government To be determined residential area, including land resettlement of affected people owners and squatters Reduction in local property Monetary compensation Government To be determined values

Noise Impact of road noise on village Plant 30 m tree buffer strips between Transport Ministry To be determined road and village Surface Hydrology Storm water management Design culverts and drainage Transport Ministry To be determined facilities for 100 year storm Air Quality Dust during construction Implement agreed dust control Transport Ministry To be determined measures such as wetting dirt roads, truck washing for trucks exiting site, and monitoring dust emissions

The World Bank Guidebook for Preparation and Review of EA, October 2000 26 Table 2.5 General Monitoring program for a new road project

Item Monitoring Parameters: Monitoring Frequency: Monitoring Locations: Baseline A baseline monitoring program may be required if existing data is insufficient for decision making; such a program may be more rigorous than the construction and operation monitoring programs.

Construction Phase Air Quality  Bitumen/asphalt Total Suspended Particulate Once a week for 3 day. Plant sites and vicinity. plants (TSP), smoke. Construction period 2 times a day (am and pm).

 Lime mixing Total Suspended Particulate Random sampling. Every Plant sites and vicinity, plants/unpaved roads (TSP). day. Construction period unpaved road sections. 2 times a day (am and pm).

Noise Noise monitoring will be Once a week for 2 days. 2 At all residential and carried out in each contract times per day (including sensitive areas such as section in daytime and at late evenings and schools, hospitals, etc. night on a weekly basis at Sundays). Ad hoc located within 200m of construction sites, quarries, monitoring to be the construction sites material borrow sits and undertaken as and at material borrow major construction materials appropriate. sites, quarries, along hauling roads. Ad hoc haul roads etc. monitoring will also be undertaken.

Vibration Vibration monitoring will be At all times when piling At all residential and carried out in each contract is in progress. sensitive areas such as section when pile-driving schools, hospitals, etc. work is scheduled. located 50 m from the pile driving work site.

Water Quality Total Suspended Solids (TSS), 3 times a year with two Rivers and water Conductivity, Chemical measurements per day bodies in the vicinity of Oxygen Demand (COD), (am and pm). construction sites and Biological Oxygen Demand in particular at crossing (BOD5), and Oil and Grease locations (bridges etc.) (O&G). Operations Phase Air Quality Nitrogen oxides (NOx), 2 times a year (Jan and At locations determined Carbon Monoxide (CO), and Jul) for 5 consecutive as most polluted in Total Suspended Particulate days. Four times a day at residential or populated (TSP). 07:00, 10:00, 14:00 and areas 17:00.

The World Bank Guidebook for Preparation and Review of EA, October 2000 27 Item Monitoring Parameters: Monitoring Frequency: Monitoring Locations:

Noise Noise monitoring will be Four times a year for 2 Sensitive areas carried out in daytime and at consecutive days, 4 times night and during weekends. per day (including night Where appropriate, ad hoc and on Sundays). Ad hoc monitoring will also be monitoring to be undertaken. undertaken as appropriate.

Water Quality Total Suspended Solids (TSS), 3 times a year for 1 day. 2 Rivers and water Conductivity, Chemical times per day (am and bodies in the vicinity of Oxygen Demand (COD), pm). construction sites and Biological Oxygen Demand in particular at crossing (BOD5), and Oil and Grease locations (bridges etc.) (O&G).

The World Bank Guidebook for Preparation and Review of EA, October 2000 28 1.6 TOR Preparation: Key Issues and Output - Solid Waste Management

1. A consulting team will be required with:

 solid waste management environmental issues including collection, transport, recycling, disposal and composting;  landfill leachate and groundwater pollution control and management;  facility siting and traffic issues;  air pollution control;  noise specialists; and  social specialists social assessment and public participation.

1.6.2 Key Issues

1. EA is generally required for new construction or major upgrading of solid waste management facilities. Key EA issues for solid waste management projects typically include the following.

Land Use and Siting

 solid waste management facilities require land for access roads, waste handling, disposal and associated facilities and operating efficiency is enhanced when the disposal site is proximal to the source of waste  proximity to city center is often a key siting factor to minimize haul time, transfer stations, and potential traffic impacts  hydrogeological conditions are often a key siting factor to minimize potential for groundwater contamination from leachate infiltration  suitable land is often a limited resource, and facility location could require resettlement of both titled landowners and squatters and/or the taking of agricultural land.  potential effects on local property values.  potential impacts of landfill traffic on local communities.

Socio-economic

 potential impacts on existing waste recycling/rag-picking community

The World Bank Guidebook for Preparation and Review of EA, October 2000 29 Public Health

 uncontrolled mingling of clinical or hazardous waste with municipal waste stream  worker risks of exposure to clinical or hazardous waste  public risks of exposure to clinical or hazardous wastes  local community health impacts from airborne pathogens or animal vectors  potential explosion from unmanaged methane gas production.

 noise during construction and operation  traffic noise

Water Resources

 potential for groundwater (aquifer) contamination from waste leachate  potential for surface water contamination

Air Quality

 dust during construction and operation from on-site vehicle movements and placement of waste materials  vehicle exhaust emissions  smoke from fires  methane gas emission (methane is a major greenhouse gas); waste to energy options

Public Consultation

 public consultation has not traditionally been strong in the MNA region. It is important that EA for all projects take the necessary measures to ensure adequate public consultation.  gender and communication issues must be carefully considered and incorporated in the design of public consultation exercises and in the dissemination of project information.

The World Bank Guidebook for Preparation and Review of EA, October 2000 30 1.6.3 The EA Study and Report

1. Consultants are required to carry out an EA study and prepare an EA report according to the World Bank standards. The report should include the following sections:

 Executive summary;  Policy, Legal, and Administrative Framework;  Project Objectives and Description;  Baseline Data;  Environmental Impacts (includes mitigation measures);  Analysis of Alternatives;  Environmental Management Plan; and  Appendices.

2. The general requirements for the above are described in the introduction to this chapter (for additional details see the World Bank’s OP/BP/GP 4.01 - Environmental Assessment at the World Bank). Specific aspects that should be addressed in an EA of a solid waste management project are described below.

Box 2.5 Key Output for EA of Solid Waste Management Project (in addition to Box 1.2)

Policy, Legal, and Tables should be used to list applicable standards and note which authorities are Administrative responsible for their application. Where there are no relevant local standards, World Framework: Bank General Environmental Guidelines may be used (see Annex III). Where relevant local legislation and standards exist, these should be described. The section should include:

 national laws and local ordinances which delineate the solid waste management responsibility and authority delegated to local government; national laws and guidelines which define the design and operating standards which local governments are to meet in the conduct of their responsibilities; a description of any environmental standards which are to be met, any requirements for submission of environmental monitoring data or environmental impact assessment statements by local government to the national government; local ordinances which govern citizen responsibility o participate in and co-operate with the solid waste system.

Discuss the extent to which the local government uses education, inspection and enforcement to assure compliance with the available regulations. Describe the technical assistance, environmental monitoring, and regulatory enforcement activities provided by national and provincial government as a support to local government operations and actions.

Project Objectives This section should describe the need for and target consumers of solid waste and Description: management in the context of the local and national waste management strategy. The effect on economic and social development goals of the locality, country and region should be described. If the project is an element of an overall waste management

The World Bank Guidebook for Preparation and Review of EA, October 2000 31 development program in the area, then a description of the other program elements must be presented.

A physical and engineering description of the project should be provided including at least the following:

(a) For project improvements to solid waste collection, include:  physical layout of the neighborhoods to receive improved collection;  social, cultural and economic conditions of the neighborhoods to receive improved collection;

The World Bank Guidebook for Preparation and Review of EA, October 2000 32  description of the project elements, including proposed collection method; pilot tests to confirm the proposed collection method as appropriate; pre-implementation activities of public education and involvement; cost recovery systems; equipment specifications and procurement plans; implementation plans; operation and maintenance procedures; and responsible parties for each aspect of the system.

(b) For project improvements to solid waste transfer and disposal, include:  physical layout of the overall urban area to be served by transfer and/or disposal facilities, including mapping of all major roads;  strategic siting of the facilities, including economic justification for the overall strategic plan of collection service areas, direct haul routes, transfer stations, transfer routes and disposal locations;  physical, ecological and demographic setting of facilities, including surrounding land use characteristics, proximity to residential neighborhoods, location of public water supply sources and private wells, direction of ground water flow, uses of surface water, prevailing wind direction;  description of the project elements, including layout of proposed facilities (e.g., fencing, buildings, weighbridges, roads, ramps, drainage, gas and leachate control systems, monitoring wells);  construction schedule, operating plans, closure plans, long-term monitoring plans, and responsible parties.

Baseline Data The key categories of data needed for a waste collection and disposal systems include the following:

(a) For project improvements to collection systems:

Physical Environment  Neighborhood layout, showing locations for communal containers, stops for truck during block collection, or streets served by curb-side collection  Conditions of road or walkway access for collection equipment;  Climate and meteorology, as it affects refuse containment and frequency of collection.

Socio-cultural Environment  Population density and demographic level by neighborhood  Community structure of local leader and traditional public involvement process  Employment and other activities indicating patterns of movement to and from neighborhood  Education level with regard to sanitation and public health  Customs and attitudes relative to co-operation with collection system

(a) For project improvements to transfer and disposal facilities:

Physical Environment  Location of proposed facilities with regard to nature of surrounding land uses and proximity to homes and other establishments  Existing road and traffic conditions in the area of proposed facilities, versus proposed road and traffic conditions  Existing topography and proposed changes, including area which will be affected

The World Bank Guidebook for Preparation and Review of EA, October 2000 33 by any visible aesthetic impacts  Soils and geology  Surface and ground water hydrology, and hydraulic connections between the proposed sites and receiving waters down gradient of the sites

 Existing and proposed uses of receiving water, including location of private and public water supply wells and intakes  climate and meteorology, including prevailing wind direction

Biological Environment  flora and fauna  sensitive habitats  rare, endangered, or commercially important species

Socio-cultural Environment  past uses of sites and consideration of historic significance  land use and demographic character of surrounding neighborhoods  planned development activities  education, awareness, and sensitivity of public to propose siting of facilities; and public concerns over traffic insects, noise, dust, odor, smoke or aesthetic issues.

Baseline data is often only partially available, though many countries will have a large part of these data and inexpensive field investigations can provide much of the remainder. Where more detailed information is required (if significant effects on an important natural or cultural resource are anticipated, for example) there may be studies on local areas done by international agencies. There may also be unpublished information in government departments, universities, PhD theses, or voluntary groups. These should be investigated and used where relevant, provided that the sources, and any assumptions or uncertainties in the data are documented.

Environmental A prediction of the changes in the environment resulting from project construction and Impacts: operation are to be considered, and an assessment of the effect on the surrounding physical, biological, and human systems, should be presented.

For solid waste projects, there are numerous potential impacts to be reviewed as a part of design. For the most part, well-conceived designs will minimize adverse impacts. Also, altering operating practices can minimize many potential impacts.

There are some potential impacts whose consequences would be environmentally significant over the long term. With regard to these impacts, special studies conducted as a part of environmental impact assessment are recommended. Specifically, prior to design of a land disposal site, groundwater monitoring wells should be installed both on-site and off-site to assess the character of soils, geology and groundwater quality and flow dynamics. Data from these borings coupled with precipitation and infiltration data should be used to develop a conceptual model of the landfill and estimate the quantity of leachate which could be generated and released from the land disposal site and its potential effect on the nearest receiving water.

Analysis of This section should provide a brief description of possible alternatives to the Alternatives project/project design (including the ‘no action’ alternative). For various aspects of a solid waste management project, there are appropriate alternative technologies or

The World Bank Guidebook for Preparation and Review of EA, October 2000 34 operating methods, as listed below. The reasons why the various alternatives considered were rejected should be documented.

Disposal Systems  source reduction of wastes  managed landfill  sanitary landfill (i.e., designed refuse cell construction)  sanitary landfill with gas and leachate control  separate disposal zone in sanitary landfill or separate disposal site for construction/demolition debris, bulky wastes and tires  composting  incineration

Collection Systems  source reduction of wastes  self-reliant systems of on-site waste management  equipment includes: pushcart, animal cart, tractor, and truck  communal stationary container systems  communal portable container systems  curb-side collection systems from liftable containers  block collection systems with resident co-operation  separate collection for potentially hazardous materials  separate disposal for potentially hazardous materials  hold and bleed pumped sewage into wastewater treatment facilities where available, or provide separate disposal  separate incineration for medical wastes

 Recycling Systems  increase product durability  source segregation of recyclables  manual or mechanized sorting of recyclables at transfer stations and disposal facilities  financial incentives to private sector recycling initiatives  refurbishment and re-manufacturing of durable products  modify procurement specifications to increase opportunities for products made from recycled materials

Environmental The EMP should include details of the management initiatives to be implemented Management Plan: during both the construction (for landfill sites) and operational phase of the project. The EMP will need to account for monitoring of environmental parameters and the influence of mitigation measures on environmental impacts. It should include the following basic components.

Institutional Component  Institutional responsibilities for management of the solid waste sector  Responsibilities for monitoring, reporting and enforcement  Identification of any needs for capacity building, training or equipment

Environmental Mitigation Plan Table 1.6.1 presents the key aspects of a mitigation plan for a new solid waste management facility.

The World Bank Guidebook for Preparation and Review of EA, October 2000 35 Environmental Monitoring Plan Monitoring should address both emission and ambient levels of pollutants where these may be detrimental to human health. Table 1.6.2 below presents a typical monitoring program for a solid waste management facility.

The World Bank Guidebook for Preparation and Review of EA, October 2000 36 For solid waste projects which include a land disposal facility, monitoring will include:  gas and ground water monitoring wells  regular schedule of monitoring for key indicators of contamination (for specific parameters see the World Bank’s General Environmental Guidelines, which would apply to projects of this type, provided in Annex III).  If the land disposal site has a gas collection and ventilation system, periodic monitoring will need to address: . The composition of gas being discharged from the vents . Ambient oxygen and combustible gas levels on- and off-site (using a portable meter).

Table 2.6 Example Mitigation Plan for new solid waste management facility

Issue Mitigating Measure Responsibility Time or Cost Requirements Institutional Environment Ministry capacity EA includes a TOR for a training Government with Four man months for carrying out the long term and assistance project to strengthen support of an plus equipment monitoring of groundwater the ministry’s capacity in these areas international costs to be wells, emissions, and the treated as well as specifications and cost consultant determined leachate effluent was assessed to estimates for procurement of the be inadequate. necessary equipment.

Land Use and Siting Permanent loss of productive Purchase of replacement land or Government To be determined land compensation Reduction in local property Compensation Government To be determined values Landfill traffic through existing Restrict traffic to work day initially Collection To be determined communities Contractor Investigate construction of new access road avoiding community To be determined Socio-economic Loss of livelihood for rag-picking Incorporate series of dumping bays Landfill Design To be determined community in design where rag-pickers can Contractors access waste prior to disposal Public Health Control of clinical and hazardous Segregate incoming waste stream Ministry of To be determined. waste disposal through education program, Environment, Management and collection system and strict Landfill Operating supervision enforcement Company, and estimate 2 men full Collection time Contractor with support of international consultants

The World Bank Guidebook for Preparation and Review of EA, October 2000 37 Issue Mitigating Measure Responsibility Time or Cost Requirements Noise Construction noise effects on Restrict construction to day light Landfill NA nearest community period Construction Contractors

Operations noise effects on Implement agreed mitigation Landfill Operating To be determined nearest community measures including: creation of Company and perimeter berm and planting of tree Collection buffer around landfill boundary, Contractors restrict landfill operation and collection traffic to work day.

Ground and Surface Water Quality

No existing baseline for ambient Implement agreed baseline Environment $80,000 estimate for (pre-landfill) conditions monitoring program prior to and Ministry 2 year monitoring during construction; samples to be with support of program including analyzed in local laboratory with international analyses semi-annual samples exported for consultant corroboration Potential contamination of Environment ground and surface water during Ministry with future operations initial support of Implement monthly monitoring international to be determined program of perimeter wells and consultant Discharge of treated leachate surface effluents Annual reporting by Landfill Operating Company; review Component of Must meet effluent discharge by Environment annual operations standards (local standards and Ministry World Bank guidelines) Air Quality Dust during construction Implement agreed dust control Landfill To be determined measures such as wetting dirt roads, Construction truck washing for trucks exiting site, Contractors and monitoring dust emissions

Dust during operations Implement agreed mitigation Landfill Operating To be determined measures including paving haul Company roads and offloading facilities and rapidly covering refuse with soil.

Exhaust from landfill collection Upgrade collection fleet Collection $750,000 traffic Contractor

Odors during operation Implement sanitary landfill Landfill Operating NA

The World Bank Guidebook for Preparation and Review of EA, October 2000 38 Issue Mitigating Measure Responsibility Time or Cost Requirements management practices including Company daily soil covering

The World Bank Guidebook for Preparation and Review of EA, October 2000 39 Table 2.7 General Monitoring program for new solid waste management facility

Item Monitoring Sampling Frequency: Monitoring Locations: Parameters: Baseline A baseline monitoring program may be required if existing data is insufficient for decision making; such a program may be more rigorous than the construction and operation monitoring programs. Construction Phase Air Quality Dust (particulate Passive – 2/4 weeks 4 locations minimum: at nearest matter) residences and site boundary

Noise Decibels (dB) Weekly 6 locations minimum: at nearest residences

Water Quality oil and grease Daily At all discharges including run-off

Total Suspended Solids Daily At all discharges including run-off and waste water discharges BOD Weekly At waste water discharges

Total and fecal coliform Weekly At waste water discharges

Operations Phase Noise Decibels (dB) Monthly 6 locations at residences nearest facility

Ground Water Quality pH Monthly Monitoring wells Alkalinity “ “ Total Chlorides “ “ BOD “ “ COD “ “ Metals “ “

Treated Leachate pH All weekly At point of discharge Effluent Quality1 Alkalinity BOD COD Temperature Oil and grease Total chlorides Total Suspended Solids Metals Air Quality Dust Weekly 2 stations: 500 meters upwind and Fine particulate matter 500 meters downwind Odor

1 Leachate management may vary depending on waste characteristics, landfill design and supporting infrastructure; leachate may be

The World Bank Guidebook for Preparation and Review of EA, October 2000 40 pretreated and then released to the municipal wastewater treatment plant.

The World Bank Guidebook for Preparation and Review of EA, October 2000 41 The World Bank Guidebook for Preparation and Review of EA, October 2000 42 1.7 TOR Preparation: Key Issues and Output - Water Supply and Sanitation

1. The consulting team should have:

 hydrology;  environmental engineering;  water quality modeling;  ecology (terrestrial, aquatic, and possibly marine depending on receiving environment);  water quality;  soil science (for land application of sludge);  wastewater utility management; and  social assessment and public participation.

3. Other specialties that may be needed, depending on the nature of the project, are public health, agronomy, land use planning, oceanography and resource economics.

1.7.2 Key Issues

1. It is important to note that projects in this sector could range from the very large, such as the development or rehabilitation of a city water supply/distribution system and wastewater collection/treatment system, to smaller scale, targeted improvements to existing systems or construction of a new municipal wastewater treatment plant. The scope and number of issues involved will depend to a great extent on the magnitude and complexity of the project.

1. Key issues in MNA for an EA in this sector will usually include:

Land Use and Siting

 Water treatment and wastewater treatment plants facilities require tracts of land for treatment facilities, storage, offices and laboratories, and access roads.  Smaller dispersed plots may be required for peripheral pumping stations.

The World Bank Guidebook for Preparation and Review of EA, October 2000 43  Elevation relative to the municipality is often a key siting factor to optimize gravity flow and reduce or minimize reliance on pumps.  Suitable land is often a limited resource, and facility location could require resettlement of both titled landowners and squatters and/or the taking of agricultural land.  Potential impacts of wastewater treatment plant on local communities including odor and reduction in property values.

Water Resources

 The population of the MNA region is growing rapidly, and the primary sources of water in this arid and semi-arid region are non-renewable fossil aquifers.  Allocation: exploitation of an aquifer for municipal supply may necessitate use restrictions on other users.  It is essential to control and prevent further contamination of freshwater water resources (ground and surface water) through discharge of untreated or inadequately treated domestic, municipal and industrial wastewater.  Equally important is the conservation of scarce water resources through demand side management and efficient allocation and use of water.  Pollution of coastal waters by domestic, municipal and industrial wastewater is also a serious problem.  Water re-use for agriculture (the reader is recommended to the World Health Organization’s (WHO) publication Health guidelines for the use of wastewater in agriculture and aquaculture (WHO Technical Report Series, No. 778, 1989).

Socio-economic

 Demand side management of water supplies will typically involve pricing increases, and willingness/ability to pay for the poorer segments of society will likely be an issue.  In some countries, the poorer segments of the populace prefer to continue using contaminated water to avoid the costs of associated with treated water.  Similarly, cost recovery for wastewater treatment services may adversely impact the poorer segments of the society.

Public Health

 Contamination of potable water by domestic and industrial effluent is common place in many countries of the region.

The World Bank Guidebook for Preparation and Review of EA, October 2000 44  Municipal wastewater contamination causes high incidences of illness and death from water borne diseases including dysentery and cholera.  Industrial wastewater contributes toxic or harmful contaminants including oil and grease, heavy metals, acids and PCBs.  Agricultural sources contribute fertilizers, pesticides and herbicides.  Sludge management and disposal.

Public Consultation

1. Consultants are required to carry out an EA study and prepare an EA report according to the World Bank standards. The report should include the following sections:

2. The general requirements for the above are described in the introduction to this chapter (for additional details see the World Bank’s OP/BP/GP 4.01 - Environmental Assessment at the World Bank). Specific aspects under the above components of the EA that should be addressed in an EA of a water supply and sanitation project are described below.

The World Bank Guidebook for Preparation and Review of EA, October 2000 45 Box 2.6 Key Output for EA of Water Supply and Sanitation Project (in addition to Box 1.2)

Policy, Legal, and Tables should be used to list applicable standards and note which authorities are responsible Administrative for their application. Where there are no relevant local standards, suitable international Framework: norms may be used. The World Bank’s General Environmental Guidelines, which would apply to projects of this type, are provided in Annex III.

Specifically, the TOR should describe the pertinent regulations and standards governing environmental quality, pollutant discharges to surface waters and land, industrial discharges to public sewers, water reclamation and reuse, agricultural and landscape use of sludge, health and safety, protection of sensitive areas, protection of endangered species, siting, land use control, etc., at international, national, regional and local levels (The TOR should specify those that are known and require the consultant to investigate for others).

Project Objectives This section should describe the need for and target consumer of the water network in the and Description: context of the local and national water supply and sanitation strategy. The effect on economic and social development goals of the locality, country and region should be described. If the project is an element of an overall sanitation program in the area, then a description of the other program elements must be presented.

A physical and engineering description of the project should be provided including at least the following:

 Location  water supply source  general layout (e.g. distribution and/or collection systems, pumping stations, treatment works, intakes and outfalls)  unit process description and diagram  size in terms of population and population equivalents, present and projected  number and types of connected industries  anticipated influent and effluent characteristics  pre-construction and construction activities  schedule, staffing and support facilities and services  operation and maintenance activities  required off-site investments  life span

Baseline Data The key categories of data needed for a water supply and sanitation EA include the following:

Physical Environment  geology (general description for overall study area and details for land application sites)  topography  soils (general description for overall study area and details for land application sites);  monthly average temperatures, (rainfall) and runoff characteristics  description of receiving waters (identity of streams, lakes, or marine waters; annual average discharge or current data by month, chemical quality; existing discharges or withdrawals).

The World Bank Guidebook for Preparation and Review of EA, October 2000 46 Baseline Data continued…. Biological Environment  Terrestrial communities in areas affected by construction facility siting land application or disposal;  Aquatic, estuarine or marine communities in affected waters;  Rare or endangered species;  Sensitive habitats, including parks or preserves, significant natural sites;  Species of commercial importance in land application sites and receiving waters.

Socio-cultural Environment  Present water and sanitation system  Relevant public health data  Present and projected population;  Present land use;  Planned development activities;  Community structure;  Present and projected employment by industrial category;  Distribution of income, goods and services;  Recreation;  Public health;  Cultural properties; indigenous peoples; customs, aspirations and attitudes.

Baseline data is often only partially available, though many countries will have a large part of these data and inexpensive field investigations can provide much of the remainder. Where more detailed information is required (if significant effects on an important natural or cultural resource are anticipated, for example) there will often be studies on local areas done by international agencies. There may also be unpublished information in government departments, universities, PhD theses, or voluntary groups. These should be investigated and used where relevant, provided that the sources, and any assumptions or uncertainties in the data are documented.

Environmental A prediction of the changes in the environment resulting from project construction and Impacts: operation are to be considered, and an assessment of the effect on the surrounding physical, biological, and human systems, should be presented. The assessment should pay particular attention to :

 the extent to which receiving water quality standards and/or other beneficial use objectives will be achieved with the proposed type and level of treatment.  The length of stream or expanse of lake or marine waters which will be positively or negatively affected by the discharge, and the magnitude of the changes in water quality parameters.  Projected quantitative changes in beneficial uses, such as fisheries (species composition, productivity), recreation and tourism (visitor-days, overnights, expenditures), and waters available for portable supply, irrigation, and industrial use.  Sanitation and public benefits anticipated.  Wastewater re-use for agriculture

The World Bank Guidebook for Preparation and Review of EA, October 2000 47 Analysis of This section should provide a brief description of possible alternatives to the project/project Alternatives: design (including the ‘no action’ alternative). The reasons why the various alternatives considered were rejected should be documented.

The analysis should investigate the variety of siting and technological alternatives existing for wastewater collection, treatment and disposal, and sludge management. Several will be applicable in every situation. For example:

Collection Systems Treatment Works  on-lot treatment  community on-lot systems  individual holding tanks with truck  oxidation ponds collection  stabilization pond systems  small-diameter gravity, pressure or  aerated lagoons vacuum sewers  artificial wetlands (constructed wetlands)  shallow sewers  land treatment  flat sewers  conventional biological treatment  simplified sewerage systems  physical-chemical treatment  conventional gravity sewers and force  preliminary or primary treatment (possibly mains with ocean disposal)  regional collection systems  secondary or tertiary treatment  community or sub-regional systems Sludge Management Disposal  composting  reuse in agriculture, silviculture,  co-composting with municipal refuse aquaculture, landscaping  reuse in agriculture or silviculture  reuse for groundwater recharge  reclamation of marginal land for  rapid infiltration reforestation, cultivation  underground injection  energy recovery (methane gas)  reuse in industrial applications  incineration  ocean outfall  landfill  surface water discharge  ocean disposal  nightsoil treatment plants

Environmental This section should include details of the management initiatives to be implemented during Management Plan both the construction and operational phases of the project. The EMP will need to account for monitoring of environmental parameters and the influence of mitigation measures on environmental impacts. It should include the following basic components.

Institutional Component  Institutional responsibilities for management of the water supply and sanitation sector  Responsibilities for monitoring, reporting and enforcement  Identification of any needs for capacity building, training or equipment

Environmental Mitigation Component Table 1.7.1 presents the key aspects of a mitigation plan for a new wastewater treatment project.

The World Bank Guidebook for Preparation and Review of EA, October 2000 48 Environmental Environmental Monitoring Component Management Plan Monitoring should ascertain compliance with agreed standards of potable water supply continued… and/or effluent discharge, and serve as an analytical support tool for achieving optimal operational performance. The World Bank’s General Environmental Guidelines, which would apply to projects of this type, are provided in Annex III. A listing of typical monitoring parameters and frequencies for a wastewater treatment plant are presented in Table 1.7.2 to provide a general picture. Monitoring parameters and frequencies for an actual situation are dependent on numerous factors including treatment technologies, quality of influent, etc and should be determined on a case by case basis. Monitoring parameters and frequencies for potable water are not provided herein due to similar complexities. The reader is referred to the World Health Organization’s Guidelines for Drinking Water Quality (1996) for further information. In cases where the wastewater is to be re-used for irrigation agriculture, the WHO’s Health guidelines for the use of wastewater in agriculture and aquaculture (Technical Report Series No. 778, 1989) are recommended for monitoring parameters and guidelines.

Table 2.8 Example Mitigation Plan for wastewater treatment plant project

Issue Mitigating Measure Responsibility Time or Cost Requirements Institutional Cooperation between Capacity building Government with To be determined Environment and Agriculture support of Ministries for joint monitoring or international irrigation water from treatment consultant plant

Capacity to monitor irrigation Training and procurement of Government with , To be determined water quality required equipment support of international consultant Land Use and Siting Permanent loss of productive Purchase of replacement land Municipal To be determined land Government

Reduction in local property Monetary compensation Municipal To be determined values Government

Water Resources Potential health and Secondary treatment of wastewater Environment and To be determined environmental risks associated and chlorination of final effluent Agricultural with use of treated wastewater followed by aeration; initial Ministries effluent for irrigation monitoring of irrigation water quality in irrigation channels in addition to effluent monitoring at treatment plant outfall Socio-economic Ability to pay of poorer segments Reconsideration of rate structures Government To be determined

The World Bank Guidebook for Preparation and Review of EA, October 2000 49 Issue Mitigating Measure Responsibility Time or Cost Requirements of population and subsidies

Table 2.9 General Monitoring program for a wastewater treatment plant

Monitoring Parameter Frequency

Monitoring at Effluent Outfall Frequency dependent on characteristics of effluent and pH treatment prior to discharge, as well Biological Oxygen Demand (BOD) as dilution, dispersion, sensitivity Chemical Oxygen Demand (COD) and downstream use of receiving Oil and grease environment (i.e., water or land). Total Suspended Solids (TSS), Heavy metals (total and specific) Ammonia Coliform Cyanide, free Cyanide, total Nitrate Fluoride Chlorine, total residual Phenols Phosphorous Sulfide Temperature, at edge of initial mixing zone Effluent flow, l/second

Downstream Monitoring of Receiving Waters (additional parameters for measurement)

Dissolved Oxygen (DO2), mg/l

The World Bank Guidebook for Preparation and Review of EA, October 2000 50 1.8 TOR Preparation: Key Issues and Output – Irrigation and Drainage

 EAs of irrigation and drainage projects or projects with similar issues;  Agricultural and hydrological engineering;  Hydrology and hydrogeology;  Ground and surface water chemistry;  Soil and water conservation management;  Terrestrial and wetland ecology (wildlife, plant and conservation ecology);  Health and water borne and soil disease vectors and parasites;  Social assessment and public participation.

1.8.2 Key Issues

1. Irrigation and drainage are often, but not always, combined in a project. In some cases a project may address only drainage to mitigate for the effects of long term irrigation. A brief background is provided below.

2. In arid regions, prime agricultural land typically consists of the floodplains or terraces of major rivers. These areas are naturally level surfaces with little topographic relief, low surface gradients and relatively low depths to the water table (shallow groundwater surface). Irrigation, using river water and in some cases groundwater, has maximized the productivity of these otherwise fertile lands. But, long term irrigation, in conjunction with seasonal or periodic precipitation and/or flooding, can raise the water table and result in waterlogging and salinization of the soils, thereby adversely impacting agricultural production. Improving drainage to rapidly evacuate the drainage water and thereby lower the water table is the solution to this problem. Hence, irrigation and drainage projects are often intertwined.

3. Drainage projects are typically characterized as positive environmental projects because they can improve water use efficiencies, improve natural processes which enhance soil fertility and promote maximum productivity on existing agricultural lands. However, there can be a number of impacts associated with these projects including concentrations of agricultural

The World Bank Guidebook for Preparation and Review of EA, October 2000 51 chemicals and salts in the drainage and the impacts of the drainage water on the receiving waters, downstream users, and the aquatic ecosystem. Key issues typically associated with irrigation and drainage projects are listed below.

Land and soil resources

 competition for scarce land with sufficient moisture to support vegetation, be it crop land, pasture, or natural habitat, is a reality. Hence, the impacts in terms of socio-economic and ecological effects of conversion of any land from one state to another must be carefully assessed.  irrigation and drainage may lead to significant accumulation of salts in the soil profile which permanently alters the plant community type which can be supported.  effects of drainage include depth to water table, soil surface and profile salinity and sodicity.  Drainage in conjunction with reduced soil salinity generally improves natural soil fertility.

Water Resources/Water Quality

 Water resources are under great pressure in the region and any proposed increase in water consumption must be carefully evaluated in terms of local and national water use and allocation strategies.  Agriculture is the main user of freshwater resources comprising 60% or more of the demand.  Conservation and re-use options should be thoroughly explored.  The major component of the drainable surplus is irrigation water seepage from earthen canals and fields; hence, better irrigation systems and more efficient use of water can minimize the problem and conserve water resources.  The characteristics of the underlying aquifer (i.e., salinity, depth to water table) in combination with irrigation and crop management practices can have long term impacts on project performance and sustainability. The hydrology of the entire basin, including the groundwater hydrology or hydrogeology, and quality must be assessed and the potential impacts of the program assessed.  Tubewell pumping is often used as a technique for lowering the water table of waterlogged areas; however, in some situations, tubewell pumping can cause intrusion of saline groundwater into the surface freshwater aquifers which are causing the waterlogging, thereby contaminating an important source of freshwater.

The World Bank Guidebook for Preparation and Review of EA, October 2000 52  Potential adverse effects of drainage water on the quality of receiving surface waters (drainage water may contain high concentrations of agricultural chemicals and salts). In most cases, the adjacent river is the most efficient receptor for drainage effluent, but the river is also the source of irrigation water downstream. If river quality is degraded by drainage effluent (main issue is salinity), it can no longer be used for downstream irrigation without costly treatment. Various solutions and/or combinations of solutions (i.e., river and sea drainage in combination with evaporation basins) must be investigated to determine the most sustainable approach in terms of present and future water quality requirements.  Management of the salt balance/flux through the drainage and hydrologic systems is necessary for sustainability. This requires detailed knowledge of the water balance and quality of the basin system combined with proactive monitoring and management to avoid loss of land and water resources from salinization.  Discharge of untreated municipal and/or industrial wastewater to the drainage and irrigation system further complicates matters, making management even more difficult. Control and treatment of such sources of wastewater should be pursued in conjunction with an assessment of the assimilative capacity of the receiving waters. This will require the same level of knowledge of the system and ongoing monitoring and management as in the previous item.  The water quality and hydrological impacts of irrigation and drainage projects may adversely impact important fishery resources.

Wetlands and Other Natural Habitats

 Wetlands and other natural floodplain habitats have been drastically reduced in the river floodplains over history as agricultural lands have expanded and as formerly marginal lands are drained.  Major drainage projects can alter the hydrology of wetlands and other floodplain habitats distant from the project area, and have adverse impacts on natural functions and species composition resulting in loss of habitat value. Conversely, irrigation reservoirs, evaporation basins, expansion of irrigation and drainage canals, and creation of waterlogged areas by irrigation create new aquatic and wetland habitats, although poor water quality may limit the value of these artificial habitats. Also, non-mobile species of the affected area are more vulnerable than mobile species.  New drainage works can destroy plant communities and habitats that have developed in former drainage ditch systems, which, although

The World Bank Guidebook for Preparation and Review of EA, October 2000 53 artificial and linear in character, can provide important habitat in some areas.  Drainage water discharge can adversely impact aquatic and wetland habitats in the area of discharge.

Socio-economic, Health and Cultural Heritage Issues

 Irrigation and drainage projects typically disproportionately benefit landlords over share-croppers and workers.  Increases in productive land area from irrigation and drainage are associated positively with reduced out migration due to direct and indirect increases in employment opportunities.  Waterlogged lands are often productive fallow areas which support natural vegetation and provide vital pasture for nomadic herders; after drainage these areas are converted to cropland, often depriving the herders of a key resource.  Communities dependent on fisheries may be adversely impacted by irrigation and drainage projects which negatively effect this resource.  Positive as well as negative health impacts can arise in conjunction with irrigation and drainage projects, both for people and livestock. Drainage can reduce stagnant areas where mosquitoes and other vectors breed. Conversely, irrigation, waterlogging and drainage canals may result in increased habitat for pests and disease vectors. Lack of sanitation facilities in fields and increased numbers of workers may lead to increases in intestinal borne diseases.  The region is rich in archaeological sites of major local and international importance as well as graveyards and other sites of religious importance.  Water table rise (waterlogging) and salinization can cause severe damage to ancient and modern structures and artifacts, especially metal.  Extensive ditching and related excavations associated with a major drainage project may potentially intersect sites of local or national cultural significance.

Public Consultation

2. The general requirements for the above are described in the introduction to this chapter (for additional details see the World Bank’s OP/BP/GP 4.01 - Environmental Assessment at the World Bank). Specific aspects under the above components of the EA that should be addressed in an EA of a project combining both irrigation and drainage are described below.

Box 2.7 Key Output for EA of an Irrigation and Drainage Project (in addition to Box 1.2)

Project Objectives This section should describe the need for the project in the context of the local and and Description: national agricultural strategy. The effect on economic and social development goals of the project area, country, and region when the project influences transboundary rivers, aquifers, coastal zones or other issues. If the project is an element of an overall irrigation and drainage or agricultural sector development program in the area, then a description of the other program elements must be presented.

A physical description of project should be provided, including the physical location and area of influence, the schedule of works and implementation program, the source of irrigation water, the disposal strategy for drainage water, and the projected effects including volume and flow rate of irrigation and drainage waters.

Baseline Data: The key categories of data needed for an irrigation and drainage project include:

 Hydrology and hydrogeology  water quality (chemistry), supply, demand and allocation  soils  existing land use  ecology of the project area, ecologically important or sensitive habitats, including parks or preserves;  social environment  significant natural, cultural or historic sites.

The World Bank Guidebook for Preparation and Review of EA, October 2000 55 Most countries will have some meteorological data and inexpensive field investigations can provide much of the remainder. Where more detailed information is required (if significant effects on an important natural or cultural resource are anticipated, for example) there will often be studies on local areas done by international agencies. There may also be unpublished information in government departments, universities, PhD theses, or voluntary groups. These should be investigated and used where relevant, provided that the sources, and any assumptions or uncertainties in the data are documented.

Environmental A prediction of the changes in the environment resulting from project construction and Impacts: operation are to be considered, and an assessment of the effect on the surrounding physical, biological, and human systems, should be presented. The engineering design plans should reflect “best practice” in terms of construction management and operations to ensure that potential negative environmental impacts are minimized. Special consideration should also be given to the following areas as discussed under , Key Issues, Section 1.8.2:

 Land and soil resources  Water resources  Water quality  Wetlands and Other Natural Habitats  Socio-economic, Health and Cultural Heritage Issues  Public Consultation

Analysis of Project alternatives should be clearly presented (including the ‘no action’ alternative). Alternatives: For irrigation projects, alternative sources of water and demand reduction through conservation and re-use and project management and monitoring should be considered. For drainage, alternative methods, overall project concepts and management and monitoring programs should be thoroughly analyzed.

Environmental This section should include details of the management initiatives to be implemented Management Plan: during both the construction and operational phase of the project (irrigation, drainage or a combination). The EMP will need to account for monitoring of environmental parameters and the influence of mitigation measures on environmental impacts. It should include the following basic components.

Institutional Component  Institutional responsibilities for management of the irrigation and drainage sector and/or the agricultural sector  Institutional responsibilities for health and socio economic issues management  Responsibilities for monitoring, reporting and enforcement for water quality, water balance and salt balance and related issue management  Identification of any needs for capacity building, training or equipment

Environmental Mitigation Component Table 1.10 presents the key aspects of a mitigation plan for a drainage project.

Environmental Monitoring Component Monitoring should address all potential issues listed in Section 1.8.2 and any others which are considered relevant to the project and the location. These may include water resources (water balance): soil and water quality (salinization); disease, parasites and

The World Bank Guidebook for Preparation and Review of EA, October 2000 56 health; and socio economic effects. For Bank-financed projects the results of the monitoring and analysis including interpretation and recommendations, if any, should be reported to the Bank on a quarterly basis during the construction phase and annually during the operational phase for at least three consecutive years following the completion of construction. The World Bank’s General Environmental Guidelines, which would apply to projects of this type, are provided in Annex III.

General monitoring parameters and their suggested monitoring frequency for irrigation and drainage projects are presented in Table 1.11. It is important to note that these parameters apply in general to such projects and that it may be necessary to include additional parameters for individual projects. The parameters listed do however provide a benchmark for the environmental management plan, which will need to be geared toward the specific project circumstances.

The World Bank Guidebook for Preparation and Review of EA, October 2000 57 Table 2.10 Example Mitigation Plan for a drainage project

Issue Mitigating Measure Responsibility Time or Cost Requirements Land and Soil Resources 4 hectares of non-contiguous Herders will be allowed access to Irrigation and Minimal except for waterlogged lands utilized by bunds and intervening non-cropped Drainage possible periodic nomadic herders will be areas for grazing; these areas will be Management inspection to ensure converted to cropland allowed to grow up in suitable Agency that herders are forage crops granted free access and occasional conflict resolution Water Resources/Water Quality Discharge from continuous Tubewell pumping will be Irrigation and Dedicated staff of 8 tubewell pumping of saline discontinuous and staggered along Drainage full time for first aquifer will raise salinity levels in the river such that the saline Management three years of the river to excessive heights discharge will be sufficiently Agency project; to be re- according to modeling exercises diluted. Pumping rates and salinity evaluated at end of of discharge and the river at study period. May strategic locations will be monitored require initial to verify model predictions. The support of pumping will be continuously international refined to balance water table consultant, cost to reduction with river water quality be determined requirements.

Wetlands and Other Habitats Degraded saline wetland will be Evaporation ponds will exceed Irrigation and No additional cost lost wetland in area and are predicted to Drainage develop similar vegetation Management community within 3 years Agency

Health Schistosomiasis and other Parasite monitoring for workers and Ministry of Health To be determined parasites residents

Cultural Heritage Drainage canals will need to Personnel from the Ministry of Irrigation and To be determined cross an area suspected to Antiquities will monitor the canal Drainage contain significant archaeological excavation work and will have the Management resources authority to halt construction if and Agency and when any archaeological resources Ministry of are encountered Antiquities

The World Bank Guidebook for Preparation and Review of EA, October 2000 58 Table 2.11 General Monitoring program for a drainage project

Item Monitoring Sampling Frequency: Monitoring Locations: Parameters: Baseline A baseline monitoring program may be required if existing data is insufficient for decision making; such a program may be more rigorous than the operations monitoring program. The baseline program should collect water balance data (surface and groundwater flow rates, evapotranspiration rates, infiltration, etc.) and water quality data.

Operations Phase Ground Water PH Monthly Tube wells, tile drain outfalls, Quality Salinity and/or monitoring wells Alkalinity Conductivity Ammonia Total nitrates Phosphorous Herbicide and pesticide scans BOD COD

Surface Water PH Weekly Above and below project influence Quality-Receiving Salinity and at strategic stations above and Waters1 Alkalinity below drainage outfalls, at Conductivity minimum every 500 meters; if the Ammonia river exceeds 3 meters depth, Total nitrates samples at all stations should be at Phosphorous surface and at 60-80% of depth. Herbicide and pesticide scans BOD COD Coliforms

Drainage Quality1 PH Weekly At point of discharge Salinity Alkalinity Conductivity Ammonia Total nitrates Phosphorous Herbicide and pesticide scans BOD COD Coliforms

The World Bank Guidebook for Preparation and Review of EA, October 2000 59 1 If there are known or suspected discharges of municipal or industrial wastewater, then the full suite of parameters in The World Bank’s General Environmental Guidelines, provided in Annex III, should be monitored.

1.9 TOR Preparation: Key Issues and Output – Agriculture

2. EAs of agricultural projects, depending on the scope and purpose of the project, may require specific expertise in the following areas:

 Irrigation and drainage;  Agricultural engineering;  Soil and water management conservation;  Integrated pest management;  Use and management of pesticides and herbicides;  Rural transport;  Range management;  Point and non-point source water pollution management;  Terrestrial ecology (wildlife, plant and conservation ecology);  Health and water borne and soil disease vectors and parasites;  Social assessment and public participation.

1.9.2 Key Issues

This sector can include a broad range of projects, some of which can cause direct adverse environmental and/or social impacts, and are therefore likely to be Category A or B, and others which would cause zero or extremely limited environmental impacts and are therefore likely to be Category C. This section focuses on types of agricultural likely to be classified as Category A or B and which would therefore require an EA.

Agricultural development projects, especially in dryland environments such as MNA, are often designed to ameliorate progressive declines in agricultural productivity and environmental quality (e.g., soil and water conservation, rangeland management, irrigation and drainage, combating salinization and alkalinization of soil, and pest management). While many aspects of these type of projects will have positive environmental and social impacts, such as

The World Bank Guidebook for Preparation and Review of EA, October 2000 60 improved soil and water conservation practices, increased yield and employment opportunities, certain aspects have the potential for adverse environmental impacts. For example, use of use of agricultural chemicals (i.e., fertilizers and pesticides) to boost yields and reduce losses to insect pests can impair water quality and pose environmental as well as worker and public health risks through improper usage, transportation, and storage of agro chemicals.

A second major category of projects is the expansion of agricultural lands which often involves the conversion of land use. Impacts from such projects may include those associated with any new development project which involves land take including destruction of natural habitats, resettlement of legitimate property owners or squatters, or increased water resource demands. Layered on to such a project would be all of the above issues.

A third major category of agricultural projects which could have potential adverse impacts are agro-industrial projects and related support functions. Such projects involve development or expansion of processing facilities, provision of mechanical equipment such as tractors and harvesters, and/or development or rehabilitation of the transport infrastructure (i.e., rural roads). Potential impacts include land take, plant effluents, road development impacts, and equipment maintenance and fuel storage environmental management issues.

A listing of they types of agricultural projects which could have adverse impacts is provided below, but this list is for guidance only and is by no means comprehensive or indicative. In many cases, a project may involve more than one of the following:

 Crop diversification programs with new farming system components;  Production intensification programs (fertilization);  Pest management programs (pesticides and herbicides);  Livestock programs;  Agro-processing (i.e., development of new or increased capacity);  Land reclamation/expansion programs;  Irrigation and drainage; and  Rural road programs for improved market access.

Key issues associated with Irrigation and Drainage and Roads and Highways have been addressed previously, and the reader should refer to those sections for information.

The World Bank Guidebook for Preparation and Review of EA, October 2000 61 Key issues in the other likely aspects of a potential agriculture project may include:

Land and Water Resources

 Land tenure/property rights – land ownership is often concentrated in the hands of a few, or in other cases ownership is unclear. Cadastre projects are often necessary to clarify land ownership and property rights.  Water resources are under demand in the region, and virtually all agricultural projects in the region are dependent on allocation of water for irrigation. Water allocation and sustainable supply should be carefully considered in light of current and forecasted urban and industrial (including agro-industrial) demand.  Existing and future water quality constraints should also be carefully considered.

Natural Habitats

 Expansion of crop lands or rangelands may replace or otherwise degrade important natural habitats.  Agricultural runoff or effluent may adversely impact aquatic and/or terrestrial ecosystems and habitats.

Agro-Industries

 These industries can produce significant waste streams which must be managed.  Issues may include air emissions, wastewater effluents, and solid wastes.  Pollution prevention/cleaner production and energy and water conservation measures should be considered.  Worker health and safety and possibly labor issues should also be considered.  For new developments, the siting issues associated with any plant or facility development project (i.e., Thermal Power, Solid Waste) would apply in a manner commensurate with the scale of the project.

Agricultural Chemicals

 Pesticides and herbicide use can have serious short and long term impacts on the environment and ultimately human health through degradation of water quality, bio-accumulation, and direct morbidity or mortality of the workers utilizing these products.

The World Bank Guidebook for Preparation and Review of EA, October 2000 62 Socio-economic, Health and Cultural Heritage

 Projects may have positive benefits such as employment and reduced out migration.  Land conversion may benefit some and deprive others such as nomadic herders when rangeland is shifted to more intensive use or converted to cropland.  The region is rich in archaeological sites of major local and international importance as well as graveyards and other sites of religious importance.  Water table rise (waterlogging) and salinization can cause severe damage to ancient and modern structures and artifacts, especially metal.  Extensive ditching and related excavations associated with a major drainage project may potentially intersect sites of local or national cultural significance.

Public Consultation

2. The general requirements for the above are described in the introduction to this chapter (for additional details see the World Bank’s OP/BP/GP 4.01 - Environmental Assessment at the World Bank). Specific aspects under the above components of the EA that should be addressed in an EA of an agricultural project are described below.

The World Bank Guidebook for Preparation and Review of EA, October 2000 63 The World Bank Guidebook for Preparation and Review of EA, October 2000 64 Box 2.8 Key Output for Project Level EA for an Agricultural Project (in addition to Box 1.2).

Policy, Legal, In some MNA countries EA legislation is in the process of development or awaits and formal adoption. These countries may, nevertheless, operate according to a Administrative “voluntary” standard procedure, and the requirements of this should be described, Framework: including a brief description of the permitting and licensing procedures. Summaries of the requirements of any co-financing institutions should also be included. If transboundary impacts are likely, relevant international conventions should be described (a listing of International Conventions and MNA country signatories is supplied in Annex V).

Tables should be used to list applicable standards and note which authorities are responsible for their application. Where there are no relevant local standards, suitable international norms may be used (see relevant World Bank guidelines and standards in Annex III).

Project The type of project(s) involved will dictate the content of the EA. This section Objectives and should also describe the need for the project in the context of the local and national Description: strategy. The effect on economic and social development goals of the project area, country, and region when the project may potentially influence transboundary resources or other issues.

Where relevant and applicable, a physical and engineering description of the project should be provided.

Baseline Data: This section should include descriptions of the area of influence or study area and the relevant physical, biological and socioeconomic conditions. This should include any topics falling under the safeguard polices of the World Bank. The data presented should be relevant to decision making regarding project location, design, operation, and mitigation measures for adverse impacts. The source, accuracy and reliability of the data should be clearly stated.

Appropriate baseline data is not always readily available. It may be necessary to initiate a monitoring program for collection of baseline data prior to initiating the formal EA study. Many countries will have meteorological data and in most cases relatively inexpensive field investigations can provide much of the remainder. Where more detailed information is required (if significant effects on an important natural or cultural resource are anticipated, for example) there will often be previous studies of local conditions prepared for international agencies. There may also be unpublished information in government departments, universities, PhD theses, or voluntary groups. These should be investigated and used where relevant, provided that the sources, and any assumptions or uncertainties in the data are documented. Environmental  A prediction of the changes in the environment resulting from project Impacts: construction and operation are to be considered, and an assessment of the effect on the surrounding physical, biological, and human systems, should be presented. This should include positive as well as negative impacts. Mitigation measures should be identified as well as any negative impacts for which there are no mitigative measures. This section should also identify and estimate the

The World Bank Guidebook for Preparation and Review of EA, October 2000 65 extent and quality of available data, key data gaps, and uncertainties associated with predictions, and specific topics that do not require further attention.

The World Bank Guidebook for Preparation and Review of EA, October 2000 66 Analysis of This section should provide a brief description of possible alternatives to the Alternatives: project/project design (including the ‘no action’ alternative). These may include alternative location, site layout, technologies, design options, and management systems.

The reasons why the various alternatives considered were rejected should be documented.

Environmental This section should include details of the management initiatives to be Management implemented during both the construction and operational phase of the project. Plan: The EMP should have three main components:

 Institutional capacity issues;  Environmental mitigation implementation program; and  Monitoring program.

Responsibilities, implementing agencies or consultants, costs and sources of funds should be specified. Costs for EMP implementation typically range between ½ to 5% of project costs, though in some special cases costs may be higher. Higher costs are typically associated with projects involving large scale resettlement.

The standards, guidelines or targets for performance measurement for the monitoring program should be specified as well. This may include social economic measurements in cases where re-settlement is required. Performance standards are typically based on national legislation and the guidelines contained in the World Bank’s Pollution Prevention and Abatement Handbook (see Annex III for the General Environmental Guidelines).

Table 1.9.1 provides some general guidance on how a mitigation plan for an agricultural project may be structured. The exact nature of such a plan would be a function of the specific project’s likely adverse impacts.

The structure of an Environmental Monitoring Plan for an agricultural project would also be tailored to the specific project and its likely impacts. There fore a typical plan is not included here. The reader should consult previous sections of this chapter for types of monitoring plans for more specific sectors.

The World Bank Guidebook for Preparation and Review of EA, October 2000 67 Table 2.12 Example Mitigation Plan for potential issues associated with specific aspects of an agricultural project

Project Type/Issue Mitigating Measure Responsibility Time or Cost Requirements Irrigation and Drainage See Irrigation and Drainage

Rural Roads See Transport

Crop Diversification Programs  Farm workers may be Farm worker training program Agricultural 2 months of staff unfamiliar with techniques Ministry time per year for associated with new crops extension agents to leading to loss of employment work with farm workers Production Intensification Programs  Introduction of new crop Same as above Agricultural 2 months of staff strains or varieties Ministry time per year for  Increased usage of chemical Training/supervision of farm extension agents to fertilizers workers in the judicious use and work with farm efficient application of fertilizers workers

Pest Management Programs  Storage, handling and Training/supervision of farm Agricultural 2-3 months of staff application of agricultural workers in the judicious use and Ministry time per year for chemicals (pesticides and efficient application of chemicals to extension agents to herbicides) protect worker health and safety and work with farm the environment workers

 Application of Integrated Pest Training of IPM scouts for early Agricultural 2-3 months of staff Management to optimize recognition of pest outbreaks and Ministry with time per year for benefits and minimize excessive the most environmentally sound support of extension agents to usage of chemicals methods to combat outbreaks international work with farm consultants workers; costs of international consultant to be determined Livestock Programs  Overgrazing Development of range management Agricultural 4-6 months of staff specialists in Agricultural Ministry; Ministry with time per year for training/supervision of herders in support of extension agents to range management. international work with herders; consultants costs of international consultant to be determined

Agro-processing  Waste and effluent production Proper waste management and Agricultural Will vary with type wastewater treatment Ministry/local of waste, conditions

The World Bank Guidebook for Preparation and Review of EA, October 2000 68 Project Type/Issue Mitigating Measure Responsibility Time or Cost Requirements government of existing facilities; must be determined on the basis of the specific project characteristics Land reclamation/expansion Programs May potentially include most See preceding sections Agricultural Will vary with impacts associated with land Ministry/local project location, take/land use conversion government existing site identified in previous sections, use/cover, and site including cultural heritage resources

The World Bank Guidebook for Preparation and Review of EA, October 2000 69 1.10 TOR Preparation: Key Issues and Output – Financial Intermediaries and Social Funds

 the development and application environmental management systems for screening and managing FI sub-projects; and  environmental issues associated with the sector(s) in which the FI will be active.

1.10.2 Introduction

1. The World Bank is increasingly utilizing financial intermediaries as conduits for lending, particularly for lending programs targeted for small scale projects. At the World Bank, financial intermediary projects encompass two types: Financial Intermediary (FI) projects and Social Fund (SF) projects. FI project are targeted towards small and medium sized private sector enterprises or businesses (SMEs) or public/private infrastructure projects, with banks or other financial institutions, both private sector or quasi public sector, acting as the financial intermediary. Social Fund (SF) projects are targeted towards smaller municipalities or local governments to benefit the poor or especially vulnerable, with public or private agencies, such as local governments, NGOs or community groups, functioning as the financial intermediary. In both cases, the key issue in terms of EA is that the sub-projects to which the funds ultimately are disbursed can not be known at the time of appraisal and or/approval of the FI or SF project. While many FI and SF sub-projects may not cause any environmental impacts, there are other projects which may have significant environmental and social impacts without interventions management. This is particularly true of infrastructure sub-projects. Experience has demonstrated that there is a need for the development of mechanisms for applying some form of EA and environmental management plan (EMP) procedures for all financial intermediary projects. And all FI or SF projects financed by the World Bank are subject to the Environmental Assessment policy OP 4.01.

The World Bank Guidebook for Preparation and Review of EA, October 2000 70 2. OP 4.01 applies the collective FI Category (versus A, B or C) to all financial intermediary projects, both FI and SF projects, and specifies a special set of EA requirements for the category (1). The essential difference is that the responsibility for environmental screening, EA review, monitoring and compliance with Bank policies is devolved to the FI. It is also the FI’s responsibility to ensure that the sub-borrowers carry out appropriate EA, including the appropriate EMP for each sub-project.

3. EA of FI projects is designed to take this into account and therefore takes place at two levels:

1) An EA of the FI project prior to the World Bank’s appraisal or approval of the project. This includes a full assessment of the institutional capacity of the FI in addition to appraising any sub-projects which have been identified at that time.

2) EA at the sub-project level, according to the environmental screening and management procedures established in the above FI project EA. This will be in the form of a manual that would be part of the project implementation plan (PIP).

4. The extent and level of effort at the sub-project level, which may include screening, EA, EMPs with mitigation and monitoring, and annual reporting to the FI (and the World Bank), should be commensurate with the type/sectors, scale, and potential impacts of each sub-project. Often this determination can be made at the FI project EA level, especially when the FI program targets and sub-project eligibility criteria are relatively narrowly defined. In general, FI projects tend to be larger in scale or involved in sectors where significant impacts are more likely. Whereas, SF projects are typically smaller in scale and in sectors somewhat less likely to cause significant adverse impacts. For example, an SF project targeted towards rural education improvements including the construction of small school buildings is unlikely to include projects with significant environmental impacts (i.e., Category A or B projects). In FI private sector SME programs where loans are typically made to existing industries (i.e., leather tanning, food processing, and other small scale manufacturing operations), occupational health and safety issues and “brown” issues (i.e., emissions, wastewater, solid waste, pollution prevention) generally take precedence over “green” issues (i.e., land use/land cover changes/habitat destruction, resettlement) associated with infrastructure development projects. Therefore, in SME projects an environmental audit is a more appropriate assessment instrument than an EA, which is better, suited for new developments.

1 () For the remainder of this section, the term FI will refer collectively to both financial intermediary projects and social fund projects, unless specifically stated other wise.

The World Bank Guidebook for Preparation and Review of EA, October 2000 71 The World Bank Guidebook for Preparation and Review of EA, October 2000 72 1.10.3 Key Issues

1. The key issues for FI projects are listed below:

FI Capacity

 The quality and effectiveness of the FI’s EA procedure and the management of potential impacts, termed herein as the FI’s Environmental Management System (EMS), will largely depend on the institutional capacity of the FI and the legislative and regulatory framework of the country (see below).  Assessment of FI capacity and development of the EMS should be the key outputs of the EA of any FI project (see Project Level Environmental Management in Box 1.10.1 for further discussion).  A checklist for assessing FI capacity for management of environmental and related issues is provided in Table 1.10.1.  The main components of an FI EMS are provided in Table 1.10.2.

National Environmental Regulatory Framework

 A weak national environmental regulatory framework can contribute to ineffective implementation of the FI’s EMS at the sub-project level, especially in private sector SME lending.  The FI EMS should take into account the national and local legal framework for environmental and related issues versus World Bank policies and guidelines.

FI Lending Program Specificity

 Well defined FI lending programs with relatively explicit sub-project eligibility parameters in terms of sector and type facilitate the determination of the likely extent of potential environmental impacts at the FI project appraisal stage, and allow the appropriate emphasis to be placed on the FI’s EMS and the requirements to be met by sub-borrowers.  Conversely, less well specified or more broadly targeted FI programs make this more difficult, and also place more of a burden on the FI (and ultimately the World Bank) to determine the projects which require more extensive EA and environmental management.

1. Consultants are required to carry out an EA study and prepare an EA report for an FI project according to the standard EA format of the World Bank:

2. For the reasons discussed under key issues, the focus of an EA for an FI project will differ substantially from project EAs described in the preceding sections. The focus of an FI EA will be on:

 Project Objectives and Description;  Policy, Legal, and Administrative Framework; and  Environmental Management Plan, which should include the preparation of a manual of procedures for the FI’s environmental management system.

3. The general requirements of the World Bank the output of an EA are described in the introduction to this chapter, Box 1.2 (for additional details see the World Bank’s OP/BP/GP 4.01 Environmental Assessment at the World Bank). Specific aspects, which should be addressed in a project level EA of an FI project are provided in Box1.10.1.

Box 2.9 Key Output for Project Level EA for an FI Project, FI or SF (in addition to Box 1.2).

Project This section should describe the need for the project in the context of the local and national Objectives and strategy. The effect on economic and social development goals of the project area, country, Description: and region when the project may potentially influence transboundary resources or other issues.

A description of the FI structure, financing, staffing, expected longevity, and the specific types of sub-projects the FI will consider should be provided, including sub-project eligibility criteria.

Baseline Data: Determination of baseline data at this stage will be dictated by the specificity of the sub- project-lending program. If the program is extremely specific, such as a small scale thermal power development, then it may be possible to identify specific baseline data requirements. However, typically, the types of sub-projects may fall into several sectors and vary

The World Bank Guidebook for Preparation and Review of EA, October 2000 74 considerably in scale and therefore potential impacts, making determination of specific baseline data requirements quite difficult. Reference standards should include national and local regulatory standards and norms as well as the World Bank General Environmental Guidelines (see Annex III).

Environmental  As in baseline data above, determination of likely environmental impacts at the FI project Impacts: level EA will be dependent on the specificity of the sub-project lending program. FI projects which concentrate on specific sectors will allow greater anticipation of likely environmental and/or social impacts. For FIs involved in infrastructure, refer to the relevant project specific sections in the earlier sections of this guide.

Analysis of Project alternatives analysis at the FI project level will generally be limited to the design of the Alternatives: FI project and the “no project” alternative.

The World Bank Guidebook for Preparation and Review of EA, October 2000 75 Project Level The EMP is the key component of an FI EA. It should address the key issues noted in Section Environmental 1.10.3 and include the Environmental Management System (EMS) that the FI will use for Management screening sub-projects, managing potential impacts, monitoring and reporting. The EMP Plan: should include the following components.

FI Institutional Capacity Assessment Capacity of the FI to implement and manage the EMS (environmental screening, assessment, mitigation, monitoring, and reporting) at the sub-project level should be assessed and needs identified. Plans for meeting deficiencies, including specialized training, identification of local or international consultants available for support, and/or equipment purchase, should be determined as early as possible in the project cycle. Budget should be allocated and an implementation schedule developed. A checklist for assessing the FI’s capacity is provided in Table 1.10.1

Legal Framework Assessment The national and local legal and regulatory framework of the host country must be assessed and compared with the safeguard policies of the World Bank and the guidelines of the Pollution and Prevention Handbook. Mechanisms for harmonizing World Bank policies and guidelines with those of the host country must be formulated.

FI Environmental Management System (EMS)  Policies and procedures for reviewing, screening, monitoring, managing and reporting environmental issues associated with sub-projects must be established (see Table 1.10.2).  This system should take into account existing and planned national and local regulatory procedures, assess strengths and weaknesses and gaps between local and World Bank requirements; where possible and appropriate, incorporate these procedures into the FI EA system to reduce redundancy and unnecessary work.

 FI sub-project level screening and acceptance criteria to define unacceptable sub-projects or risks should be established as clearly as possible.  Checklists, reference standards, reporting formats, and other necessary forms, tracking and filing procedures should be established.  Limitations on non-compliance and enforcement mechanism including penalties and termination proceedings for acute non-compliance should be established.

Environmental Management Plans for Sub-Projects The FI, through its EMS, will require sub-borrowers to prepare and implement environmental management plans for sub-projects with potential, significant environmental and social impacts as defined by World Bank policies and guidelines. Background and approach for sub- project EMPs for FI projects are discussed in Box 1.10.2 and for SF projects in Box 1.10.3.

The World Bank Guidebook for Preparation and Review of EA, October 2000 76 Table 2.13 Checklist for assessing FI capacity and legislative and regulatory framework and Corrective Action Plan

Checklist FI Capacity  Senior management commitment to addressing and managing environmental issues  Existence of environmental management unit  Technical capacity of staff for understanding environmental and related issues and effective screening and review  Adequate resources provided by management  Established roles and responsibilities vis a vis the national environmental agencies  Provision of written guidelines for environmental screening, preparation of EA and supervision of environmental mitigation and monitoring plan  Potential local and/or international EA support capacity should be determined and a mechanism, including financial allowances, for acquisition of support put in place

Legislative Framework  Assessment of local relevant laws and decrees  Existence of ambient quality norms as well as limitations on pollution load discharges  Availability of mechanisms for enforcement

Corrective Action Plan . Determine gaps in institutional and legal framework; and . Prepare an action plan with the necessary budget to mitigate gaps in the institutional and legal framework.

The World Bank Guidebook for Preparation and Review of EA, October 2000 77 Table 2.14 Requirements for preparation an FI Environmental Management System (EMS)

Component Action Policies Develop policies for the FI which are harmonized with national and local legislative and regulatory framework as well as World Bank policies and guidelines

Roles and Responsibilities Establish roles and responsibilities including senior staff, with direct line responsibility for environment and related issues, and staff in charge of day to day operations.

Procedures 1. Obtain or prepare a brief description of the project and its environmental and H&S aspects (checklists) 2. Screen and classify sub-project 3. Follow environmental review procedure for each sub-project category 4. Ensure that borrower has all necessary operating permits 5. Accept or reject project 6. Prepare environmental and related requirements for inclusion into loan agreement contract (these may include various obligations including monitoring programs, corrective action plans, etc). 7. Require and review annual reports of environmental performance. 8. Conduct periodic audits of site inspections.

Box 2.10 EMPs for Infrastructure Financial Intermediary sub-projects

The World Bank Guidebook for Preparation and Review of EA, October 2000 78 Sub-projects financed by a Financial Intermediary can be very diverse depending on the focus of the fund. Often, such projects are targeted towards infrastructure, and in such cases while most projects would be classified as Category B and some as Category C, there exists the possibility of Category A sub-projects. For such projects, the key issues and output of the EMP should follow that provided for the sectors previously discussed for project specific EA (thermal power, transport, solid waste management, water supply and sanitation, and irrigation and drainage).

For sub-projects categorized as A and B, the content of the sub-project EMP should be similar to those developed in the preceding chapters for project specific EA, with the level of detail commensurate with the sub-projects category and the extent of adverse impacts, as for a project specific EMP. Emission and effluent norms and guidelines should be in accordance with the World Bank’s Pollution Prevention and Abatement Handbook.

The World Bank Guidebook for Preparation and Review of EA, October 2000 79 Box 2.11 EMPs for Social Fund sub-projects

Since sub-projects financed by a Social Fund (SF) project are typically small scale, the EMPs required by the Social Fund’s EMS should be tailored the type of environmental and related issues likely to be encountered. Many sub-projects, although small in size or scale, may have adverse impacts characteristic of the sector or because they are new infrastructure projects. These may include:  Tanneries  Smelters  Slaughterhouses  Pesticide use and handling  Electroplating  New municipal solid waste facilities  New construction of new rural roads  New wastewater ponds  New construction of sanitation systems (i.e., cesspools and sewer lines)  Agroindustries.

For such categories, the content of the EMP should be similar to those developed in the preceding chapters for project specific EA. Emission and effluent norms and guidelines should be in accordance with the World Bank’s Pollution Prevention and Abatement Handbook.

Frequently, SF sub-projects are involved in infrastructure rehabilitation or upgrading, and in such cases the adverse impacts are often quite limited and the positive impacts substantial. These may include:

 Rehabilitation of roads;  Improvements to water supply and sanitation;  Rehabilitation of schools and clinics.

A limited EMP will be required as shown in Tables 2.10.3 and 2.10.4. The reader should also refer to the EMP sections in the previous project specific EA sections for the relevant sectors.

Table 2.15 Potential Environmental impacts and proposed mitigation measures for different SF subprojects

Project Component Potential Impacts Mitigation Measures Responsible Agency (1) Roads  Clogging of natural  Maintain ditches List appropriate rehabilitation drainage channels agency  Encroachment on  Detailed property private property boundary surveys and flagging in field  Dumping of  Proper disposal of construction wastes construction wastes

The World Bank Guidebook for Preparation and Review of EA, October 2000 80 and accidental spills of machine fuels, etc.  Risk of damage to  Use “chance find” unknown procedures and archaeological sites coordinate with appropriate government agency

Improvements to  Cross contamination  Coordinate with List appropriate Water Supply and sewage and water appropriate agency agency Sanitation lines due to pressure differentials and leaks)  Improper disposal of  Proper disposal of construction debris construction wastes  Destruction of  Use chance find historical sites procedures and  Risk of damage to coordinate with archaeological sites appropriate agency Rehabilitation of  Improper disposal of  Proper disposal of all List appropriate schools and clinics wastes solid wastes; agency  Improper disposal of containerize infectious medical wastes wastes  Public health awareness  Priority given to rehabilitation of toilets in rehabilitation of schools/clinics

Table 2.16 SF sub-projects monitoring plan

Sub-project Monitoring Indicators Responsibility Frequency (1) Roads  Operating drainage  Environmental specialists Semi-annual rehabilitation channels in close coordination with assessment  No visible negative appropriate govt. agencies impacts on surrounding habitat Improvements to  Clean functioning toilets  Environmental specialists Semi-annual Sanitation Facilities  No leakage or overflows in close coordination with assessment of manholes or drains appropriate govt. agencies

Rehabilitation of  Toilet facilities clean and  Environmental specialists Semi-annual schools functioning properly in close coordination with assessment  Drinking water faucets appropriate govt. agencies clean and safe from contamination

The World Bank Guidebook for Preparation and Review of EA, October 2000 81 The World Bank Guidebook for Preparation and Review of EA, October 2000 82 2 SECTORAL ENVIRONMENTAL ASSESSMENT

2.1 Introduction

1. Environmental Assessment (EA) of single project developments has proven a very useful tool for managing project specific effects. However, the World Bank is increasingly adopting sector development lending programs, and project specific EAs, even in a series, have severe limitations as a tool for examining and managing the effects of a program of activities within a sector or for the development of an entire sector. These applications will benefit from a broader initial study which examines sectoral, policy and institutional issues as they relate to future environmental management of specific projects. This has been termed Sectoral EA. Sectoral EAs typically examine potential environmental effects of a suite of activities (i.e., sub-projects) planned for a number of sites over a period of time (i.e., a national power development program). The assessment will usually begin earlier in development planning than a project EA and will examine issues from a more “upstream” or contextual perspective. Issues such as allocation of scarce resources, compatibility with national environmental strategy, effect of induced development (secondary impacts) and potential cumulative impacts can be addressed much more effectively than may be practicable within a project- specific EA.

2. Similarly, a wider range of alternatives or preventative measures (for example, strengthening the environmental institutional and regulatory frameworks) may be identified through Sectoral EA. In addition, although undertaking an Sectoral EA will not eliminate the need for EAs of individual projects, the Sectoral EA can often provide useful data and act as a valuable and cost-effective scoping tool for project-specific EAs.

3. For these reasons the Bank has promoted the use of Sectoral EAs and issued guidance on its application (1).

2.2 From Project Level EA to Sectoral EA

1. The move towards extending EA upstream and ensuring some degree of environmental evaluation of strategic decisions for a sector development plan was influenced by at least two broad factors:

 increased realization of the limitations and weaknesses of project-level EA (in particular the choice of alternatives); and

1 () Environmental Assessment Sourcebook Update No. 4: Sectoral Environmental Assessment (1993).

The World Bank Guidebook for Preparation and Review of EA, October 2000 83  the emphasis on decision-making processes and a greater understanding of the links between policies and the individual projects which eventually help to implement them. Such links are not always evident and, projects in fact sometimes conflict with the overall objectives of a policy.

2. Sectoral EA can strengthen coherence between the various levels of development planning, as well as avoid, or, where this is not possible, highlight conflicting objectives thus ensuring more transparent decisions. By requiring a certain level of collaboration between development and environment agencies, Sectoral EA can promote greater understanding and long-term coordination between institutions.

3. As in project-level EA, Sectoral EA can help to identify, predict and evaluate adverse or beneficial impacts of public or private development initiatives. However, the timing of the Sectoral EA (in terms of the typical project cycle), the scale and scope of the proposal being assessed, the range of alternatives being considered and the strong involvement of stakeholder groups, all contribute to distinguish Sectoral EA from project EA.

4. Defining the assessment process as an integral part of the planning cycle becomes an absolute necessity in the case of Sectoral EAs, where information on the environmental implications of proposed plans or programs needs to feed into an often complex and lengthy decision making process.

5. At the Sectoral EA level, there are opportunities to shape the development proposal for a sector to achieve a better balance between economic, social and environmental objectives. These can, for example, include early discussions on the key aims of the project, the need or opportunity to coordinate such project with other initiatives or policy and legislative developments, the consideration of alternatives and the on-going process of public consultation.

6. The potentially significant role of Sectoral EA in shaping a development proposal has implications for the breadth of issues on which SECTORAL EA should focus. At least two broad schools of opinion on this issue can be identified (Dalal-Clayton and Sadler 1998):

 one which argues that Sectoral EA should focus mainly on environmental issues;

 another which takes the view that it should provide a sustainability focus and cover social and economic aspects as well as environmental ones.

The World Bank Guidebook for Preparation and Review of EA, October 2000 84 The Bank’s definition of Sectoral EA is given in in Box 2.1

Box 3.1 World Bank Definition of Sectoral EA

OP 4.01, Environmental Assessment, Annex A, defines Sectoral EA as:

“An instrument that examines environmental issues and impacts associated with a particular strategy, policy, plan, or program, or with a series of projects for a specific sector (e.g., power, transport, or agriculture); evaluates and compares the impacts against those of alternative options; assesses legal and institutional aspects relevant to the issues and impacts; and recommends broad measures to strengthen environmental management in the sector. Sectoral EA pays particular attention to potential cumulative impacts of multiple activities.”

2.3 Benefits of Sectoral EA

1. Three main benefits have been often quoted in relation to Sectoral EA (Dalal-Clayton and Sadler 1998):

 strengthening project EA;  advancing the sustainability agenda; and  addressing cumulative and large-scale effects.

2. These and other important characteristics and benefits of Sectoral EA are summarized in Table 2.1.

Table 3.1 Key Benefits of Sectoral EA

Key benefit Description

Environmental and Data on the state of the environment and natural resources and on the sustainability data main sources of pressure is essential for EA and sustainable planning in general. Where such data is not readily available, Sectoral EA offers a valuable opportunity to collect and organize data, identify gaps and needs for future investment. Sectoral EA can outline methods, schedules and responsibilities for data collection and management during program or project implementation. The data will also be essential for monitoring environmental changes over time and overall project and sector performance.

Sustainability in Sectoral EA is more likely to address sustainable development issues decision-making and objectives. The Sectoral EA process, if integrated with the planning process, can actively promote sustainability within decision-making.

The World Bank Guidebook for Preparation and Review of EA, October 2000 85 Key benefit Description

Alternatives By taking place at the very early stages of planning, Sectoral EA can identify and evaluate alternative policies, plans and programs, enabling the borrower to balance economic objectives with social and environmental ones. Thus, it can take into account the costs and benefits, particularly the environmental and social costs that are often ignored in least-cost project planning.

Institutional It is the public sector that normally carries out or commissions Sectoral EAs. They therefore have the authority and remit to address institutional issues at the sectoral level of planning. At this level it is possible to analyze the overall institutional and legal framework and identify gaps, make recommendations (e.g., on institutional strengthening, creation of new environmental standards, training, technological needs), and identify potential funding problems. This reduces the need for such analyses further downstream at the project specific level.

Collaboration and The Sectoral EA process should be integrated as much as possible with coordination the planning process and in this way provide a basis for collaboration and coordination across different responsibilities across the sector (agencies, ministries, etc.) and sectors. This will enhance understanding and information exchange and should serve to prevent and avoid policy conflicts over policy or institutional responsibility among the different government agencies active in the sector, and reduce or avoid redundancy and duplication of effort.

Transparency By promoting collaboration and consultation between various institutions involved in the sector, Sectoral EA clearly shows the planning process and intermediate choices that combined the final decision(s). It can identify, at an early stage, alternatives/decisions that are likely to lead to projects with adverse impacts. Thus Sectoral EA reduces negative impacts and eliminates the need for project-EA of such alternatives (see also Upstream Identification of Issues).

Long-term views The development of a sector can be planned according to more long- term views and objectives, including environmental and social views and objectives.

Cumulative impacts Cumulative impacts (positive and negative, direct and indirect, long- term and short-term) arise from a range of activities throughout a sector, where each individual effect may not be significant if taken in isolation. By taking a more comprehensive view of a sector’s development, it is possible to analyze the cumulative impacts of multiple (ongoing, planned or simply considered) investments as well as impacts from relevant policies.

Mitigation As in the treatment of alternatives above, an upstream Sectoral EA enables borrowers to identify a wider range of mitigation options which

The World Bank Guidebook for Preparation and Review of EA, October 2000 86 Key benefit Description

can involve changes in related policies or legislation as well as specifications for structural design.

Upstream The process of project-EAs will benefit in a variety of ways from the identification of key completion of a Sectoral EA upstream. The latter can, for example: sectoral issues  simplify the screening of projects for EAs by providing clear criteria on the basis of the information gathered at the sectoral level;  simplify and reduce the cost and time needed for project specific EAs by, for example, having conducted some portion of the alternatives analysis; initiated the collection of baseline data, and carried out a portion of the scoping exercise;  strengthen preparation and implementation of specific projects by producing standards and guidelines for their implementation and improving intra-sectoral institutional capacity and cooperation.

Public Participation The Sectoral EA process can provide a vehicle for public participation at the very early stage of project (or plan, policy) selection and design, helping to build the necessary public support for the initiative. This is particularly important both for the type of projects to be funded and for the choice of location and related social and environmental implications.

2.4 Types of Sectoral EA

1. There are two main types of Sectoral EA which have been identified by the World Bank on the basis of where/when in the planning cycle the Sectoral EA takes place.

2. Diagnostic stage Sectoral EA - When a Sectoral EA is applied to the very early stages of sector planning, when it is far too early to focus on sub- projects, it contributes to the design of the project by being part of the diagnostic study process. This has the advantage of allowing a comprehensive and realistic consideration of alternatives (World Bank 1997).

3. Programmatic stage Sectoral EA - The World Bank has increasingly used programmatic sector loans that establish a framework for the preparation and implementation of several sub-projects. At this stage, Sectoral EA focuses on the design or strengthening of the institutional or regulatory framework for environmental screening, assessment, review and monitoring of sub-projects. By focusing on the most significant impacts related to the sector, the Sectoral EA also prescribes standard approaches to project design and mitigation (e.g., through a manual or the definition of standards). This has reduced the scope

The World Bank Guidebook for Preparation and Review of EA, October 2000 87 of work for sub-project specific EAs and generally strengthened the borrower’s overall EA capacity (World Bank 1997).

2.5 TOR Preparation: Key Issues and Output for Sectoral EA

1. As for the eight sectors described in Chapter 2, the key issues and outputs for a Sectoral EA are described below. As this discussion relates to Sectoral EA in the abstract, examples are necessarily far more conceptual and general than for the sectoral examples in Chapter 1. This discussion also focuses on the Programmatic Stage Sectoral EA as opposed to the Diagnostic Stage Sectoral EA as described above.

2.5.1 Key Issues

1. As discussed previously, the main benefits of Sectoral EA are to address strategic sectoral issues upstream of actual projects and to strengthen the necessary legislative and regulatory framework. The key issues and themes in Sectoral EA are listed in the table below.

Table 3.2 Key Issues and Themes in Sectoral EA

Key Issues Themes Sectoral Development Objectives  Long-term sustainability  Conflicts with other sectors  Economic drivers of sector development  Sector issues (master plan, supply and demand, resource implications)

Alternatives Analysis  Alternative development scenarios  Timing, phasing  Alternative technologies, sites,

Identification of Environmental Issues  Induced development  Cumulative impacts  Competition for scarce resources or conflicts with other resource users  Compatibility with long-term development plans  Potential breaches of (current or future) ambient standards, emission limits, operating codes and practices, technical specifications.)

Analysis of Policy, Institutional and Regulatory  National policy issues related to the sector Issues (pricing, cost recovery/revenue collection)  Current environmental laws, regulations,

The World Bank Guidebook for Preparation and Review of EA, October 2000 88 Key Issues Themes and standards and likely/required future programs  Institutional capacity existing/required to manage, regulate and enforce the law  Procedures and guidance available/required to support compliance with national regulations and standards and World Bank policies and guidelines

Analysis of Environmental Baseline Data  Current and planned future land use on Requirements site and region  Current or potential future designations (nature reserve, area of natural beauty, heritage site etc.) at and around the site  Assessment of the need for ambient measurements of air, water, soil quality  Availability of basic geographical and environmental data including topography, water resources, geology, and climate (e.g., winds, precipitation, ambient air quality, ambient surface and groundwater quality)

Consultation, Decision Making and  Aims of consultation and identification of Environmental Management Planning stakeholders  Consultation strategy, arrangements to ensure transparency and determination of the degree of Public Participation  Elaboration of the decision-making process  Identification of criteria for decision- making

2.5.2 The Sectoral EA Study and Report

1. The Sectoral EA report will typically follow the same World Bank reporting format as for project level EA:

 Section 1 - Executive Summary  Section 2 - Policy, Legal and Regulatory Framework  Section 3 - Project Objectives and Description  Section 4 - Baseline Data  Section 5 - Environmental Impacts  Section 6 - Analysis of Alternatives  Section 7 - Environmental Management Plan

The World Bank Guidebook for Preparation and Review of EA, October 2000 89 Box 2.2 presents general descriptions of the expected content for each of the above sections applicable to all sectors at the Sectoral EA level.

The World Bank Guidebook for Preparation and Review of EA, October 2000 90 Box 3.2 General Content of a Sectoral EA Report

Executive Should be designed to be a consultation document and should be available in the Summary: language most used by the project stakeholders. It should contain a concise statement of the project objectives and a brief project description in addition to a description of key project findings and recommendations for environmental management.

Policy, Legal, The legislative and administrative framework should be analyzed in terms of the and long-term strategy for the sector and presents an excellent opportunity to identify Administrativ conflicting or overlapping institutional remits and policies and promote cooperation e Framework: and coordination between development and environment agencies at the national level. Similarly, where applicable, the analysis may focus at least in part on the linkages between the national and local administrative frameworks and opportunities strengthening coordination and cooperation.

Project This section should describe the need for the project in the context of the local and Objectives and national situation and strategy. The effect on economic and social development goals Description: of the locality, country and region should be described. If the project is a sector program, then the main programmatic elements should be presented.

Baseline Data: The availability and sufficiency of baseline data suitable for the preparation of future project specific EAs should be analyzed. Data gaps or needs should be identified and recommendations or TORs for the collection of the critical baseline data should be included.

Environmental The likely significant environmental impacts arising from implementation of the Impacts: sector program should be assessed. Typically these will be considered at the broader macro or regional scale as opposed to a site-specific scale. However, in some cases attention may be focussed on specific resources of major environmental, cultural or social concern.

Analysis of This is typically a major section of a Sectoral EA and should present a thorough Alternatives: analysis of the alternatives considered for the sector. The options considered should include all relevant solutions and strategies including but not limited to demand management, technologies, siting, timing, etc. In many cases alternatives may be peculiar to the sector and/or the country. The reasons why the various alternatives considered were rejected should be documented.

The World Bank Guidebook for Preparation and Review of EA, October 2000 91 Environmental A Sectoral EA EMP will typically address issues at the policy and administrative level Management as opposed to the project or sub-project level. This may include: Plan:  Establishment of a baseline data collection program;  Recommendations for emission and effluent standards;  Establishment of criteria for sub-project prioritization, site selection and other anticipated decision making needs;  Policies, formulas and/or criteria for resettlement or land take; and  Institutional needs including training and equipment.

As in a project-specific or sub-project EMP, responsibilities, implementing agencies or consultants, costs and sources of funds should be specified. The standards, guidelines or targets for performance measurement for the monitoring program should be specified as well. This may include socio economic measurements in cases where resettlement is required. Performance standards are typically based on national legislation and the guidelines contained in the World Bank’s Pollution Prevention and Abatement Handbook.

2.5.3 Key Issues in Four Specific Sectors

1. The application of Sectoral EA varies in accordance with the characteristics and issues associated with each sector. Table 3. 3 below further elaborates upon the Key Issues introduced in Section 1.5.1 as they apply to all sectors and for the following four sectors to which Sectoral EA is most likely to be applied in the MNA region.

The World Bank Guidebook for Preparation and Review of EA, October 2000 92 Table 3.3 Likely Key Issues for Sectoral EA for Four Sectors in the MNA Region

Key Issues All Sectors Likely Sector Specific Issues in MENA Sectoral Development Objectives What is Government development strategy in this Power : sector? What is the need for the sector program in the Development of the national grid, reduced number of small generators particular local and national context? Projected growth of power use and decline in power intensity Greater use of CNG, but more exports of CNG (e.g. to Europe) What are the economic drivers of sector development Exploitation of cogeneration (e.g. for desalinization) and therefore what is the most likely pattern of sector Political need for security of supply and diversity of fuel sources development in the short and medium terms (e.g. high Availability of investment capital in state budget growth/low growth scenarios). Availability of water for cooling Power needs of growth sectors (irrigation, air conditioners, desalinization) What are the main components of the sector program? Servicing Informal Settlements Are they interdependent? What are their resource Power Theft needs (investment capital, raw materials, managerial and technical skills, labor, natural resources)? What are Water and Sanitation the projected outputs? On what external activities, or Rural development strategy assumptions, does successful implementation rely? Political acceptability of cost recovery mechanisms Water balance and drought response plans What factors will determine the long-term Servicing Informal Settlements sustainability of sector development (demand and Reducing system losses supply, resource constraints, prospects for economic Water Theft growth, effective management and regulation)? Reuse of waste water by downstream industries and settlements

Are conflicts with other sectors likely (e.g. because of Irrigation and Drainage competition for natural resources, labor and technical expertise, capital, political priority, management skills) Maintenance of food security (in potential conflict with the following) Ensuring most (economically) efficient use of scarce water supplies Farmer education and support Conflict with residential water users

Solid Waste Management Safe disposal of collected wastes Growth of non-putresible waste elements Separation of hazardous and recyclable fractions Key Issues All Sectors Likely Sector Specific Issues in MENA Public attitudes to waste disposal and littering

Analysis of Alternatives Alternative development scenarios Power : Timings, phasings Fuel choices available, sustainability and security of fuel supply Alternative technologies, sites, Greenhouse gas emission projections under available scenarios Exploitation of cogeneration (e.g. for desalinization) Phasing of power development (e.g. to match industrial or population growth) Technologies chosen and effects on investment needed, emissions, fuel efficiency, hazards

Water and Sanitation Mix of large-scale vs small-scale development Waste water disposal and treatment options Level of service provided Phasing and proportion of population to be covered in each phase Level of losses tolerated, cost-benefit of this

Irrigation and Drainage Water sources Point to which water is delivered Crops that will benefit from water supplied

Solid Waste Management Extent of coverage of collection system Methods of collection (door-to-door, communal skips, collection vehicles, transfer stations) Mode of disposal (dump, landfill, incinerator)

Identification of Environmental Are there long-term development or land-use plans for Power : and Social Issues the area, or well -established traditional uses, and to Land requirements for transmission lines and distribution networks what extent is the sector plan compatible with these? (perceived) need to limit residential exposure to electric and magnetic Key Issues All Sectors Likely Sector Specific Issues in MENA fields What will be the effect on economic and social Downstream (including transboundary) effects on air quality development of the locality, country and region? Disposal of hazardous wastes (ash and FGD residues) Secure source of cooling water, return of water for reuse Will the activities create opportunities for other Effect (beneficial) of displacing small-scale generators and more polluting development in the locality, if so are they compatible fuels (e.g. diesel) with existing plans and will they be adequately Source of raw materials for (e.g.) FGD controlled? Water and Sanitation What is the environmental quality of the area at Ensuring that increased use of water resources is sustainable present? Will the cumulative effect of the sector Protecting quality (sewerage, treatment plants, for downstream users) program and the other planned development lead to Controlling reuse to those appropriate to the water quality breaches of (current or future) ambient standards, Attaining a rational balance between irrigation and domestic use emission limits, operating codes and practices, Protection of groundwater recharge areas and surface resources technical specifications.)? Protecting the ecological and recreational value of water bodies Developing contingencies (e.g. strategic reserves) in case of drought Will natural resources (water, development sites, Complying with international water sharing agreements recreational opportunities, biological habitats) be Efficient disposal of treatment wastes (use for energy or fertilizer) affected that are currently utilized by others, or may be wanted by other sectors? How do the economic costs Irrigation and Drainage and benefits of such use compare with those of the sector program? Ability of resource to supply long-term needs of the sector Trends in quality, suitability of different types of crop to differing quality Effect of abstraction on quality (reduced dilution) Potential conflicts between large-scale schemes and traditional users Vulnerability of soils to water-logging and salinization

Solid Waste Management Soil types and aquifer locations Content of waste stream Availability of soil cover (for landfill) Potential for recycling and waste minimization Potential activities of waste pickers Management of collection and disposal systems Key Issues All Sectors Likely Sector Specific Issues in MENA Analysis of Policy, Institutional What is national related to the sector (pricing, cost and Regulatory Issues recovery/revenue collection). Is the policy complete? Coherent and adequate to meet future demands? Which bodies are responsible? Are any aspects covered by international conventions or treaties?

What environmental laws, regulations, and standards currently obtain? Are these in accordance with international good practice? Are they likely to be, or in the process of being reformed? How do they effect the proposed developments?

Is the existing institutional capacity sufficient to manage the process and to regulate and enforce the law? What would be required to develop such a capacity?

Are procedures and guidance available/required to support compliance with regulations? Analysis of Environmental What are the current and planned future land uses on Baseline Data Requirements site and downstream from site, as described in national masterplans, or as observed during site visits. What confidence is there that the land uses will be controlled as planned? What is the recent history of development of similar land areas?

What current or potential future designations (nature reserve, area of natural beauty, heritage site etc.) apply at and around the site? Is there any indication that potentially affected areas might meet the criteria for such designation?

Is there any likelihood that emissions from the sectoral development will contribute to a cumulative breach of environmental quality standards? Is there uncertainty about environmental quality such that it would not be possible accurately to assess the effects of any Key Issues All Sectors Likely Sector Specific Issues in MENA developments? If so, is there a need for measurements of ambient air, water, or soil quality?

Basic geographical data (topography, water resources, geology, climate)

Consultation, Decision Making Has the degree of Public Participation in sector and Environmental Management development been determined and in this appropriate? Planning Is there a strategy for consultation with clear aims and an effective methodology for identifying and involving stakeholders?

Are arrangements in place to ensure transparency and openness?

Has the decision-making process been clearly elaborated and the criteria for decision-making established? 3 PART B - REVIEWING ENVIRONMENTAL ASSESSMENT REPORTS

3.1 Introduction

1. Environmental information obtained throughout the Environmental Assessment (EA) process is organized and presented, during the initial stage of project preparation, as an Environmental Assessment report (EA report). An EA report therefore forms the major output of the EA process.

2. The review of an EA report should enable the decision maker to identify the likely environmental impacts and to assess their effects on natural resources and people so that a decision can be taken on project viability with a clear understanding of the environmental costs and benefits likely to be incurred. It should therefore provide data and analysis to show how the project as originally designed can potentially affect the environment and contain firm commitment from the project proponent to actions that will be taken to avoid, remedy or compensate for these effects.

3. In doing so, the EA report should also clearly outline any uncertainties with measurement, prediction, and aggregation, that may form an input to decision making.

4. This chapter advises the reviewer in the appraisal of information submitted as an EA report in the project development process. Its objective is to assist reviewers in evaluating the completeness and suitability of the information from a technical and decision making viewpoint. The chapter aims to achieve this through the supply of a series of ‘Review Checklists’, corresponding to the structure required in the completion of an EA report (as laid out in Part A).

5. Note: the checklists are not intended as a tool to verify whether the information provided meets legal requirements, as this is only possible in the context of the specific country’s legislative and regulatory framework.

3.2 Components of an EA REPORT

1. As introduced in Part A, World Bank policies and procedures, as outlined in OP/BP/GP 4.01, require an EA report to contain information relating to the following areas:

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 98 1. Executive summary 2. Policy, legal and administrative framework 3. Project objectives and description 4. Baseline Data 5. Environmental impacts 6. Analysis of alternatives 7. Environmental management plan

2. While not specifically requested as a discrete section in the EA report, public consultation should also be undertaken throughout the EA process to gather information from local people and to inform people about the project at all major stages of the EA process. The EA report should document this process, and consultation of the public is therefore included as Category 8 of the Review Checklist.

3. The approach, presentation, and layout of the information are also key to the quality and clarity of the EA report and its use to the decision maker. The report layout is therefore addressed as Category 9 of the Review Checklist.

4. In addition, the very first part of the review checklist, Client’s Commitment, would apply to approved projects seeking World Bank financing.

3.3 How to Use this Chapter

1. After reading the EA report, the reviewer may use this chapter in considering the relevance and adequacy of the information presented. In essence, the content and quality of the EA report should be reviewed under each of the categories above, in addition to public consultation (Category 8) and its form and layout (Category 9). In doing so, the reviewer may wish to draw on the supplementary information provided in Part A.

2. In reviewing (and grading – see Section 1.3.1 below) the EA report, the reviewer should also bear in mind:

 the legal provisions which apply;

 the level of decision making at which the EIA is being conducted; for example does the decision relate to the principle of the project, or to the detailed engineering design? What further decisions are still being taken on the project and will environmental and social issues be considered?

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 99  the particular characteristics of the proposed project; for example, is the project very large, or does it involve new or experimental technology? Could it set a precedent for other projects in the same location or elsewhere?

 the particular characteristics of the environment; for example, is the project in a particularly sensitive location, or one where there are significant impacts from existing activities?

 public attitudes to this type of project and to the particular project; for example, is it a controversial type of project, or does it raise high profile environmental issues?

3.3.1 The Checklist

1. For each of the review questions listed in the checklist, the reviewer first of all decides whether the question is relevant to the type of development proposed. If not, the reviewer notes this and moves on to the next question. If the question is considered relevant, the reviewer examines the information provided in the EA report and assesses it.

2. The assessment criteria provided in Table 2.1 below allow for the appraisal of each review sub-category in Categories 1 to 9 to be assigned qualitative scores. Scores of D or E would indicate that the information in the sub-category is inadequate (i.e., insufficient for decision making) and that further information, data or analysis is required.

3. When deciding on scoring, the reviewer should bear in mind the purpose of the EA, which is to support decision making. The primary concepts the reviewer should use for judgement are:

 Is the information presented in each part of the EA report sufficient to allow one to make a decision with confidence?  Are the project impacts acceptable with the controls or mitigation measures put in place?

4. Having reviewed the information presented in the context of each subheading of all nine categories, an optional next step may then be to aggregate the grades assigned for each category using the assessment criteria in Table 4.1. To assist in this task, a form for consolidating the overall appraisal outcome for each category of the EA Report Evaluation Checklist is included at the end of the checklist.

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 100 THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 101 Table 4.1 Assessment Criteria

Grade Criteria

(A) Excellent The environmental information contains everything required for decision-making on the project. There are no gaps.

(B) The environmental information contains most of the information Good required as far as it is relevant in the particular circumstances of this project; any gaps are relatively minor.

(C) The information presented is not complete; there are significant Satisfactory omissions but in the context of the proposed project, these are not so great as to prevent a decision being made on whether the project should be allowed to proceed.

(D) Some of the information has been provided, but there are major Inadequate omissions; in the context of the proposed project these must be addressed before a decision on whether the project should be allowed to proceed can be taken.

(E) The information required has not been provided or is far from Poor complete, and, in the context of the proposed project, the omissions must be addressed before a decision on whether the project should be allowed to proceed can be taken.

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 102 THE EA REPORT EVALUATION CHECKLIST

Client Commitment for World Bank Project Financing Client acceptance of EA findings and recommendations Applicable? Grade (Y/N) 1 Has the EA report been prepared or commissioned by the client?

2 Has the lient explicitly endorsed the EA report and its EMP?

3 Has the client commented in writing on the EA report and the EMP and have these comments been incorporated in the version reviewed?

4 Or has the client simply transmitted the EA cover report with a cover note?

5 What does the cover note say about the client’s commitment?

Category 1 - Executive Summary Non-technical summary Applicable? Grade (Y/N) 1 There is a non-technical summary of the main findings of the study

2 The summary presents the main findings of the assessment and covers all the main issues raised in the information

3 The summary avoids technical terms, lists of data and detailed explanations of scientific reasoning

4 The summary indicates the confidence which can be placed in the results

5 The summary contains a matrix or table presentation of the proposed Environmental Management Plan

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 103 Category 2 - Policy, Legal, and Administrative Framework Permitting and Applicability Applicable? Grade (Y/N) 1 Clearly describes the legal and administrative framework applicable to the nature, purpose and objectives of the project

2 Clearly identifies and provides relevant and applicable standards and norms against which project performance will be measured

3 Classifies the project in the context of national EA legislation or screening criteria, where applicable

4 Identifies any litigation against the project which may restrict the environmental appraisal

5 All the relevant international conventions ratified by the borrower are listed and their implications for the project, if any, are spelled out clearly (Annex V contains a listing of conventions ratified by the MENA countries)

6 Includes information relating to site clearance and point of issue. This may include clearance under local and national regulators and authorities.

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 104 Category 3 - Project Description Criterion Applicable? Grade (Y/N) Principal features of the Project

1 Explains the purpose(s) and objectives of the development

2 Indicates the nature and status of the decision(s) for which the environmental information has been prepared

3 Gives the estimated duration of the project construction phase, operational phase and, where appropriate, decommissioning phase, together with the program within these phases

4 Describes the proposed development, including its design or size and scale. Diagrams, plans or maps will usually be necessary for this purpose

5 Indicates the physical presence or appearance of the completed development within the receiving environment

6 Describes the methods of construction

7 Describes the nature and methods of production or other types of activity involved in the operation of the project

8 Describes any additional services (water, electricity, emergency services etc) or developments required as a consequence of the project

9 Describes the project’s potential for accidents, hazards and emergencies

Land Requirements

1 Defines the land area taken up by the development site and any associated arrangements, auxiliary facilities and landscaping areas required by the construction site(s), and shows their location clearly on a map. For a linear project, describes the land corridor, vertical and horizontal alignment and need for tunneling and earthworks

2 Describes the uses to which this land will be put, and demarcates the different land use areas

3 Describes the reinstatement and after-use of landtake during construction

Project Inputs

1 Describes the nature and quantities of materials needed during the construction and operation phases

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 105 2 Estimates the number of workers and visitors entering the project site during both construction and operation

3 Describes their access to the site and likely means of transport

4 Indicates the means for transporting materials and products to and from the site during construction and operation, and the number of movements involved Residues and emissions

1 Estimates the types and quantities of waste matter, energy, and other residue materials generated during construction and operation of the project, and rate at which these will be produced

2 Indicates how these wastes and residue materials are expected to be handled and/or treated prior to release/disposal, and the routes and sites by which they will eventually be disposed of to the environment

3 Identifies any special or hazardous wastes which will be produced, and describes the methods for their disposal as regards their likely main environmental impacts

4 Indicates the methods by which the quantities of the waste and residuals were estimated. Acknowledges any uncertainty, and gives ranges or confidence limits where appropriate

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 106 Category 4 - Baseline Data Description of the area occupied by and surrounding the project Applicable? Grade (Y/N) 1 Indicates the area expected to be significantly affected by the various aspects of the project with the aid of suitable maps. Explains the time over which these impacts are likely to occur

2 Describes the land use(s) on the site and its surrounding areas

3 Defines the affected environment broadly enough to include any potential significant effects occurring away from the immediate areas of construction and operation Baseline conditions

1 Identifies and describes the components of the affected environment potentially affected by the project

2 The methods used to investigate the affected environment are appropriate to the size and complexity of the assessment task. Uncertainty is indicated

3 Predicts the likely future environmental conditions in the absence of the project. Identifies variability in natural systems and human use

4 Uses existing technical data sources, including records and studies carried out for environmental agencies and for special interest groups

5 Reviews local, regional, and national plans and policies, and other data collected as necessary to predict future environmental conditions

6 Local, regional and national agencies holding information on baseline environmental conditions have been approached

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 107 Category 5 - Environmental Impacts Impact identification Applicable? Grade (Y/N) 1 Considers direct and indirect/secondary effects of constructing, operating and, where relevant, after-use or decommissioning of the project. Considers whether effects will arise as a result of ‘consequential’ development

2 Investigates the above types of impacts in so far as they affect: human beings, flora, fauna, soil, water, air, climate, landscape, interactions between the above, material assets, cultural heritage

3 Also any issues in addition to those above covered under the World Bank’s safeguard policies: natural habitats, pest management, cultural property, indigenous peoples, resettlement, forestry, safety of dams, and disputed areas.

4 If any of the above are not of concern in relation to the specific project and its location, this is clearly stated 5 Identifies impacts using a systematic methodology such as project specific checklists, matrices, panels of experts, extensive consultations, etc. Describes the methods/approaches used and the rationale for using them

6 The investigation of each type of impact is appropriate in its importance for the decision, avoiding unnecessary information and concentrating on the key issues

7 Considers impacts which may not themselves be significant but which contribute incrementally to a significant impact

8 Considers impacts which might arise from non-standard operating conditions, accidents and emergencies

9 If the nature of the project is such that accidents are possible which might cause severe damage within the surrounding environment, an assessment of the probability and likely consequences of such events is carried out and the main findings reported

Prediction and Evaluation of Impacts

1 Describes impacts in terms of the nature and magnitude of the change occurring and the nature location, number, value, and sensitivity of the affected receptors

2 Predicts the time scale over which the effects will occur, so that it is clear whether impacts are short, medium, or long term, temporary or permanent, reversible or irreversible

3 Where possible, expresses impact predictions in quantitative terms. Qualitative descriptions, where necessary, are as fully defined as possible

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 108 4 Defines the likelihood of impacts occurring, and the level of uncertainty attached to the results

Methods and Data

1 The methods used to predict the nature, size and scale of the main impacts are sufficient for the task, clearly described, and their sources clearly identified. Any gaps in the data are indicated and accounted for

Evaluation of Impact Significance

1 Discusses the significance of effects in terms of the impacts on the local community and on the protection of environmental resources

2 Discusses the significance of effects taking into account the appropriate national and international standards or norms, where these are available (e.g., the General Environmental Guidelines and applicable industrial sector guidelines from the World Bank’s Pollution Prevention and Abatement Handbook.

3 Includes a clear indication of which impacts are significant and which are not

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 109 Category 6 - Analysis of Alternatives Description of Alternatives Applicable? Grade (Y/N) 1 Alternatives are presented and compared

2 The alternatives are realistic and genuine

3 Gives reasons for selecting the proposed project, and the part environmental factors played in the selection

4 Compares the alternatives’ main environmental impacts clearly and objectively with those of the proposed project and with the likely future environmental conditions without the proposed project

Mitigation of Alternatives

1 Describes the reasons for choosing the particular type of mitigation, and the other options available

2 Considers the mitigation of all significant negative impacts and, where feasible, proposes specific mitigation measures to address each impact

3 Explains the extent to which the chosen mitigation measures will be effective. If uncertain, this is made clear and data are introduced to justify the acceptance of any assumptions

4 Indicates the significance of any impacts remaining after mitigation, and justifies why these impacts should not be mitigated

5 Investigates and describes any adverse environmental effects of mitigation measures and alternatives

6 Considers the potential for conflict between the benefits of the mitigation alternatives and their adverse impacts

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 110 Category 7 - Environmental Management Plan Commitment to mitigation and monitoring Applicable? Grade (Y/N) 1 Includes a complete Environmental Management Plan (EMP), including a Resettlement/Compensation Plan and an Indigenous Peoples Plan (if applicable)

2 Gives details of how the mitigation measures will be implemented and function over the time span for which they are necessary

3 Proposes monitoring arrangements for all significant impacts, especially where uncertainty exists

4 Includes a list of personnel responsible for the implementation of the EMP

5 The scale of any proposed monitoring arrangements corresponds to the potential scale and significance of deviations from expected impacts

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 111 Category 8 - Public Consultation Criterion Applicable? Grade (Y/N) 1 There has been a genuine attempt to contact the public, relevant public agencies, relevant experts, and special interest groups where applicable. Lists the groups approached

2 Statutory consultees have been contacted. Lists the consultees

3 Identifies valued environmental attributes on the basis of this consultation

4 Identifies all project activities with significant impacts on valued environmental attributes. Identifies and selects key impacts for more intense investigation. Describes and justifies the scoping methods used

5 The EMP is costed and presented in a schedule corresponding to the duration of the project; and that funding has been secured and institutional responsibilities and organization are clearly stated 6 Includes a copy or summary of the main comments from consultees and the public, and measures taken to respond to these comments

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 112 Category 9 - Presentation and Layout Organization of information Applicable? Grade (Y/N) 1 There are chapter or section summaries outlining the main findings of each phase of the investigation

2 Presents information so as to be comprehensible to the non-specialist. Uses maps, tables, graphical material, and other devices as appropriate. Avoids unnecessary technical or obscure language

3 Avoids superfluous information 4 Indicates any gaps in the required data and explains the means used to deal with them in the assessment 5 The information is objective and does not lobby for a particular point of view. Adverse impacts are not disguised by euphemisms or platitudes

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 113 OVERALL APPRAISAL OF THE INFORMATION

This section is provided for overall appraisal of the EA report on the basis of the nine Review Checklist categories. Note that the assignment of qualitative scores cannot and should not replace the decision making process.

No. Review Area Judgement Comment / Score

1 EXECUTIVE SUMMARY 2 POLICY, LEGAL, AND ADMINISTRATIVE FRAMEWORK 3 PROJECT OBJECTIVES AND DESCRIPTION 4 BASELINE DATA 5 ENVIRONMENTAL IMPACTS 6 ANALYSIS OF ALTERNATIVES 7 ENVIRONMENTAL MANAGEMENT PLAN 8 PUBLIC CONSULTATION 9 PRESENTATION AND LAYOUT

I recommend that this EA Report (please Be returned Be approved Other (please indicate) indicate):

C o m m e n t

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 114 s

Signed : …………………………………… Date: ...... Desk : ……………………………

THE WORLD BANK GUIDEBOOK FOR PREPARATION AND REVIEW OF EA 115 REFERENCES

Dalal-Clayton, B., and B. Sadler. 1998. Strategic Environmental Assessment: A Rapidly Evolving Approach. In: A Directory of Impact Assessment Guidelines. Second Edition. International Institute of for Environment and Development. London.

World Bank. 1992a. Environmental Assessment Sourcebook, 3 vols. Washington, D.C.

_____. 1993. “Sectoral Environmental Assessment.” Environmental Assessment Sourcebook update. Washington, D.C.: World Bank.

_____. 1994. Roads and Environment Handbook. Report No. TWU13. Washington, D.C.

_____. 1995f. Second Environmental Assessment Review: FY 1993-1994. Washington, D.C.: Land, Water, and Natural Habitats Division.

_____. 1999. World Bank Operational Manual, Operational Policy 4.01: Environmental Assessment. Washington, D.C.

_____. 1999 (April). Pollution Prevention Abatement Handbook 1998: Toward Cleaner Production. Washington, D.C. 550 pp.