E4588 V3 IUCN Tel. +41 22 999 0000 Rue Mauverney 28 Fax +41 22 999 0002 1196 Gland mail@iucn.org Switzerland www.iucn.org IUCN Environmental Assessment and Management Framework (EAMF) of Pilot Projects under the ENPI-FLEG II Program for Armenia and Georgia Environmental Assessment and Management Framework (EAMF) • As the ENPI FLEG II Program is financed via WB-EU TF, all WB Operational Policies should be applied also for the IUCN proposed activities; • According to Operational Policy OP 4.01, the EAMF may be used as an environmental assessment (EA) tool in the following cases: “when a project consists of a program and/or series of sub-projects, and the impacts cannot be determined until the program or sub-project details have been identified” = before project appraised • EA Category FI (Financial Intermediaries) – subprojects of this category (primarily, identified upon appraisal of the project as a whole) are funded through a financial intermediary (FI), and requirements and procedures for such assessments are laid out in the EAMF • EAMF sets out guidelines, procedures and measures to promote proper environmental management (risk and impact management) as applied to project-funded activities EAMF Purpose • EAMF provides guidance for sub-borrowers (subproject sponsors) and financial intermediaries on how to comply with applicable country laws and regulations and operational procedures of OP 4.01 • EAMF provides a basis for environmental and social assessment to identify, assess and mitigate potential impact of project activities by the time when all aspects of such impact are fully known • EAMF is used as a reference document for assessing possible environmental and social impact of different investment project alternatives • EAMF is used as guidelines for preparing subproject-/site-specific environmental management plans (EMP), environmental assessment (EA) reports, environmental review and environmental audit reports and other documents • EAMF is an integral part of the Project Operational Manual and is applied in the cases of all investments, involving FIs, regardless of finance sources or implementing agencies Key objectives • Establish procedures for assessing all proposed subprojects with a view to identifying potential adverse environmental and social impact of their activities • Define measures to limit, mitigate and monitor environmental impact of project activities • Provide a general description of training and managerial and technical capacity building inputs needed to ensure compliance with the EAMF Roles and responsibilities: Projects with indirect investment World Bank Contract-based relations Assigns one of the following categories: FI, A, B or C to a proposed project in accordance with the environmental and social safeguard policies IUCN: Prepares framework papers for the project Assesses the FI’s capacity to comply with the social and (Environmental Management Framework; environmental safeguard policies Resettlement Framework Policy) Advises the FIs on the social and environmental policies and frameworks; gives its ‘no objections’ for framework Discloses framework documents and documents holds required public consultations Discloses all documents related to the social and environmental safeguards in the Infoshop, and as Undertakes screening of subprojects, required, submits them to the Board classifies them into categories, assesses, Undertakes prior and/or post reviews of EA/EMP/RAP approves and monitors the subprojects, based on the framework documents (this Supervises the implementation jointly with the FI includes causing acceptable EA/EMP; RAP to be prepared *) Grant beneficiaries Prepares EA/EMP, RAP* based on the FI’s guidance Discloses the EMP/RAP and holds required public consultations Performs its functions related to the implementation of the EMP/RAР* (including selection of contractors; integration of the EMP into contracts; and EMP enforcement) Subproject EA, review and approval • Project identification • An EA study in compliance with WB’s • Preparation of the requirements statement/application to IUCN • Review of the subproject readiness • Funding and preparation of the EA or statement/application EMP • Subproject appraisal • Receipt of required • Environmental compliance authorizations/permits or licenses monitoring based on the EMP • Approval of the subproject by local • Reports to the World Bank in the and regional environmental cases of non-compliance with any authorities (if needed) EMP provisions • Subproject implementation in • Safeguards records and compliance with the EMP documentation keeping for all • Reports to the IUCN in the cases of subprojects non-compliance with any EMP provisions Subproject proponent IUCN EAMF Subproject screening, review and approval • The project screening form to be completed by the subproject proponent Subproject name, location (map), type of activity, physical data, environmental information, potential environmental impact, EA category (B or C), pollution mitigation measures, required environmental studies (EIA – environmental impact assessment or EMP), required public consultations and information disclosure requirements. • Screening criteria include: site-specific environmental risks and impact; land zoning requirements, environmental license/permit; “negative” list of investments not allowed for financing under the project • Reviewer decides the level of impact to be assessed through EIA or EA/EMP Checklist for category B • The subproject is approved on the basis of environmental and social review findings (or denied/approved with some changes) • Disclosure/public meeting is a function of the implementing agency of the subproject subject to EA Note: no category A will be supported under the FLEG II Program EA-BASED SUBPROJECT IMPLEMENTATION The FI will bear main responsibility for preparing the EA and monitoring the application and use of this document. Under the subproject supervision, the FI will:  Be responsible for assessing the sub-borrowers’ capacity to comply with the EA safeguards and more generally to cope with environmental and social management  Make site supervision visits to check compliance with the EA safeguards  Collaborate with local environmental authorities to address compliance with the EA safeguards, including receipt of valid authorizations/permits  Cause the sub-borrower to hold required public consultations with due diligence, and to this end, review minutes of such public consultations  Jointly with the sub-borrower, evaluate the overall environmental performance of the investment project, including any taken critical mitigation measures and significant environmental incidents  Prepare quarterly and annual EA safeguards implementation reports Environmental Assessment : Main Sections Screening/scoping – identification of potential issues to be considered, including identification of other triggered (social and environmental safeguard) policies with subsequent decision on the type and level of assessment for a given project Assessment– confirmation and evaluation of the significance of the issues to be considered Environmental baseline (valued environmental components) OP 4.01 – with Identification/assessment of potential impact a focus on the Acceptable changes versus environmental baseline process. Mitigation – identification of measures to avoid/reduce/compensate for adverse Refer to other impact, including expected results (e.g., standards to be achieved); appointment of environmental persons to be responsible for this, and confirmation of their adequate capacity and and social safeguard resources policies and the Monitoring – monitoring of mitigation measures to confirm the achievement of Environmental, expected results (in the case of failure to achieve them, appropriate modifications Health and should be made – adaptive management) Safety (EHS) Guidelines for technical details Like most laws and regulation on EA, OP 4.01 gives the first priority to EIA needs assessment based on project screening to identify potential environmental (and associated social) impact … The likelihood of adverse Potential significant adverse impact is at a minimum environmental impact; the whole or equals zero; even if range of issues to be addressed; there is a need to take substantial mitigation measures Moderate impact; only the most mitigation measures, and monitoring are needed evident issues to be addressed; they are only the most some standard mitigation measures simple ones and monitoring are needed A full EIA is required Category A A limited EA and/or an Environments Management No EIA is required Plan are required Category C Category B “Indicative list” of Category B projects :  Small-scale infrastructure projects: power transmission and distribution networks, rural electrification, mini (run of the river with no major water impoundments) or micro- hydropower projects, small-scale clean fuel fired thermal power plants, renewable energy (other than hydropower), energy efficiency and energy conservation, rural water supply and sanitation, road rehabilitation, maintenance and upgrading; telecommunications, etc.;  Health care service delivery, HIV-AIDS, education (with limited expansion of existing schools/buildings), repair/rehabilitation of buildings when hazardous materials might be encountered (e.g., asbestos, stored pesticides); and  Small-scale irrigation, drainage, agricultural and rural development projects, rural water supply and sanitation, watershed management and rehabilitation, and small-scale agro-industries, tourism (small-scale developments). OP 4.36 – Forests: Scope and Objectives of the policy Scope of the Policy, - it is applied to the following types of Bank-financed investment projects: (a) projects that have or may have impacts on the health and quality of forests; (b) projects that affect the rights and welfare of people and their level of dependence upon or interaction with forests; and (c) projects that aim to bring about changes in the management, protection, or utilization of natural forests or plantations, whether they are publicly, privately, or communally owned. Policy objectives: (a) The management, conservation, and sustainable development of forest ecosystems and their associated resources are essential for lasting poverty reduction and sustainable development, whether located in countries with abundant forests or in those with depleted or naturally limited forest resources. The objective of this policy is to assist borrowers to harness the potential of forests to reduce poverty in a sustainable manner, integrate forests effectively into sustainable economic development, and protect the vital local and global environmental services and values of forests. (b) Where forest restoration and plantation development are necessary to meet these objectives, the Bank assists borrowers with forest restoration activities that maintain or enhance biodiversity and ecosystem functionality. The Bank also assists borrowers with the establishment and sustainable management of environmentally appropriate, socially beneficial, and economically viable forest plantations to help meet growing demands for forest goods and services. Forestry projects not financed by the Bank • Projects that would involve significant conversion or degradation of critical forest areas or related critical natural habitats; • Projects that contravene applicable international environmental agreements; • Plantations that involve any conversion or degradation of critical natural habitats, including adjacent or downstream critical natural habitats; • The Bank may finance commercial harvesting operations only when the Bank has determined, on the basis of the applicable environmental assessment or other relevant information, that the areas affected by the harvesting are not critical forests or related critical natural habitats. Note: the FLEG II Program will not support any commercial harvesting operations, including those to be conducted by local communities Critical forest areas • Critical forest areas are the subset of natural forest lands that cover: • (i) existing protected areas and areas officially proposed by governments as protected areas (e.g., reserves that meet the criteria of The World Conservation Union (IUCN) classifications), areas initially recognized as protected by traditional local communities (e.g., sacred groves), and sites that maintain conditions vital for the viability of these protected areas (as determined by the environmental assessment process); or • (ii) sites identified on supplementary lists prepared by the Bank or an authoritative source determined by the Regional environment sector unit. Such sites may include areas recognized by traditional local communities (e.g., sacred groves); areas with known high suitability for biodiversity conservation; and sites that are critical for rare, vulnerable, migratory, or endangered species. Listings are based on systematic evaluations of such factors as species richness; the degree of endemism, rarity, and vulnerability of component species; representativeness; and integrity of ecosystem processes. Natural Habitat Safeguards and Policies: OP 4.04 • promotes and supports natural habitat conservation and improved land use by financing projects designed to integrate conservation of natural habitats, maintenance of ecological functions and rehabilitation of degraded natural habitats into national and regional development projects; • does not support projects that involve significant conversion or degradation of critical habitats • does not support projects that involve significant conversion of natural habitats unless:  there are no feasible alternatives for the project and its siting ,  comprehensive analysis demonstrates that overall benefits from the project substantially outweigh the environmental costs, and  the project includes proper environmental management/mitigation measures Natural Habitat Safeguards and Policies: OP 4.04 The IUCN Approach The IUCN ADA FLEG Program explores the interface of communities and natural habitats and will quantify this relationship in order to better preserve and manage natural habitats and land use as well as protect land use to avoid conversion of critical lands and natural habitats. • Specific screening of activities implemented by IUCN include the preparation of a detailed activity framework that IUCN uses to help assess, in advance of implementation, whether a possible negative impact could occur. While the balance of the work IUCN will implement under the ADA FLEG Program involves assessments and studies the possibility always exists that a negative impact will occur and, therefore, IUCN’s use of the activity framework helps identifies and address a potential environmental risk. The IUCN ADA FLEG Regional Coordinator also works as the EAMF and PF coordinator and will be involved in assessing the potential negative impact for each of the activities proposed. Any activity flagged as having a potential for negative impact will require a complete mitigation plan, prepared by the EAMF/PF coordinator and this person will work with each of the CPCs (Country Program Coordinators) from Georgia and Armenia to develop a mitigation strategy and submit to World Bank for review and comments. Definitions* • Natural habitats are land and water areas where o the ecosystems' biological communities are formed largely by native plant and animal species, and o human activity has not essentially modified the area's primary ecological functions • Critical habitats* are natural habitats of high value for biodiversity conservation, e.g., those which: • Are critical for rare, vulnerable, migratory, or endangered species; • Are of particular importance for endemic species or restricted-range species; • Support high concentrations of congregatory species; • Have unique species representation or are associated with key evolutionary processes • Support biodiversity of high social, environmental and cultural value for local communities; OR • Are protected by local legislation and/or international agreements *Rephrased definitions of the WB and IFC Definitions (ii) • Significant conversion/degradation is elimination or severe diminution of the integrity of a natural habitat caused by a major, long-term change in land or water use (or short-term change with a long period of restoration) or severe pollution/contamination. It may be a direct or indirect consequence of a project. • Appropriate conservation and mitigation measures are measures to avoid or reduce adverse impact, keeping such impacts within socially defined limits of acceptable environmental change. They may include:  full or partial strategic habitat retention within the project site;  restriction of conversion or modification only to unsubstantial elements of the ecosystem  restoration of degraded habitats/reintroduction of species  establishment and maintenance of an ecologically similar (identical) protected area of suitable size and contiguity (“similar areas”) • Such mitigation measures should always provide for their monitoring and evaluation with subsequent adaptive management. • Screening and steps for projects, affecting natural habitats • Identify the geographical/environmental Project Impact Zone; • Find out whether the project impact zone includes an area classified as a natural habitat Natural habitats have, among other things, the following characteristics: • vegetation is fully or predominantly represented with wild species • there are no cattle breeding farms • water-adjacent areas are intact or almost intact • there are few or no permanent dwellings, important buildings, infrastructure sites (except for short-distance dirt and wood-strip roads) • there are no substantial economic activities, except for hunting and wild plant gathering in reasonable amounts • there are no significant sources of pollution (to disturb the ecosystem functions ) • the above listed characteristics refer to environmentally important areas (the geographical coverage varies by ecosystem) • If so, undertake a desk review, field study and a series of consultations in order to: • assess the biodiversity baseline and conservation value; • find out whether the area is a critical habitat or a natural habitat • If the project may have impact on a natural (but not critical) area: • An EA, including a special review, is required; • It is necessary to cause respective stakeholders (NGOs, groups of natural resource users) to be involved in the consultation process Important points to remember : Application of Operational Policy OP 4.04 (Natural Habitats) is not limited to Protected Areas. It applies to all natural habitats (including terrestrial, aquatic, marine and aerial ones). The EIA should inform whether the proposed investment project is likely to have impact on a critical and/or natural habitat. To find it out, it is often necessary to undertake field studies, covering several seasons (it is not admissible to confine to literature reviews and consultations with experts). If the EA produces evidence of potential impact of the project on a natural (non-critical) habitat, it may be financed but must include mitigation measures acceptable to the WB. Such measures may include conservation of an identical natural habitat (compensation/establishment of a similar PA). When OP 4.04 is triggered, it is often necessary to involve a Panel of Experts in project preparation / assessment / design. Projects affecting natural forests trigger both the Natural Habitats Policy and the Forests Policy. Project types which are likely to trigger the Natural Habitats OP Infrastructure : • Transportation construction (roads, railways, ports, etc.) • Power (hydroelectric, wind, thermal, transmission lines, access roads) • Water (reservoirs, diversions, canals) • Urban or rural development (large land conversion, wetland drainage or filling…) Agriculture/livestock: land clearing, fencing, pesticides, irrigation Fisheries: conversion of wetlands or near-shore habitats for aquaculture, destructive/over fishing Forestry/wood : intensive logging of natural forest; conversion to plantation Industry: pollution of terrestrial and aquatic habitats, land clearing, access roads Tourism: land clearing, wetland drainage or filling, excessive disturbance Telecommunications: transmission lines and towers (often on mountain tops) Privatization: sale of state-owned lands, water rights Types and categories of FLEG subprojects and their potential impact Subproject type Potential environmental and social impact /mitigation measures Category Forestry projects Forest plantation - Loss of biodiversity, converted land cover may impact wildlife migration A/B and forestation and foraging habitats, disruption to fragmented wildlife corridors -Threat to ground water supply associated with certain plantation crop selection Reforestation Selection of tree species, endemics and proven reforestation practices B Nursery/ seedlings B/C Fire control Avoid undue impact to crops, households and natural habitats B Woodlots Proper community consultation and agreement rights for resource use B/C Types and categories of FLEG subprojects and their potential impact (cont.) Energy Projects to Decrease Wood fuel harvesting and Use Category Bio-mass, bio gas, Degradation of natural vegetative cover, pressure to convert more land into A/B bio fuel power fuel sources development Micro hydro Hydrological flows, water quality, maintain ecosystem services Relocation, B compensation and/or resettlement Wind turbines Proper siting, Noise, bird and bat mortality A/B Solar energy Assure reduced indoor air pollution B Charcoal production Ensure energy efficient process B Support sustainable production from legal sources wood Brick making When feasible, energy supply substitution to more efficient fuels for production Improved cooking Cause indoor air pollution to be reduced B/C stoves Types and categories of FLEG subprojects and their potential Infrastructure/Social Services impact (cont.) Category Forest roads Displacement of housing or farms or involuntary resettlement A/B Bridges and culverts Loss of natural areas, important habitats, biodiversity Increased soil erosion leading to sediment in runoff and, possibly, gully formation Rural electrification Water Supply Contamination of water source supply, groundwater or surface water Improve d Crop Production Crop production for Water pollution and water quality deterioration; extraction and water rights, land B subsistence needs and for loss and resettlement, natural habitats, species loss, land degradation sale Agro-forestry Maximize food production with environmental steward practices B Choose species to improve biodiversity Maintain soil cover to prevent erosion and loss of soil nutrients Aquaculture Avoid conversion of natural aquatic habitats and wetlands A/B Choose nutrient inputs based on need and season to avoid eutrophication Types and categories of FLEG subprojects and their potential impact (cont.) Animal Production Small animal husbandry Use of untreated wastewater for irrigation can cause the decline of soil quality. B Potential health issues associated with bird flu and other diseases Proper siting of animal sheds/pens regarding drinking water supply, homestead heath issues related to animals Beef, goats, chickens Agro-Processing Processing fruits & vegetables, General good housekeeping standards and EMS program, worker safety, proper B and sources, oil seed crushing emissions and discharge control, potential air, surface and groundwater contamination, processing and solid waste disposal Bee keeping, honey B/C manufacturing Grain & seed storage facilities, cold storage A/B Horticulture Contamination due to disposal of pesticides/insecticides containers, Health and B Safety, Uncontrolled cultivation of genetically modified varieties, Crop residual disposal, Waste generation and disposal including plastics and non- Fruits, berries, nuts, vegetables biodegradables B A/B Floriculture Environmental Management Plan for a project involving afforestation of degraded agricultural lands Mitigation measures Time Responsibility (years) Use soil protection practices such as contour plowing for planting and 1-5 Moldsilva; forest enterprises technology with minimum soil treatment Use hydro technical installations where appropriate to reduce erosion and 1-5 forest enterprises landslides Limit the use of exotic tree species and maximize the use of indigenous tree 1-5 forest enterprises species , plant mixed species composition to enhance biodiversity Plant ‘green’ shelterbelts of Rosa canina, Prunus spinoza etc. around forest 1-5 forest enterprises plantings to prevent illegal grazing Schedule thinning and felling operations for late autumn and winter when 5-15 forest enterprises they have least impact on fauna years Connect, as feasible, the afforested land areas with one another and with 1-15 Moldsilva; forest enterprises; other natural habitats and protected areas through ecological corridors Ministry of the Environment Systematically inform local authorities about the project implementation , 1-5 Ministry of the Environment publish and disseminate public awareness materials in order to get community/public support Project monitoring table for an afforestation project Indicator Methodology/data Frequency/evaluation Responsibili sources dates ty Floral species diversity in Field surveys of In accordance with the Moldsilva; the project sites vs control established carbon monitoring forest sites monitoring plots schedule (in spring and in enterprises autumn) Bird species within the Field surveys of In accordance with the Moldsilva; project area established carbon monitoring forest monitoring linear schedule (in spring) enterprises transects Exotic/indigenous plant Field surveys of In accordance with the Moldsilva; species ratio established carbon monitoring forest monitoring plots schedule (in spring and in enterprises autumn) Project monitoring table for an afforestation project Indicator Methodology/data Frequency/evaluation Responsibili sources dates ty Floral species diversity in Field surveys of In accordance with the Moldsilva; the project sites vs control established carbon monitoring forest sites monitoring plots schedule (in spring and in enterprises autumn) Bird species within the Field surveys of In accordance with the Moldsilva; project area established carbon monitoring forest monitoring linear schedule (in spring) enterprises transects Exotic/indigenous plant Field surveys of In accordance with the Moldsilva; species ratio established carbon monitoring forest monitoring plots schedule (in spring and in enterprises autumn) PROJECTS DISCLOSURE AND PUBLIC CONSULTATION Why should stakeholder consultations be held? • To improve the project design • To inform people about expected changes which may affect them • To incorporate their opinions into the development and implementation of project activities • To identify adverse impact of the project and mechanisms to enhance project benefits • To identify risks for and from the project • To enhance support of the project and its reliability • To comply with the consultation-related requirements of the World Bank and those of the country government • Participants: project beneficiaries, project-affected people, other stakeholders (e.g., local self-governance, local NGOs) • Purpose: • 2-way process: to inform people and enable them to make their inputs into designing the projects, affecting their lives, well-being and environment • to promote the stakeholder dialogue (among government, communities, NGOs, and implementing agencies ) Disclosure and safeguard policies Two interlinked objectives: • Disclosure in support of meaningful public consultations • Disclosure for the World Bank’s shareholders and constituents to ensure transparency of its operations Disclosure and consultation requirements set forth in the following safeguard policies: 4.01 (Environmental Assessment) 4.04 (Natural Habitats) 4.36 (Forests) 4.10 (Indigenous Peoples) 4.11 (Physical Cultural Resources) 4.12 (Involuntary Resettlement) Documents to be disclosed: • All impact mitigation plans referred to in the SG Policies: • Environmental Assessment/ Environmental Management Plan • Resettlement Action Plan, Policy Framework or Process Framework • Indigenous Peoples Plan • Pest Management Plan* * Referred to in BP 4.01 Annex C – PMP as part of the Environmental Management Plan Requirements for EA disclosure and consultation • The EA documents should be disclosed and consulted in the country before appraisal of the project; • The disclosure should be done on the IOs/ENPI FLEG website and in the local communities/local councils where the project will be located in about 2 weeks before public consultation; • The EA documents should be translated into a local language, understandable for potentially affected population; • The IO takes into account received recommendations and reflect them in the final version of the EA document; • Minutes of the public briefing should be attached to the EA document. EAMF implementing arrangements and responsibilities • Subprojects EA is the responsibility of IUCN and WWF; • Each IO will assign a Safeguards Specialist with the following main tasks: - performing the screening phase based on the TORs in order to identify the pilot projects which need the EA; - based on the WB’ Operational Policies, ensuring the quality of the EA process and compliance with both WB and National requirements; - performing control of the way of development for EA process done by the subprojects beneficiaries; - organize and ensure the public participation in all EA phases, which request this; - revising of the EA documents and ensuring their quality; - reporting to the WB on the EAMF and EMPs implementation. World Bank Support • Providing assistance to the IUCN in designing the EAMF and in conducting subprojects screening and EA, if needed; • Providing “no objection” on conducted by IUCN subprojects environmental categorization; • Revising progress reports on EAMF implementation; • If needed, conducting supervision of EMPs implementation for subprojects that might cause environmental/social impacts; • Conducting EA training for IUCN and NPACs representatives.