E N V I R O N M E N T 20021 W 3 ~D E P A R T M E N T it DPART MS PAPER NO 71 TOWARD ENVIRONMENTALLY AND SOCIALLY SUSTAINABLE DEVELOPMENT ENVIRONMENTAL ECONOMICS SERIES Environmental Perfornance Indicators A Second Edition Note Lisa Segnestam October 1999 ' Environmentally and Socially Sustainable Development The World Bank ESSD Eu THE WORLD BANK ENVIRONMENT DEPARTMENT Environmental Performance Indicators A Second Edition Note Lisa Segnestam October 1999 Papers in this series are not formal publications of the World Bank. They are circulated to encourage thought and discussion. The use and citation of this paper should take this into account. The views expressed are those of the authors and should not be attributed to the World Bank. Copies are available from the Environment Department, The World Bank, Room MC-5-126. Contents ACKNOWLEDGMENTS V EXECUTIvE SUMMARY vii Chapter 1 Introduction 1 Chapter 2 Environmental Performance Indicators 3 Chapter 3 A Project Indicator Framework 5 Chapter 4 Selecting Environmental Performance Indicators 9 Chapter 5 Representative Environmental Areas 13 Forestry 13 Biodiversity 14 Land use 16 Air pollution 18 Water pollution 20 Global environmental problems 22 Institutional issues 23 Chapter 6 Summary 25 Annex 1 - Matrix of Representative Environmental Performance Indicators 27 Annex 2- Examples of the Use of EPIs in World Bank Projects 31 Table A. Lithuania Siauliai Environment Project 32 Table B. Malawi Environmental Management Project 33 Environmental Economics Series Hii Environmental Performance Indicators - A Second Edition Note Annex 3- Other World Bank Performance Indicators Notes 35 REFERENCES 37 Boxns 1 The use of performance indicators in natural resource management projects 3 2 Indicator typology-The Pressure-State-Response framework 5 Figure. The Pressure-State-Response model 3 Baselines, intermediate targets, and end targets-An example 11 Table. Indicators with baselines, intermediate targets, and end targets 4 Forest and Parks Protection Technical Assistance Project in Haiti 15 Table A. Output indicators and targetsfor aforest and parks protection project Table B. Desired impact and indicatorsfor aforest and parks protection project 5 The Cape Peninsula Biodiversity iConservation Project 17 Table. Indicatorsfor a biodiversity conservation project 6 Natural resources management in Tunisia 18 Table. Indicators for a natural resources management project 7 Indicators of rural sustainability-.-An outlook for Central America 19 Table. Regional/National/Local indicatorsfor land use and agriculture 8 Water and sanitation services in Caza 21 Table. Indicatorsfor a water and sanitation services project in Gaza 9 Institutional capacity in pollution control and abatement projects 24 Table. Indicatorsfor institutional issues FIGURES 1 Project and component-level indicators ,7 2 A project's contribution to overal] environmental problems 7 iv Environment Departnent Papers Acknowledgments This note is an update and revision of an earlier Thanks are due to John Dixon, Ernst Lutz, note published in 1996 that was prepared by Stefano Pagiola, Kirk Hamilton, Jan Bojo, and John Dixon, Arundhati Kunte, and Stefano Aziz Bouzaher for useful comments and Pagiola. This new edition was prepared by Lisa suggestions on a previous version of this note. Segnestam. Please send cornments and corrections by e-mail to lsegnestam@worldbank.org or by fax to (202) 522-1735. Environmental Economics Series v Executive Summary The Performance Monitoring Indicators the major categories of environmental problems Handbook (1996) discusses how to structure normally encountered in the World Bank's indicators within a logical framework, how work. performance monitoring indicators are developed in general, how to link them to the Indicator Framework. The framework used in this objectives of different levels, and how they note is based on the input-output-outcome-impact affect the World Bank's work. This Second model. While this approach distinguishes Edition Note is part of a series of notes that are between project outcomes and project impacts, meant to assist World Bank task managers in the the format used in the guidelines for Project selection and design of performance indicators. Concept Papers or Project Appraisal Documents Following the structure introduced in the bundles the two together.1 For this reason the Performance Monitoring Indicators Handbook, proposed framework speaks of "impact" this note discusses the design and the use of indicators, to facilitate the use of this note and environmental performance indicators (EPIs) to to allow for some of the ambiguities that arise in assess and evaluate the performance of World practical situations. Moreover, the note does Bank projects in relation to environmental not further present or discuss project inputs or issues. indicators relating to project inputs, since the design of input indicators is already generally Performance monitoring vis-A-vis the well developed. Hence, the note discusses two environment is applicable to many tpes of different levels of objectives and indicators: the projects. Projects with primary or secondary project's overall objectives (e.g., reduction of components that specifically address water-borne diseases or increased access to safe environmental issues, as well as projects whose drinking water) and the impact indicators that activities mayhaeadrectrindrectmpmeasure and monitor these overall objectives, activites may have a direct or indirect impact and the project's components (e.g., installation onte nionet ne evrnmna of water monitoring stations) and the output performance indicators to evaluate their impact indicators that measure and monitor the output on the environment-that is, to ensure that they of thoecmens (e.g., the ofter are~~ ~ hain th.eie oiieipc,t of those components (e.g., the amount of water are having the desired positive impact, to monitored). monitor any possible adverse impacts, and to guard against unanticipated effects. Given the Selecting EPIs. There is no universal set of diversity of environmental problems, the indicators that is equally applicable in all cases. variety of contexts in which they arise, and the The note discusses the major selection criteria numerous possible solutions to them, no for choosing appropriate EPIs: "correct" set of indicators exists. This note is designed to help the reader select indicators by Direct relevance to project objectives. EPI providing a framework and its application to selection must be closely linked to project Environmental Economics Series vii Envirorunental Performance Indicators - A Second Editioni Note objectives and the environmental problexns different scales. There might also be lags in being addressed. Vague or overly broad time before project effects are felt. objectives such as "protecting biodiversily" are of little use in selecting EPIs (and may w(ell Targets and baselines. The goal of EPIs is to indicate that the project or component itself is monitor and evaluate the long-term not very well thought out). Where the environmental effects arising from Bank- environmental impact is not the primary supported activities. This implies a need to objective, the Environmental Assessment (EA) measure the environmental problem at three process can outline the potential impacts and points in time: before the project begins (to hence help select EPIs. obtain baseline values), during project implementation, and after the project has ended Limitation in number. A small set of well- (to compare baseline values to targets). chosen indicators tends to be the most effective approach. Interpreting EPIs. The interpretation of EPIs varies across problems and indicators. Where Clarity in design. It is important to define the benchmarks exist (e.g., WHO safe drinking indicaLtors clearly in order to avoid confusion in water standards), indicators can be compared to their dievelopment or interpretation and them. In many cases, the emphasis is on maintain the distinction between output and variations in the indicator over time. The impact indicators. appropriate comparison, however, is generally to the counterfactual situation of what would have happened in the absence of the project. Realistic collection or development costs. EPIs neptaoncnbhmerdiaporae must be practical and realistic, and their cost of Inter inoration n in colleed. Becaue collec tion and development therefore need to be considtered. This may lead to trade-offs many EPIs vary substantially over time, between theiforntionontenofvriomeasurements over prolonged periods are often between the information content of vario)us indicators and the cost of collecting themr. necessary before trends can be ascertained. In some cases, control groups can be used to nmeasure conditions in areas not affected by the Clear ietfctoofcualproject; in others, statistical techniques need to links must be clearly identified in order to be used to predict what would have happened identify appropriate measures. without the project. High quality and reliability. Indicators, and Representative environmental problems. Based on the information they provide, are only as good this general discussion of selecting EPIs, the as the data from which they are derived. If the note provides examples of EPIs in various broad "ideal" indicator to measure a problem is based categories of environmental problems (forestry, on unreliable data, it is common to depart from biodiversity, land quality, air pollution, water the "ideal" indicator and use proxies instead. pollution, global environmental problems, and institutional issues) and discusses their Appropriate spatial and temporal scale. strengths and limitations and the conditions Careful thought should be given to the under which they may be appropriate. In some appropriate spatial and temporal scale of EPIs. cases, such as air and water pollution, Since the environmental impact of project appropriate indicators are well established and activities seldom coincides with adminisitrative already in widespread use. In other cases- bounclaries, EPIs often need to be measu:red on notably in the case of biodiversity and viii Enviromnent Department Papers Executive Summnary institutional capacity-there is much less operation and the framework for its preparation, experience to draw upon. Examples are and flags issues or areas of special concern to the Bank. It serves as the basis for a Bank presented in boxes, and, where possible, decision to assist a borrower with project reference is made to more comprehensive preparation in the early stages of the project documents which provide additional detail. A cycle. The PCD later evolves into the Project matrix summarizes selected EPIs for each sector. Appraisal Document (PAD). Note 1. The Project Concept Document (PCD) defines the rationale for a proposed investment Environmental Economics Series ix 1 Introduction In recent years, the World Bank has evaluate the performance of World Bank substantially increased its lending portfolio for projects in relation to environmental issues. environmental projects. Various safeguard policies2 and other instruments have also been Given the diversity of environmental problems developed to ensure that adverse environmental and of the projects causing them or designed to impacts arising from Bank-supported activities address them, arriving at a set of 'universal' are minimized. Monitoring and evaluating both indicators applicable to all situations is not positive and negative environmental impacts of feasible. Nor is it practical to develop an Bank-supported activities play an important exhaustive list of all possible indicators. This role in this process, and that is where note provides a framework and selection environmental performance indicators are criteria to assist World Bank task managers in needed. selecting appropriate indicators for their projects and discusses issues that may arise in The Performance Monitoring Indicators doing so. In the second half of the note, Handbook (1996) discusses how to structure examples of EPIs in various broad categories of indicators within the logical framework, how environmental problems (forestry, biodiversity, performance monitoring indicators are land quality, air and water pollution, global developed in general, how to link them to the environmental problems, and institutional objectives of different levels, and how they issues) are provided, along with a discussion of affect the World Bank's work. This Second their strengths and limitations and the Edition Note is part of a series of notes meant to conditions under which they may be assist World Bank task managers in the selection appropriate. and design of performance indicators. Note Following the structure introduced in the Performance Monitoring Indicators Handbook, 2. For example, World Bank Operational Policies this note discusses the use of environmental 4.01, Environmental Assessment; and 4.04, performance indicators (EPIs) to assess and Natural Habitats. Environmental Economnics Series Environmental Performance Indicators Performance monitoring vis-a-vis the projects, EPIs will not be relevant. In each environment is appropriate in projects of many relevant case, EPIs are required to monitor and types and in many sectors. Some projects evaluate the impact of the project-that is, to address an environmental problem as their ensure that the project is having the desired primary emphasis (e.g., industrial pollution positive impact, to monitor any possible management projects). Other projects may have adverse impact, and to guard against the environment as a secondary component unanticipated effects. An analysis conducted in (e.g., a biodiversity conservation component in 1998 by the Environment Department on the a forestry project). Projects that do not include use of environmental performance indicators in any environmental components at all (e.g., World Bank natural resource management infrastructure construction projects) may still projects initiated between 1994 and 1996 found warrant monitoring of possible adverse effects that most projects use performance indicators, on the environment. For some projects that fit even though there are still weaknesses in the into the latter category, such as education way they are applied (see Box 1). Box 1 The use of performance indicators in natural resource management projects In 1998 the Environment Department analyzed the use of performance indicators in World Bank natural re- source management projects. Twenty-five projects were studied, including eight water resources projects, seven forestry projects, two natural conservation projects, and eight rural poverty/natural resource management projects. All 25 projects included performance indicators in their Staff Appraisal Reports, which was somewhat surpris- ing since all of them were prepared before performance indicators became mandatory within Bank operations. Furthermore, all of the projects used indicators related to the objectives of the project or its components, al- though, according to the SARs' own terminology, only seven of the projects contained both output and impact indicators-the latter being the most important from an environmental point of view. The study, however, concludes that most projects do contain both output and impact indicators as defined in this note and in the Performance Monitoring Indicators Handbook (1996). With regard to the quality and monitorability of the indicators: i) more than half of the projects lacked baseline values for comparison; ii) almost half of the projects (10 of 25) had 40 indicators or more to monitor project results-an overwhelming number, even though many of those projects had ranked them in priority order; and iii) many of the impact indicators, were vague in their definitions-usually as a result of the use of impre- cise terms like "in an efficient manner" and "to be committed to." On the positive side, most indicators were not very complex and almost all were related to units of measurement, targets or values. | Source: T. Rossing Feldman 1998. Environmental Economics Series 3 Environmental Performance Indicators - A Second Edition Note An indicator's defining characteristic is that it the magnitude of a benefit is required to quantifies and simplifies information in aL determine whether it is worth the resources manner that facilitates understanding of being expended to achieve it. Similarly, environmental problems by both decision information on the magnitude of adverse makers and the public. The goal is to assess impacts might indicate whether the harm is how project activities affect the direction of justified given the other benefits of the activities change in environmental performance, and to in question. Above all, an indicator must be measu[re the magnitude of that change. practical and realistic, given the many constraints Indicators that allow a quantitative evaluation of facing those who implement and monitor project impacts are particularly useful, since projects. (See Chapter 4 for a more detailed they provide more information than just discussion of the criteria that are important to whether the project is improving or degrading take into account when selecting EPIs.) the state of the environment. Information on 4 Environment Department Papers 3 A Project Indicator Framework Indicator frameworks provide the means to issues are interrelated. For national-level structure sets of indicators in a manner that indicator sets, the OECD Pressure-State- facilitates their interpretation. Frameworks can Response framework is widely used (see Box 2). also aid the understanding of how different For project-level indicators, the project cycle Box 2 Indicator typology-The Pressure-State-Response framework The pressure-state-response framework (see Figure) was developed by the OECD in 1994 and can be applied at the national, sectoral, community, or individual firm level. The Pressure-State-Response model Pressure State Response Information l . . . ~~~~Pollution Environment and. OHuman acther es burden Natural Resources Information Agents l Agriculture ,* Air I~~~~~~~~~~~~~Scoa resdinonseso l Industry * Water 0Amnsrto l Transport * Land * Households * Energy * Livn reore * Enterprises I~ ~~~~~~~~~~~~~~vn reore 4 * International l Others Resources * Other Environmental l ~~~~~~~~~~~~~~~~~~~responses Sectoral responses In this framework, three different aspects of environmental problems are distinguished: The pressure variable describes the underlying cause of the problem. The pressure may be an existing prob- lem (for example, soil erosion in cultivated uplands, or air pollution from buses) or it may be the result of a new project or investment (for example, air pollution from a new thermal power plant, or loss of a mangrove forest from port development). (continued, next page) Environmental Economics Series 5 Environmental Performance Indicators -A Second Edition Note Box 2 (continued) Indicator typology---The Pressure-State-Response framework * T]he state variable usually describes some physical, mneasurable characteristic of the environment that results frDm the pressure. Ambient pollution levels of air or water are common state variables used in analyzing pollution (for example, particulates concentrations in micrograms per m3 of air; BOD loads to measure water pollution). For natural or renewable resources other measures are used: the extent of forest cover, the area under protected status, the size of an animal population, or grazing density are all state variables. l The response variables are those policies c r investments that are introduced to solve the problem. Bank projects that have important environmental components can be thought of as responses to environmental problems. As such, they can affect the state either directly (for example, by installing pollution control equipment or by creating protected areas) or indirectly, by acting on the pressutres at work (for example, by providing alterna- tive income sources for farmers who would otherwise clear forests). A similar distinction can be made in the case of projects which have an adverse impact on the environment (for exarnple, port construction might have a direct effect by displacing natural areas and an indirect effect by stimulating additional traffic and hence increased pollution). In some cases, projects also seek to improve the responses to environmental problems (for example, by increasing the institutional capacity to monitor environ- mental problems and enforce environmental laws). Source: Adriaanse 1993. itself c an help to provide a framework. This project inputs. Input indicators are important in suggests the following classification of tracking the implementation of projects and are indicators: therefore key elements of project management. However, their design is generally well * Input indicators: monitor the project-specific developed in the community of practitioners resources provided and is therefore not emphasized in the * Output indicators: measure goods and framework presented in this note. They are also services provided by the project usually more straightforward in their design. In * Outcome indicators: measure the immediate, comparison, output and impact indicators have oi short-term, results of project not been discussed to the same extent. New, implementation more easily understood approaches for * Impact indicators: monitor the longer-.term or designing indicators of outputs and impacts are more pervasive results of the project therefore required. Note that while the input-output-outcome- The proposed framework is depicted in Figure 1. impact approach distinguishes between project In this framework, the project has both overall outcomes and project impacts, the format used project objectives it is designed to meet (e.g., an in the guidelines intended to assist Worlcd Bank increase in access to safe water) and components task teams in preparing Project Concept by which the implementation of the project Documents or Project Appraisal Documents3 for proceeds (e.g., installation of water monitoring investment operations bundles the two together. stations). The implementation of these For this reason, the proposed framework refers components, combined in complex ways, leads to "impact" indicators, including both outcome to the desired project impacts, but it may also and impact indicators. Moreover, this nol:e does result in negative externalities, that is, adverse not discuss project inputs or indicators relating to environmental effects. 6 Environment Department Papers A Project Indicator Framework Figure 1. Project and component-level indicators Project Component output components indicators Project _ > _ Project impact Project Indicators are then developed for both the The goal of EPIs is to monitor and evaluate overall project objectives and the components. environmental impacts arising from Bank- Impact indicators relate to the stated objectives of supported activities. Thus, indicators of both the project (e.g., percent urban and/or rural impacts and component outputs are typically population with access to safe water), while required to properly evaluate the impact of output indicators relate to the components (e.g., projects. Indicators of outputs alone are often number of water monitoring stations that were insufficient because the link between a given installed). The dotted lines in Figure 1 denote output and the consequent impact on the the very important linkage between objective or environment may be ambiguous or of unknown component and its corresponding indicator. hi magnitude. This can be illustrated by the two the same way that the project components are panels in Figure 2, where the extent of an closely linked to the overall objectives of the emission reduction project's potential impact on project, the output and impact indicators should the environmental problem of concern varies be related. greatly. For example, emissions from a given Figure 2. A project's contribution to overall environmental problems Figure 2a Figure 2b Environmental Environmental problem problem Project P project impact J - impact Environrmental Econornics Series 7 Environmental Performance Indicators - A Second Edition Note source may be responsible for the bulk ol the problems. Conversely, indicators of impact environmental problem (Figure 2a). In this case, alone are often insufficient because changes in the link between the project output and overall the condition of the environment depend on the impact is clear and unambiguous. In other total effect of multiple pressures (and on situations (as seen in Figure 2b) the emission's random factors such as weather). Unless the share of the total environmental problem may project's contribution to changes in be relatively small and even a successfully environmental conditions are measured, the implemented project may not lead to significant project might be incorrectly blamed for improvements in ambient concentrations. In problems it did not cause or credited for the former case (Figure 2a) an impact indicator improvements it did not help bring about. that measures ambient pollution levels is a reason,ably good proxy for the project's impact. Note In the latter case (Figure 2b), however, the link is weak and the project's success is best 3. The Project Concept Paper (PCD) defines the measured by use of output indicators (with only rationale for a proposed investment operation weak links to broader impact measures). and the framework for its preparation, and flags issues or areas of special concern to the Bank. It serves as the basis for a Bank decision to assist a This point is important because it is the end borrower with project preparation in the early result that we are most concerned with. VWe care stages of the project cycle. The PCD later evolves about emissions primarily because they increase into the Project Appraisal Document (PAD). ambient air pollution and hence health 8 Environment Department Papers Selecting Environmental 4+ Performance Indicators No universal set of indicators exists which well indicate that the project or component itself would be equally applicable in all cases. This is not very well thought out). Another reason to section focuses on factors that must be borne in select indicators that are as close to the project mind by World Bank task managers and clients objectives as possible is to simplify the in the countries when selecting EPIs for their quantification of project benefits (or costs). This is projects. Chapter 5 discusses various broad particularly true when the environmental aspect categories of environmental problems, and of concern plays an important economic criteria for selecting appropriate indicators for function (for example, soil quality as an input to them. agricultural production, water quality as an input to agriculture, or fish production). For The selection criteria discussed are: example, in the case of land degradation, what is most important is to measure the e Direct relevance to project objectives degradation's effect on achievable yield. i Limitation in number Indicators that measure various aspects * Clarity of design affecting the yield are therefore more useful • Realistic collection or development costs than indicators of, for example, soil depth. The • Clear cause and effect links further the chosen indicator is from the * High quality and reliability economic endpoint, the more difficult it will be - Appropriate spatial and temporal scale to evaluate the returns to the project. - Targets and baselines Limitation in number. It is most effective to be Direct relevance to project objectives. The selective and use smaller sets of well-chosen process of selecting EPIs must start from a indicators. Using too many indicators risks precise understanding of the project's objectives diluting their usefulness. Priorities may become and of the environmental problems being caused confused and the details may seem or addressed. The selected indicators should overwhelming for both the developers and the then be directly relevant to those objectives. users. Where negative environmental impacts are by- products of project activities, the Environmental Clarity in design. Since impact indicators are Assessment (EA) process can help to linked to overall project objectives, which tend understand the possible impacts and hence to to be fairly general, they may not be as specific select EPIs. as component-level indicators. The output indicators at the component level should be Vague or overly broad objectives such as detailed and relate to the specific results of the "reducing erosion" or "protecting biodiversity" project component. Ideally, this distinction are of little assistance in selecting EPIs (and may should be maintained in defining the impact Environmental Economics Series 9 Environmental Performance Indicators -A Second Edition Note and olatput indicators. In practice, there will be cause and effect links. Ideally, the project's projects where the structure is not so neatly impact on morbidity and mortality would be define-d and these sorts of distinctions are not measured, since reducing them is generally the easily made. It is, however, important that the intended outcome. Morbidity and mortality indicator is clearly defined to avoid confusion in themselves can be measured relatively easily, the development or interpretation. and most researchers agree that air pollution has adverse effects on health. But establishing a Realistic collection or development costs. EPIs clear link between morbidity or mortality and must be practical and realistic, and their cost of any given source of emissions (an output colleci-ion and development therefore need to be indicator) remains extremely difficult, despite consicdered. This may lead to trade-offs between recent progress in this area (Ostro 1994, Cropper the in:iormational content of various indicators and others 1997, Eskeland and Xie 1998). In and the cost of collecting them. These trade-offs most such cases, the only feasible solution is to will obviously vary across technologies and fall back on indicators of ambient depend heavily on institutional capacity. concentrations or, if the source has been Certain indicators may be extremely simple or established as contributing significantly to total inexpensive to collect, but inadequate for pollution, of emissions. various reasons. For example, forest cover is simple to measure from aerial photographs or High quality and reliability. Indicators, and the by using remote sensing techniques, but it is a information they provide, are only as good as poor indicator of the condition of forests, and an the data from which they are derived. Ideally, even poorer indicator of the condition of natural an indicator should represent a reliable habitats. More precise indicators may be much measure, that is, it should have a sound more difficult or expensive to collect, how/vever. scientific basis. However, if the "ideal" indicator Sometimes it is possible to supplement coarser is not available (e.g., because of data problems indicators with one-time studies that establish or questions of reliability), a second-best proxy the relationship between them and the desired is often used. indicator. One way of deciding which indicator to collect or develop is therefore to compare the Appropriate spatial and temporal scale. Project costs of collection/development to the benefits activities may have an impact far beyond the area of the increased information to be contributed in which the project is active. There may also be by the indicator. lags in time before project effects are felt and noticed. Changes in the long-term status of Clear identification of causal links. The causal biodiversity, for example, often only manifest links rnust be clearly identified in order to themselves over time periods much longer than design appropriate measures. For examp Le, in typical Bank projects. Where feasible, it is the forest sector, observing the rate of therefore highly desirable that the selected deforestation alone provides an incomplete indicators take into account the appropriate picture. If this information is supplemented spatial and temporal scale. with an indicator of incentives for forest clearing (for example land ownership policies), Targets and baselines. The goal of EPIs is to one is getting closer to the underlying cause of monitor and evaluate the long-term the problem. environmental effects arising from Bank- supported activities. This implies a need to The case of air pollution provides another measure the environmental problem at three example of the difficulties in establishing, clear points in time (see Box 3 for an example): 10 Environment Department Papers Selecting Environmental Performance Indicators Box 37 Baselines, intermediate targets, and end targets-An example This sewerage and reuse project in the Republic of Tunisia will assist the govemment in: (a) improving service levels of urban sewerage up to the average level of potable water service; (b) promoting efficient reuse of effluent from sewage treatment plants for agricultural purposes; (c) reducing urban and coastal pollution; (d) improving Office Nationale de l'Assainissement (ONAS) cost recovery and financial capacity, with the long-term objective of making it more autonomous and self-financing; (e) introducing appropriate new sewage treatment technology; (f) providing technical assistance to develop private sector participation in the sewerage sector; and (g) acquiring environmental monitoring and management equipment, tools, and studies. In order to measure the project's performance in relation to the above-mentioned objectives, a number of indi- cators have been proposed. Furthermore, baselines, intermediate targets, and end targets have been included for all of the indicators. The Table presents a selection of the indicators. Indicators with baselines, intermediate targets, and end targets Intermediate Indicator Baseline target End target Network cleaned (km) 5370 8000 9950 No. of employees 4073 4723 4750 o No. of waste water treatment plants 50 75 95 No. of employees per connection (000) 6.3 5.6 4.8 Area irrigated with treated sewage (ha.) 0 1000 6000 Percent of network cleaned 75% 80% 84% Percent of water treated 90% 95% 96% l .A Percent of water collected 78% 82% 86% No. of connections (000) 650 850 990 Percent reuse of treated water 22% 33% 37% Ratio average tariff / average cost of supply 80% 102% 118% Source: World Bank 1997c, Hamilton 1998.I A. Baseline levels of the indicators establish pre- C. For most indicators it is desirable to have project conditions, which is crucial for the specified end targets, against which the final interpretation of the indicators after project results of the project are measured. The lags completion. in time that may occur before the effects are felt need to be taken into account when B. The project's contribution to a change in assessing whether or not the targets have environmental performance, both directly been reached. and indirectly, must be measured when the project is ongoing so that there is time to After selecting and measuring indicators it is modify the project design if the contribution still necessary to interpret them. The absolute is negative or not as positive as anticipated. level of the indicator can serve as a diagnostic On occasions, it may be possible to identify tool during project implementation, as long as intermediate targets. Indicators should be there exists a benchmark to which the value can selected that can measure whether or not be compared (e.g., safe drinking water the intermediate targets have been reached. standards from the WHO or the US EPA). The Environmental Economics Series 11 Environmental Performance Indicators - A Second Edition Note appropriate comparison, however, is generally increased even more had the project not been not to the pre-project situation but to the implemented. In some cases, control groups can counterfactual situation of what would have be used to measure conditions in areas not happened in the absence of the project. Even an affected by the project. In others, modeling increase in emissions may be considered techniques should be used to predict what evidence of success if they would have would have happened without the project. 12 Environment Department Papers Representative 5 Environmental Areas This section provides some examples of EPIs and marine resources, fisheries, solid waste and used in the major categories of environmental hazardous waste/toxic chemical can be found. problems normally encountered in World Bank work: air and water pollution, changes in Forestry natural resources such as forests, water and Forest conservation, forest management, and biodiversity, global environmental concerns the impact of deforestation are worldwide (specifically greenhouse gas emissions and concerns that have long been of interest to the protection of the ozone layer), and institutional World Bank. The Bank's objectives for the problems.4 The level of specificity varies across forestry sector, as,articulated in the 1991 Forest sectors. In some cases, such as air and water Policy paper (World Bank, 1991) and the pollution, widely accepted norms exist on Operational Policy series (OP 4.36 Forestry),6 which indicators to measure and how to are to promote the sustainable and measure them. In others, notably biodiversity conservation-oriented management of forest and institutional development, indicators are resources and forest lands to meet the needs of much more difficult to define and experience in both present and future generations, giving using them is limited. particular attention to the needs of the rural The discussions in this section are not meant to poor. To achieve these objectives, the policy statements suggest nine specific aims to guide be exhaustive or to serve as step-by-step guides Bank involvement in the sector. Of these, three to indicator selection. In several cases, more are clearly environmental management objectives: extensive guidelines have been compiled and reduction of deforestation; preservation of intact should be consulted more detailed forest areas; and enhancement of the recom-unendations. Examples of EPIs from some environmental contribution of forested areas sectors are given in the boxes within this section (key areas here include watershed protection, as well as in Annex 1, where more general carbon sequestration, biodiversity conservation, examples from each sector are brought together. wildlife conservation, and social amenity). A For two examples on how to select and design further two have important environmental EPIs for projects, see Annex 2, where an dimensions: ensuring appropriate policy and environmental project in Lithuania and an institutional settings for sustainable forest and environment management project in Malawi are conservation-oriented forest management; and presented. For more examples on environmental support for international efforts to promote indicators, World Bank task managers are forest conservation and sustainable forest encouraged to go to the Environmental management. Economics and Indicators Web site,5 where lists of indicators for each of the areas discussed Management projects for forests may have below as well as for mineral resources, coastal several different objectives, such as timber Environmental Economics Series 13 Environmental Perfor mance Indicators - A Second Edition Note production, watershed management, carbon level is influenced by three types of pressures: sequestration, non-timber forest benefits, and physical (e.g., habitat alteration); chemical (e.g., biodiversity. In developing an indicator set it is exposure to contaminants); and biological (e.g., important to consider the project goals. For release of alien species, and fishing). The example, an indicator such as deforestation rate selection of EPIs is dependent on the can give a good first cut at identifying areas combinations among these levels and pressures. with significant pressures on forests. Once these areas have been identified, a more detailed- Under .the Bank's existing Forest Policy and the understanding of the specific circumstances is proposed Operational Policy on Natural necessary to develop appropriate project Habitats, the Bank adopts, and expects its interventions. These will differ, for example, if borrowers to adopt, a precautionary approach population exerts pressure on forests to meet to natural resource management to protect fuelwood needs or by clearing areas for biodiversity and other key environmental agricultural use. The broad indicators of impact values. Despite the high level of uncertainty can then be supplemented by specific ind:icators associated with conservation management, which monitor how the project's interventions there is a strong conceptual understanding of are working (e.g., rates of adoption of stoves or both the threats to biodiversity and the key area se:rved by rural electrification, for a project resource management requirements for designed to alleviate demand for fuelwood). biodiversity conservation, which is backed by Measures of remaining forest cover and the rate considerable resource management experience at which it is being lost would then indicate in applying these concepts. This understanding whether the intervention is successful not just suggests a number of overall goals that on its own terms but also in terms of meeting activities having an impact on biodiversity sectorat objectives. should aim for. Performance indicators can be developed for each of these broad goals, which Box 4 provides an example of a forest and parks they would then need to be supplemented by protection project in Haiti that uses EPIs for the additional indicators tailored to the project's monitoring and evaluation of the project. specific objectives and to the interventions Further examples of EPIs that might be used in carried out under it. forestry projects are presented in the matrix in Annex 1. Forestry indicators are discussed Habitat conservation is one of the most important further in Porestrfor e indicators aredincB - goals, since habitat destruction has been further in "Performance Indicators i-n Banlc- identified as the most significant threat to Financed Agricultural Projects" (AGRAF 1.995). mammal and bird populations. Habitat Biodiversity destruction in turn is largely driven by human activity that results in disturbance or over- Biodiversity conservation is a fundamental exploitation of natural habitats through requirement for sustainable development activities such as logging or hunting or through because species extinction and irreversible land-use change for agriculture, infrastructure losses of ecosystems or genetic diversity within development, or human settlement. A number species compromise the future options of both of indicators can be used to monitor the impact present and future generations. Biodiversity is on natural habitats. "Monitoring and Evaluation commonly defined as three different levels; Guidelines for Biodiversity Projects" (1997) genetic (diversity within species), species (change discusses the difference between "measuring in numlber of species and population size), and biodiversity values of an area and monitoring ecosystem (changes in natural habitats). Each the impact of management of biodiversity." This 14 Environment Department Papers Representative Environmental Areas Box 4 Forest and Parks Protection Technical Assistance Project in Haiti In response to the Haitian Government's strategy, the overall objective of this project is to start the initial phase of intervention for the protection of critical remnants of Haiti's forest ecosystems and for slowing the pace of degradation of Haiti's natural resources. The project is planned to establish the institutional, policy and finan- cial foundation for the Government of Haiti to sustain protection of critical ecosystems on a nation-wide basis. The three specific objectives of the project are to: (a) provide institutional support for strengthening the Government's institutional capacity to develop, monitor and enforce a national forest and parks protection system; (b) initiate key activities to protect and manage the La Visite and Pic Macaya National Parks and the Pine Forest National Forest Reserve, and; (c) reduce pressure on the above-mentioned protected areas by in- creasing on-farm productivity and off-farm employment options conserving natural resources, and enhancing the management capacity of local organizations in the buffer areas of the three targeted areas. The project components are listed in Table A and Table B below. The overall performance of the project is being monitored, primarily based on a set of performance indicators for each of the individual components. The project documents have divided the indicators into performance indicators and impact indicators. Table A lists the output indicators together with the corresponding targets. The impact indicators have not been compared to any targets, but instead to a so-called "desired impact." This is shown in Table B. Table A. Output indicators and targets for a forest and parks protection project Project component Indicator Target Natural reserve management * % of boundaries established 100% (pine forest and national parks) * No. of Advisory Councils 3 Councils functioning effectivety and functioning effectively autonomously * No. of park and forest ranger 3 ranger teams formed per reserve that teams functioning effectively regularly report violations to justice authorities Buffer zone development * No. of sub-projects financed and 250 sub-projects functioning effectively (technology generation and successfully functioning 4 transfer, and buffer zone small 440frrswt gooetycniu-tos investment faclity) * Technology adoption rate 2,050 farms using soil conservation techniques; 1,050 farms introduced crop diversification Institutional reform and * No. of agencies effectively using Associated agencies (4) functioning efficiently strengthening (project strategic planning and budgeting 60 new forest and park technicians; I0 natural coordination, and training and ts technical assistance) * No. of persons trained by category resource management speciarists Table B. Desired impact and indicators for a forest and parks protection project Project component Desired impact Indicator Natural reserve management Increase biodiversity * Survival of key species on verge of extinction and population levels of threatened species Reduce encroachment and habitat * Change in area affected by encroachment destruction and habitat destruction from 1997 baseline Develop Ecotourism * No. of ecotourism related infrastructure units developed *No. of paying visitors Buffer zone development Increase farm productivity and farm * Crop yields family income| * On and off-farm income Source: World Bank 1996b. Environmental Economnics Series 15 Environ mental Performance Indicators -A Second Edition Note distinction is normally very important to make Monitoring and Evaluation for Biodiversity since many of the indicators that are com:nonly Projects" (World Bank 1998a). listed as biodiversity indicators measure values, but do not indicate the reason for the charnge in Land use value. One example cited in the publication is Since 1945, an estimated 1.2 billion hectares of the number of species threatened with land have been moderately or strongly extinction. While this indicator can be used for degraded worldwide as a result of human comparison between different areas, it cannot be activity, implying that productivity has been used to interpret a change. If the number significantly reduced. Human activities can decreases it can be because: i) the threatened produce a diverse range of both harmful and species have recovered, ii) some of them have beneficial impacts on the quality of land. become locally extinct, or iii) all of the origyinally Agriculture is one example; while it can lead to threatened species are now extinct and a smaller soil erosion, salination of soils through number of new species are now threatene d irrigation, and nutrient depletion, it may also insteac.. It is important, therefore, to consider act as a sink for greenhouse gases, and prevent the prcject specifics, such as adjacent areas, flooding and landslides if practices are sound. areas required to sustain different species Agriculture may also affect the conservation of (number of species is not enough. One also, needs biodiversity and landscapes. For example, the information on which types of species are o f species level may be affected by excessive use of concern), spatial and time scale effects, and nutrients and pesticides, and by "domesticated" other aspects. species affecting the number, population and distribution of species in natural habitats Special attention needs to be devoted to (thereby affecting the ecosystem level).7 identifying and monitoring the state of critical natural. habitats, that is, sites that are vital. for The effects on the environment of land use the continued viability of important species. The projects are usually complex. They can differ establishment and maintenance of effective, depending on, for example: representative protected areas are important both in terms of ensuring the conservation of * The technology, management practices ecosystem diversity and as a tool to conserve used, and other aspects that impose or specific habitats. Many indicators of the state of reduce pressure on the land habitats and pressures upon them remain * The policy environment in the country relevar.t to this objective. In addition, indicators * The type and quality of the land can be developed to monitor protected areas per * The location of the project. se. For example, change in the proportion of critical natural habitats in protected areas might The selected indicators must therefore take indicate the adequacy of the current system of these site-specific attributes into consideration protected areas. For an example of indicators for in order to measure the proper effects of the a biodiversity conservation project, see Box 5. project. Indicators of land use should measure the quality of land resources, changes in the The maLtrix in Annex 1 provides several capability of land to produce desired goods and examples of EPIs that can be used in projects services, and the existence of negative external affecting biodiversity. Biodiversity indicatDrs impacts due to patterns of land management are discussed further in the Bank's "Monitoring systems. They should also provide information and Evaluation Guidelines for Biodiversity about pressures exerted on land resources Projects" (1997), as well as in "Guidelines for through land management systems, changes in 16 Environment Department Papers Representative Environmental Areas Box 5 The Cape Peninsula Biodiversity Conservation Project South Africa ranks as the third most biologically diverse country in the world. The Cape Peninsula Biodiversity Conservation Project has as its development objectives to ensure rehabilitation and sustainable protection of the globally significant flora and related fauna of the Cape Peninsula, including surrounding marine ecosys- tems, and to initiate conservation planning and conservation activities for the entire Cape Floral Kingdom. In order to achieve its sustainable development and global environmental objective of better conserving and sustainably using the unique biodiversity of the Cape Peninsula and the Cape Floral Kingdom, this project will: (i) facilitate the establishment and strengthen initial management of a new Cape Peninsula National Park, the area of which roughly corresponds to the current Cape Peninsula Protected Natural Environment; (ii) expand NGO-managed community-based conservation activities in support of the new national park and throughout the Cape Floral Kingdom by supplementing the capital resources of the Table Mountain Fund; and (iii) support the preparation of the first comprehensive conservation strategy for the entire Cape Floral King- dom. The Table below lists a selection of the indicators presented in the Project Appraisal Document. Indicators for a biodiversity conservation project Indicator Output Impact Biodiversity Ha./year of land cleared of initial No indigenous species added to the indicators infestation of alien invasive species; list of rare and/or threatened species Comprehensive visitor data maintained at (Red Data list); controlled access points; No additional plant species becoming Seasonal visitor surveys of unmanned extinct; access points to the Park; No infrastructural damage to private % of total vegetation requiring a regular property outside the Nationa Park; fire regime to be subject to controlled All invasive alien seed bearing plants burning; removed by year 6; No. of visitor use of trails and gateways; All natural areas previously infested % of conservation work cost out-sourced with invasive aliens in maintenance to entrepreneurs from the program; p The proclamation of a marine national 80% reduction of area burnt in park surrounding the Cape Peninsula by uncontrolled wildfires by year 6; year 5; Implementation of an agreed marine M&E, EIS and study results utilized by protection plan. park management. Source. World Bank 1998b. the state of land quality over time, and societal An effort is underway within the Bank and in responses to pressures on, and changes in the close collaboration with UNDP, FAO, and UNEP state of, land quality. For an example of to develop land quality indicators (LQI) that can indicators for land use and other natural be used to assess many of these aspects.8 resource management aspects, see Box 6. Furthermore, the Bank is involved in a regional Environmental Econornics Series 17 Envirormental Performance Indicators - A Second Edition Note Box 6 Natural resources management in Tunisia The indicators presented in the Table below are used as performance indicators in a natural resources manage- ment project in Tunisia. The project's objectives are sustainable natural resources management, in particular of crop and range land in severely degraded zones, and agricultural productivity improvements, attained with greater involvement of resource users. More specifically, the project's components are Participatory Development Plans, Soil and Water Conserva- tion, Rehabilitation and Development of Small-Scale Irrigation Systems, Agriculture and Rangeland Develop- ment, Rural Infrastructure, Women's Support Activities, and Institutional Strengthening. Indicators for a natural resources management project Indicator Olutput Impact Natural Resources Improvement of natural resource Active community development Management management: committees (no.) lndicators No. of Participatory Development Plans Ratio of perennial / annual crops No. of staff trained Ha. of soil and water protection No. of adaptive research operations Improved small scale irrigation area initiated (ha.) No. of thematic studies Proportion of communities w access Improved agricultiLrat yields: to roads Rural income increzase Proportion of households w access to drinking water No. of spate irrigation and water Vegetation cover increase recharge works No. of livestock (heads) Natural / cultivated land cover Animal feed consumption (ton) Ha. of improved lands Milk yield increases, (t.) Crop yield increases (wheat, olives, tomatoes) (t/ha.) Source: World Bank 1997b, Hamilton 1998. project, initiated and managed by the damage to agricultural crops or structures) and International Center for Tropical Agriculture the amenity value of the environment (e.g., (CIAT) in Colombia, which is designed to through damage to forests and reduced develop) rural sustainability indicators for visibility). There are an increasing number of improved decision-making (see Box 7). sources of pollution: energy and fuel use, vehicular emissions, and industrial production. Air po llution In most urban industrial areas, the origin of Declining air quality can have adverse impacts unacceptably high levels of air pollution can on human health. Air pollution can also generally be traced to industry, transport, adversely affect economic activity (e.g., th:rough domestic fuel use, and the combustion of fossil 18 Environment Department Papers Representative Environmental Areas Box 7 Indicators of rural sustainability-An outlook for Central America This project is intended to respond to the specific requirements of the Latin American and Caribbean region. The objective is to develop a regional approach to indicators and information, which would allow integration and harmonization with global and international initiatives, and to make the indicators accessible to decision makers at local, national and regional levels. Several of the indicators would be most useful at a more aggregated level than project level (i.e., the national or regional level), while others could be used at either a project level or a more aggregated one. The spatial and temporal effects of a project may, however, call for indicators at both levels. Hence, where feasible, it is highly desirable that local/project level indicators be comparable to regional- or national level indicators. The Table below presents examples of the indicators proposed for land use and agriculture. Regional/National/Local indicators for land use and agriculture Indicators Land use and agriculture Output Impact Scale: Regional to National Land use index (actual/potential) Land use changes Agriculture as a % of BNP Food production index Scale: National to State Crops/pastures surface Percentage of area of crops Agricultural land per capita Change in consumption of food Irrigated land Soils degradation Crops/pastures production Agricultural productivity Livestock carrying capacity % of grain feed by livestock Import/export of food products Production/supply of food products Scale: State to County/Farm Potential agriculture yields Yields gap Crops prices Accessibility to markets Input prices % of crops affected by plagues Pesticides and fertilizer use Poisoning by agr. chemicals Average size of farms Net income per farm Erosion rate Areas affected by erosion, Nutrient balance in soils salination, etc. Organic material in soils Restored/rehabilitated land Source: CIAT-World Bank-UNEP 1998. fuels. Additionally, there exist natural sources * Health problems have typically been such as windblown dust, pollen, forest fires, and associated with indoor pollution and volcanoes. The primary focus is on emissions airborne particulates-measures of which from human activity since little can be done include Total Suspended Particulates (TSP) about natural factors. and, for the more damaging smaller size particles, PM10 and smaller-and ambient There are a wide variety of pollutants of * Damage to structures, forests, and concern from the point of view of health and agricultural crops tend to be primarily environmental impacts. A number of site- linked with SO2 and ground-level ozone. specific studies have examined pollution risks. Although results vary, there are some important Information on appropriate procedures for consistent findings: monitoring these indicators is readily available. Environmental Economics Series 19 Environ-mental Performance Indicators - A Second Edition Note Similar measures are used for both outputs and from the industrial and agricultural sectors and impacts, depending on whether emissions or high levels of salinity are other significant ambient levels are being measured. Although problems. Acidification of surface waters from monitoring data on pollutant generation is not air pollution is a more recent phenomenon and readily available, information can be culled can be a threat to aquatic life. from cother sources. TIe World Bank has developed some interim techniques to ar:rive at Water pollution is of concem for two main estimates of emissions, namely, the Decis ion reasons. Perhaps the most important is the Support System for Industrial Pollution C ontrol potential for serious health problems: water (DSS/IPC) and the Industrial Pollution pollution has been associated with outbreaks of Projec tion System (IPPS). The emissions waterborne diseases such as cholera and gastro- estimates are derived from assumed emissions enteric diseases. The impact of water pollution factors (pollutant emission per unit of ou:put) on health-can be either direct, through for different economic activities. consumption of contaminated water, or indirect, through bio-accumulation of contaminants in Even though the ultimate objective of a p:roject fish. The other main reason for concern is the is to mitigate damage to human health, effect of water pollution on the productivity of monitoring such effects directly is extrem.ely water-based economic activities such as difficult because of substantial uncertainties fisheries and irrigation. over the exposure of different population groups to pollutants, their response to different Understanding of the impact of water quality levels of exposure, and the cumulative nature of on human health and aquatic life has improved damage. It is common, therefore, to fall back on enormously in recent years. Four broad monitoring indicators of ambient concentrations measures of water quality have come to be or of emissions to gauge a project's impact. widely used and are listed in the matrix in These i ndicators can be quite useful as long as Annex 1: prior research has established the causal links. * Faecal coliform concentration The matrix in Annex 1 lists the most commonly * Biological Oxygen Demand (BOD) used indicators of air pollution, which ma.y * Chemical Oxygen Demand (COD) need to be supplemented by additional E PIs * Heavy metals concentration. depending on local conditions, as discussed above.nAdditionloal condetains,and discussi e These indicators can generally be used as either above.undinton the andustio P tn output or impact indicators, depending on where found:n documents on the Industrial Pollution measurements are taken. Used together, they Projection System (Hettige and others 1995) and provide avery good picture of the overall inL thie Pollutionl Prevention and Abatement poieavr odpcueo h vrl health of the water body or of the threats to it. Handbcok 1998: Toward Cleaner Production (World In some cases, however, some of these Bank 1999). indicators may not be applicable and can be Water pollution omitted (e.g., heavy metal contamination may not be a factor if there is no industry). The contamination of surface waters from faecal Conversely, these indicators may have to be discharge due to inadequate sewage networks supplemented by additional indicators that and waste treatment facilities in urban areas is a measure more precisely the effects that the major environmental problem in many project is having (e.g., contamination by specific countries. Surface and ground water pollution pollutants likely to be associated with project 20 Environment Department Papers Representative Environmental Areas activities, such as pesticides and fertilizers in an few problems when waterflow is at its peak but agricultural project). have a major impact at times of low waterflow. Interpretation of results can be undertaken in a The procedures required for measurement of number of ways, depending on the specific water quality indicators are problem-specific objective to be achieved. Institutions such as but are generally well understood. Sampling WHO or the US EPA have developed standards methods differ depending on whether the water for drinking water quality, for example, body of interest is a lake or a stream. Timing of although their applicability to developing measurements is often an issue, since countries is sometimes questioned. For an concentrations can vary substantially as the example of selected indicators for water waterflow varies; a given pollutant may cause pollution, see Box 8. Box 8 Water and sanitation services in Gaza The project is designed within the framework of a program addressing the priority needs for the West Bank and Gaza (WBG) as originally defined in the water and wastewater component of the three-year Emergency Assistance Program. The objective of the program is to improve the quality, quantity and management of water and wastewater services in the WBG. It includes equipment procurement; upgrading and extension of munici- pal water supply networks; rehabilitation, extension and construction of municipal storm-water and sewerage networks; improvement of village water distribution and related programs; the drilling of new wells; and i improving management of water and wastewater services. For Gaza, the program includes: (a) the provision of an International Operator to implement a Service Im- provement Program together with the provision of operating capital for the Operator; (b) finance for invest- ment in rehabilitation projects and provision of additional water and wastewater facilities in areas where they are most urgently required (through bilateral funding); and (c) Technical Assistance (TA) and Institutional Capacity Development. The indicators proposed to measure the project's performance are listed in the Table below. Indicators for a water and sanitation services project in Gaza Indicator Output Impact Water and Improving quantities of water supplied Improving quantities of water supplied sanitation services Survey network for leaks (km. of pipe) Percentage of water accounted for indicators Service connection replacements (no.) Improving quality of water Meters repaired (no.) Per cent of water network disinfected Meters replaced (no.) Percent reduction in BOD Improving water management Percent reduction in COD - Water services: Percent reduction in total suspended Percent of accounts in arrears solids Conversion of illegal connections to legal Improving water management (no.) Per cent of managers and technicians Map and model water network (%o) retrained - Wastewater services: Develop and implement preventive maintenance system Source: World Bank 1996c, Hamilton 1998. . Environmental Economics Series 21 Environmental Performance Indicators - A Sec ond Editiorn Note Global environmental problems (or other gases that contribute to global warming) or a measure of the percent reduction Measuringethe paof pocts olobal in carbon emissions from some base scenario. ehanvisoronmealag prob suchratosphec cl e When multiple GHGs are involved, the global changes or damage to stratospheric ozone wrigptnilcnb sda egtn encounters significant scale problems. No single factor. projeci: is likely to have any measurable imnpact on these problems. Measuring the impact of a Stratospheric ozone. The ozone layer blocks problem, therefore, does not generally fail ultra-violet radiation that is harmful to humans within the scope of project-level monitoring. and all living resources. The degeneration of the Measuring the outputs of a project is feasible, howeve Ir (and is required under OP10.04). ozone layer is precipitated by the existence of ozone-depleting substances (ODSs) such as chlorofluorocarbons (CFCs) and halons. The Climae chnge.Climte cangeis lnkedto aeffect of these substances depends on their number of important effects on the global life- conctron th e am pere an their support system: sea level rise is just one of the . . most dramatic potential impacts; major s]hifts in ability to break down ozone. The latter is primaiy agrcultual prductin ares arereferred to as the ozone-depleting potential. primary agricultural production areas are While the production of ODSs itself does not another. The main greenhouse gases (GHG) damage the ozone layer, the subsequent use of generated by human activity are CO methane, these tane and the reeseqint the 02 these substances and their release into the and nitrous oxide. The degree to which these atmosphere results in damage to the ozone GHGs affect climate change depends on their layer. Substitutes with zero or near zero ozone- concentrations in the atmosphere and their depleting potential are being developed. ability to absorb heat, also known as the global warming potential. For instance, the global Here too, monitoring global effects is warming potential of methane is said to be 25- impractical and work therefore focuses on 30 times that of an equivalent amount of C02 measuring changes in outputs from project (IPCC 1994). Concern for GHG emissions and activities. The consumption and hence climate change is usually expressed in terims of emissions of ODS can be used as a measure of either r educing new emissions or off-setting the outputs being generated by economic emissions by reductions elsewhere on the planet agents. At the national level, monitoring (for example, carbon sequestration and carbon production, net of exports and adding imports, offsets)1. can be taken as a proxy for the country's contribution to the problem. At the project level, Although monitoring global climatic effects is the project's contribution to national production impractical at the project level, emissions of and consumption can be used as a proxy. GHGs give an indication of the impacts being Different ODSs can be weighted by their ozone- generated. These emissions can either be depleting potentials to arrive at a composite measured directly (if the project involves measure of the impact of any given reduction of interventions in major producers of GHGs such ODS. Many countries have committed as thermal power plants) or estimated from the themselves to phasing out ODSs and replacing project's impact on economic activity (using them with substances with low or zero ozone- emissions factors by activity). In either case, depleting potential. The ratio of ODS baseline data on pre-project emission levels will consumption to production, relative to a be required. The most commonly used indicator baseline and, where relevant, to a target, should in this area is some measure of carbon emissions also be monitored. 22 Environment Department Papers Representative Enviromnental Areas The matrix in Annex 1 provides several environmental matters (e.g., by looking at the examples of output indicators for global number of staff in environmental agencies or environmental problems; no impact indicators examining environmental expenses as a are provided, since it is unrealistic to hope to percentage of the government budget). Both link any specific project with changes in the these types of indicators must be used with state of global problems. Additional details on considerable caution, however. Institutional climate change and ozone depletion problems development is as much about quality as it is can be found in publications of the Environment about quantity, so numerical or presence/ Department (World Bank 1995b and 1995c, and absence indicators alone can be very Martinot 1998). misleading. Institutional issues There are several problems with these so- called The success of environmental policy initiatives "commitment" indicators. For example, having is contingent on a well-functioning network of a biodiversity strategy is only the first step. institutions that can support the formulation, Next, the strategy needs to be implemented. implementation, and regulation of Finally, it must have a positive effect on implementaton, and reulation ofbiodiversity. Enforcement efforts will be environmental objectives. In many of the Bank's iodiversity Enlement e ff or ks and client countries such support systems are either ineffective unless the enabling frameworks and non-existent or embryonic. Capacity-building capability are in place. Good qualitative initiatives, therefore, are one of the most knowledge of local conditions is indispensable important and challenging areas for if the indicators are to be properly interpreted. environmental lending. These efforts can have a A problem with qualitative as opposed to far-reaching impact, since they form the quantitative indicators is the difficulty in foundation for integrating environmental standardizing them so as to allow meaningful concems into mainstream policy development. analyses of changes over time. The stronger the institutional framework, the better and more timely the response to Institutional issues are not solely about the environmental problems is likely to be, existence and capacity of governmental independent of any assistance the Bank may be institutions. In many cases, public attitudes able to furnish through specific projects. To towards environmental problems are crucial, date, however, the success in environmental since most decisions about matters affecting the institutional development has been mixed. environment are ultimately taken by individual agents such as farmers, industrial producers, The major performance indicators for and consumers. In addition, public attitudes institutional development can be grouped in towards various types of environmental four broad areas: legal framework, institutional services are critical to valuing these services framework, staff development, and technical correctly. For example, the evolution of public capability. In some cases, indicators simply note attitudes can be monitored through opinion the presence or absence of particular features, surveys. The number and membership of active such as laws or agencies dealing with specific environmental NGOs also gives an indication of environmental problems. Other indicators public attitudes. For some examples of attempt to quantify the effort devoted to institutional indicators, see Box 9. Environrnental Economics Series 23 Environmental Performance Indicators -A Second Edition Note Box 9l Institutional capacity i:n pollutiom control and abatement projects This box presents indicators used in two different projects: a pollution abatement project in the Arab Republic of Egypt and an industrial pollution control project in the Democratic and Popular Republic of Algeria. Both projects have as their broad objective to assist the Government in reducing industrial pollution causing ad- verse health effects and/or ecological degradation. The projects consist of two main components: * A technical and institutional support component that would provide technical assistance, studies, training, monitoring and pollution control equipment, and field vehicles to support sub-components (for example to strengthen the techniical and administrative capacity of regional branches) Ar. investment component. For one of the projects this component consists of a Pollution Abatement Fund that will provide financing for environmental investment in public and private enterprises. For the other project it covers environmental investme:nts in a fertllizer complex and in an iron and steel complex. Examples of the proposed indicators are presented in the table below. Indicators for institutional issues -8 Indicators O()utput Impact Institutional capacity No. of plants where monitoring is No. of environmental professionals in in pollution control complete the Egyptian Environmental Affairs and abatement No. of audits comapleted Agency and Environment projects No. of Pollution Abatement Action Management Units Plans Funding for industrial pollution No. of trained technical staff control ($US) No. of staff trained in environmental law Promulgation of n-iew envirormental regulations (no.) No. of pollution permits negotiated No. of enforcement actions No. of air monitoring stations No. of water monitoring stations No. of staff trained in finance bCapita base Sourn!: Hamilton 1998. Notes 5. http://www-esd.worldbank.org/eei. 6. The forest policy is being reviewed during the 4. Some areas are not covered by this note (for fall of 1998. The revised policy and a new example, water management) since sepa:rate strategy are scheduled to be completed before performance indicator notes have been compiled the end of FY00. for those. For other areas (for example, coastal 7. For a more detailed discussion on agriculture and marine resources, fisheries, mineral and environmental indicators, see OECD (1997). resources, solid and hazardous waste, and3 toxic 8. For more information on the Land Quality chemicals) the experience is still too limited to Indicators Program, please see be discussed in any detailed way. http:/ /www.ciesin.org/lw-kmn/. 24 Environment Department Papers 6 Summary Selecting appropriate Environmental defined as indicators that measure goods and Performance Indicators to assess and evaluate services provided by the project, while the latter the performance of World Bank projects in measure the immediate, or short-term, and relation to environmental issues is a complex longer-term or more pervasive results of project task. It is probably neither possible nor implementation. The output indicators should desirable to develop a small set of 'universal' relate to the components of the project and the indicators. For projects with explicit impact indicators to the stated objectives of the environmental objectives, these objectives give project. Which indicators to select for a project is concrete guidance to the identification of determined by a series of selection criteria of appropriate EPIs. In other cases, the EA process which the direct relevance to project objectives, serves as a guide to selection of EPIs in cases limitation in number and clarity in the design of where environmental impacts are unintended or indicators selected, and realistic costs of indirect. Once the areas to be monitored have codictor selopment reamong ts of beenidenifie, spcifi indcatos ca becollection or development are among the most been identified, specific indicators can be iprat hs,a ela te eeto selected to monitor how the project is affecting imprtant hed se, as wel aothe.rtselon the pressures on the environment and the end criteria are discussed in the note. Furthermore, result of these pressures. Where possible, it is the specific characteristics of the environmental desirable to select indicators that will be area that one wishes to measure and monitor comparable to broader measures of are relevant in the choice of indicators. This note environmental health, or comparable across analyzes some of these characteristics for a projects. number of representative environmental areas: forestry, biodiversity, land use, air pollution, This note discusses specifically output and water pollution, global environmental impact indicators. The first category can be problems, and institutional issues. Environmental Economics Series 25 Annex 1- Matrix of Representative Environmental Performance Indicators This table provides some examples of EPIs used Web site (http://www-esd.worldbank.org/eei). in the major categories of environmental Since input indicators are already measured by problems that are normally encountered in Bank Bank projects and are relatively well explored, work; it is not meant to be exhaustive. The they are not listed in the matrix below. indicators are grouped according to whether Examples of such indicators are best provided they are output or impact indicators. More with a specific project in mind since they are examples for the same areas as well as for water hard to generalize. (Annex 2 provides some management, minerals, fisheries, coastal and examples of input indicators for the Lithuania marine resources, solid and hazardous waste, Siauliai Environment Project. See the main text and toxic chemicals can be found on the for a detailed discussion.) Environmental Economics and Indicators Unit's Environmental Economics Series 27 Matrix of Representative Environmental Performance Indicators |___________________ Type of indicator Input Output Impact (These (Most of these will also be project specific since (Change in this type of indicator measures environmental are they should be linked to the project corponents. iripacts of a project.) project However, below are some of the more general specific.) listed.) Comments_ _ Forestry * Per capita wood consumption; Deforestation: The appropriate impact indicators depends * Incentives for forest clearing; * Rate of deforestation; on the objective; output indicators are * Percentage of total forest area clear-felled; * Area of forest; often similar across objectives, but the a Area replanted with timber species. * Area of forest land converted for other uses; appropriate resolution changes (for Preserving intact forest areas: example, to focus on particular a Area of roadless forest; watersheds). * Forest fragmentation index; * Ratio of managed forest to non-managed forest; * Prtected forest asa percentage of the total forest area; * Percentage of harvested area left to natural regeneration; Watershed protection: Proportion of watershed with appropriate cover. Bk'iodty * Encroachment into natural habitats; * Rate of change from dominance of non-domesticated Special attention needs to be devoted to * Legal and illegal hunting offtakes; species to domesticated species; identifying and monitoring the state of * Upstream pollution sources; a Area of natural habitat; critical natural habitats. It is also important * Total natural area converted by v Habitat fragmentation index; to make the distinctibn between measuring development; - Proportion of habitat adjoining incompatible land uses; biodiversity values of an area and monitoring * Area of secondary forest; * Population status of selected indicator organisms; the impact of management of biodiversity. * Changes in the bio-geochemistry of soils and Many of the indicators that are commonly waterways; listed as biodiversity indicators measure * Species threatened with extinction or extirpation; values, but do not indicate the reason for * Percentage of area dominated by non-domesticated the change in value. species; * Total area of rainforest in protected areas; Area of rainforest in indirect use (parks, ecological stations, biological reserves) Land use a Nutrient removal in excess of fertilizer * Nutrient balance (of N, P, K, and of other nutrients Appropriate indicators are very site- applications and natural regeneration; depending on the specific crops being grown); specific. Indicators of land use should * Erosion rates; * Soil depth; measure the quality of land resources, • Ratio natural/cultivated cover; * Organic matter content; changes in the capability of land to produce a Vegetation cover increase. * Total Factor Productivity (TFP); desired goods and services, and the X Ratio of perennial/annual crops; existence of negative external impacts due * Ha. of soil protection; to patterns of land management systems. * Arable land affected by waterlogging a Arable land affected by erosion. Water Discharges of human and industrial wastes: Concentrations of pollutants in water bodies: The same indicators can serve as pollution * Faecal coliform counts; X Faecal coliform counts; measures of output or impact, X Biological Oxygen Demand (BOD); * Biological Oxygen Demand (BOD); depending on where they are * Chemical Oxygen Demand (COD); * Chemical Oxygen Demand (COD); measured. * Heavy metals concentrations. * Heavy metals concentrations. Air Emissions of Ambient concentrations of The same indicators can serve as pollution * Particulates (TSP, PM,0 or smaller); * Particulates (TSP, PM,, or smaller); measures of output or impact, * SO,; *502; depending on where they are * Lead. * Lead. measured. Global Climate Change: Measuring the impact of specific environ- * Emissions of greenhouse gases: projects on a global problem is mental - CO,; unrealistic. problems - CH4. Stratospheric Ozone: * Emissions of ozone-depleting substances (CFC, Halons); * Implementation of ozone-depleting substance phase-out. lnsutbiond * Number of staff trained in environmental * Existence of environmental laws and agencies; Institutional development is as much Capacity law; * Active NGOs; about quality as it is about quantity, so * Promulgation of new environmental * Number of trained staff in environmental numerical or presence/absence regulations; agencies; indicators alone can be very misleading. * Number of environmental audits completed. * Number of laboratory facilities; * Share of environmental expenses of total budyet. N~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 10 I Annex 2 Examples of the Use of EPIs in World Bank Projects - Tables begin on next page - Environmental Economics Series 31 A. Lithuania Siauliai Environment Project Output ~~~~~~~~~~~~~~~~Output input (Goods, services and direct outputs of project Risks imlpact (Resources provided activities. Details to be determined at (The output is Impacts that correspond to Objectives for project activities) "detailed design" p hose) dependent on. .) the individual objectives Overall impacts To reduce - IBRD loan (US $6.20 mill.) - Rehabilitated Sewer Network; - Problems with - Increased amount of treated - Lower health pollutant - Bilateral grants (US $8.54 - Rehabilitated WWTP; availability of local wastewater, from 40,000 m3/d - care costs (by loads from mill.) - New WWTP; funding. 50,000 m3/d. X%); the Siauliai - Government (US $7.6 mill.) - Pollution control measures at pig - Reduced pollution level (at the - Increased areas into the - Municipality (US $0.4 mill.) farms; and treatment plants' outlets and at a tourism Upper - Pollution control measures for number of other locations as follows: revenues (by Lielupe River All funds will be utilized for agricultural run-off. * Mouth of Lielupe river Y%); and Basin. procurement of equipment, works, N250 t/y-I8t/y - Increased consultants, and technical WWTP = Wastewater treatment plant * P 56 t/y - 15 t/y international assistance (training). * At WWTP political * BOD 1,000 t/y - 200 ty goodwill * Suspended solids 1,000 t/y -200 t/y (measured * N 500 t/y - 360 t/y through...). = P 7S Fty-h 20 I.. (Baselines to be N = nitrogen; P = phosphorus; BOD = determined) Biological Oxygen Demand. Reduced pollution levels at selected points downstream from agriculturtal pilot sites and pig farms (baseline to be determined). To improve - Rehabilitated equipment; - Ability to adjust - Improved drinking water quality; the quality, - New equipment; tariffs; Decrease of iron content; reliability, and - Restructured water utility; and - Revenue collection * Softer, potable water; cost of water - Trained people; difficulties; - Reduced number of breaks and aupply and - Political difficulties trouble calls on wastewater with organizational . Water supply and distribution services in restructuring (staff system Siauliai. reduction). * Wastewater collection and conveyance system (baseline to be determined) - Adequate operating ratio (<85%) - Adequate working ratio (<70%) for the water utility To improve - Monitoring and laboratory equipment; - Potential - Regular and accurate monitoring of regional& - Other equipment; coordination waterquality; local - Trained people; difficulties between - Regular enforcement visits at environmental - Management plans for industrial concerned parties. pollution sources (quantified quality pollution reduction and sludge; definitions would be determined monitoring - Emergency management plan; when drafting management plans). and enforcement system in the Upper Lielupe river basin________ ___ B. Malawi Environmental Management Project Objective (Output indicators measure component objectives, while impact indicators measure Assumptions project development (Assumptions behind the choice of indicator, objectives) Indicator Measurement as well as for a positive result of the project) Improved environmental a Functioning lead Ministry, functioning a Efficient allocation of resources, client * Very efficient financial monitoring and capacity and coordination committees, donor groups, NGOs satisfaction. Records of meeting, and account of control system • Functioning EIA process decision taken. * Sufficient trained personnel to conduct * Functioning Environmental Information * Numbers of ElAs approved and analyze ElAs Systems * Number of users, size of databases, number of projects using systems Better trained groups working Numbers of people, communities trained Qualitative: surveys, client consultation, continued Timely delivery of high quality training on environmental management flow of resources courses in Malawi Enhanced environmental * Quantities of materials distributed * Quantitative: Numbers of training courses (to * Effective coordination of effort amorg education * Materials prepared and disseminated be included in training program to be differetw Goermmentamncies, NGOs and through formal and non-formal developed during 1997). donors to nirimze dupLication of effort and education * Qualitative: training effectiveness (post-course maximize leverage of ESP resources * Development and supply of materials evaluation). Annual Report on training. * Full collaboration with all elements of * Annual Report and Work Plan formal and non-formal education system, synergy with other initiatives Enhanced community * Numbers of communities mobilized for * Quantities: Effectiveness (to be evaluated Maintenance of Government commitment to mobilization and natural resources/environmental during annual work review and planning community empowerment o implementation of local management exercises). Community satisfaction. environmental activities * Numbers of communities implementing a Annual evaluation numbers) of communities, co-management and environmental projects and participants micro projects Institutional capacity building Procurement and distribution of inputs, Annual Report on progress and procurement and Maintaining the momentum of capacity and strengthening of the provision of training resources disbursement indicators development, with necessary staff. environmental information Continued commitment of resources. systems Effectiveness of capacity to procure inputs and manage financial systems Maintain commintmert and resoum application Sufficent caadty to implemernt programs. NGOs are suffiiently mctivated and organized to conidnue wok Community based Timely supply of financial resources Annual Report and Work Plan Efficient management of program and line environmental management Departments Environmental actions and Diverse Annual Report and Work Plan studies B. Malawi Environmental Management Project (continued) ObjectVve component objectives, while intact indicators measure Assumptions project development (Assumptions behind the choice of indicator, objectives) Indicator Measurement as well as for a positive result of the project) Improved policy and a Adoption of National Environment * NEP adopted in Feb. 1996, EMA enacted in Improved policies will actually make a institutional framework Policy and Environment Management June 1996. EMA sets out role of EAD, and difference and that there will be sufficient Act. Role of MOREA and EAD Public Services Commission expedites capacity and political will to implement the established and agreed recruitment of staff. new policies. * Promulgation guidelines and regulations * Guidelines and regulations by Dec. 1997 under the EMA * Policies and legislation: forestry 9/98, fisheries * Revision and review of sectoral policies 9/98, parks and wildlife 9/98, soil conservation and legislation 9/98, land tenure 9/98, water/irrigation 9/98 Improved capacity to manage * Increased staffing for MOREA * Full staffing complement achieved and * Capacity development will be natural resources and * Effective coordination of: maintained l 2196, and annually monitored sustainable - staff turnover, political environment at all levels - National Council for the Environment thereafter support for institutions concerned - Parliamentary Committee * Frequency of meetings (e.g twice per year, at remains high. Must maintain momentum - Technical Committees on the least three times per year, monthly) through training and replacement of Environment * AnnUal Review process staff when turnover occurs. ministries * Official designation of focal points by 12197 a Availability of funding. - NGOs * Demonstration pilot for Shire River system - * Incentives for data collection and supply - donors mapping and data input accomplished sufficiently strong for focal points and * Preparation of annual workplans * Establishment and implementation of training other to supply data. * Effective establishment of programs for MOREA, line Ministries, NGOs, environmental focal points network communities. Annually thereafter, numbers of * EIS - Establishment of effective EIS training courses and people trained. * Training Effective empowerment of Areas of forest and public land brought under * Forest resources co-managed hectares/ * Community empowerment provides communities for CBNRM effective management by communities numbers of communities mobilized and sufficient incentive for communities to empowered annually take control of their resource base. * National parks and wildlife areas co-managed, * Government commitment to co- numbers of communities mobilized management remains strong. * Agreement by Ministry of Finance on revenue sharing by communities Enhanced ervironmental Greater public awareness and informed * Surveys, active participation of all levels of Continued support t political level and active awareness population society in environmental management participation by groups including * Newspapers, radio, dance groups, parliamentarians, Ministers, traditional environmental clubs, choirns leadership structures. Annex 3 Other World Bank Performance Indicators Notes Baird, M., M. Lav, and D. Wetzel. 1995. . 1995. Performance Indicators in Bank- Performance Indicatorsfor Adjustment Financed Agricultural Projects. A First Edition Programs: A First Edition Note. World Bank, Note. Washington: World Bank. Development Economics. _ . 1995. The Use of Sectoral and Project Carvalho, S., and H. White. 1995. Performance Performance Indicators In Bank-Financed Oil Indicators to Monitor Poverty Reduction. and Gas Operations. A First Edition Note. World Bank, Education and Social Policy World Bank, Industry and Energy Department. Department. Fleisig, H., N. Roger, and S. Mahmood. 1995. _ . 1995. Sector and Project Performance Project Performance and Development Impact Indicatorsfor Population, Health and Nutrition. Indicatorsfor Projects in Private Sector First Edition Note. World Bank, Population, Development: A First Edition Note. World Health and Nutrition Department. Bank, Private Sector Development . 1995. Power Sector Performance Monitoring Department. Indicators. First Edition Note. World Bank, Gannon, C., and Z. Shalizi. 1995. The Use of Industry and Energy Department. Sectoral and Project Performance Indicators In . 1996. Performance Indicators for Technical Bank-Financed Transport Operations. A First Assistance Operations. A First Edition Note. Edition Note. World Bank, Transportation, World Bank, Operations Policy Department. Water & Urban Development Department. . 1995. Performance Indicatorsfor the Remy, F., and M. Barry. 1995. The Use of Sectoral Telecommunications Sector. First Edition. and Project Performance Indicators In Bank- World Bank, Industry and Energy Financed Industry and Mining Operations. A Department. First Edition Note. World Bank, Industry and D ent. ' .~~~___ 1995. Sectoral and Project Performance Energy Department. Indicators in Bank-Financed Urban Sigurdsson, S., and E. Schweitzer. 1995. Development Operations. World Bank, Performance Indicators in Bank-Financed Transportation, Water, and Urban Education Operations: Second Edition. World Development Department. Bank, Human Development Department. Yepes, G., and A. Dianderas. 1996. Water & UN Centre for Human Settlements and World Wastewater Utilities. Indicators 2nd Edition. Bank. 1992. The Housing Indicators Program. World Bank, Water and Sanitation Division. Volumes I-IV. New York, UN & Washington, World Bank. World Bank. 1995. The Use of Sectoral and Project Performance Indicators in Bank-Financed For copies of any of these notes, please contact the Financial Sector Operations. World Bank, World Bank's Operational Core Services'Advisory Financial Sector Development Department. Service, phone: (202) 458-8627. Environmental Economics Series 35 I I References Adriaanse, A. 1993. Environmental Policy Hamilton, K. 1998. Perfornance Indicators for Performance Indicators. The Hague: Ministry Environmental Projects. 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