![ Concept of Sustainable Development
Project Phases
The World Bank Environmental and Social Framework [ESF]
Gaps Between The ESF and National Laws
The ESIA or EIA Process
OUTLINE
2](https://image.slidesharecdn.com/projectcycleesf-200427001433/85/Project-Cycle-and-the-World-Bank-Environmental-and-Social-Framework-ESF-2-320.jpg)
![10
The World Bank ESF sets out the its commitment to sustainable development, through a Policy and a set of
Environmental and Social Standards (ESS) that are designed to support Borrowers’ projects, with the aim
of ending extreme poverty and promoting shared prosperity.
The ESF applies to all new World Bank investment project financing as of October 1, 2018.
Ongoing projects commenced before this date will continue to apply the Ops and the two systems will run
in parallel for an estimated seven years.
It brings the World Bank’s environmental and social protections into closer harmony with those of other
development institutions.
The ESF consists of:
the World Bank’s Vision for Sustainable Development
the Bank’s Environmental and Social Policy for Investment Project Financing (IPF), which sets out the
requirements that apply to the Bank
the 10 Environmental and Social Standards (ESS), which set out the requirements that apply to
Borrowers
Bank Directive: Environmental and Social Directive for Investment Project Financing
Bank Directive on Addressing Risks and Impacts on Disadvantaged or Vulnerable Individuals or Groups
THE WORLD BANK ENVIRONMENTAL AND SOCIAL
FRAMEWORK [ESF]](https://image.slidesharecdn.com/projectcycleesf-200427001433/85/Project-Cycle-and-the-World-Bank-Environmental-and-Social-Framework-ESF-10-320.jpg)
![11
ENVIRONMENTAL AND SOCIAL STANDARDS [ESS]
The ESS set out the requirements for Borrowers relating to the identification and assessment of
environmental and social risks and impacts associated with projects supported by the Bank
through Investment Project Financing.
The application of these standards, by focusing on the identification and management of
environmental and social risks, will support Borrowers in their goal to reduce poverty and
increase prosperity in a sustainable manner for the benefit of the environment and their
citizens.
The standards will:
(a) support Borrowers in achieving good international practice relating to environmental and
social sustainability;
(b) assist Borrowers in fulfilling their national and international environmental and social
obligations;
(c) enhance nondiscrimination, transparency, participation, accountability and governance; and
(d) enhance the sustainable development outcomes of projects through ongoing stakeholder
engagement.](https://image.slidesharecdn.com/projectcycleesf-200427001433/85/Project-Cycle-and-the-World-Bank-Environmental-and-Social-Framework-ESF-11-320.jpg)
![12
ENVIRONMENTAL AND SOCIAL STANDARDS [ESS]
The ten Environmental and Social Standards establish the standards that the Borrower and the project will
meet through the project life cycle, as follows:
Environmental and Social Standard 1: Assessment and Management of Environmental and Social Risks
and Impacts;
Environmental and Social Standard 2: Labor and Working Conditions;
Environmental and Social Standard 3: Resource Efficiency and Pollution Prevention and Management;
Environmental and Social Standard 4: Community Health and Safety;
Environmental and Social Standard 5: Land Acquisition, Restrictions on Land Use and Involuntary
Resettlement;
Environmental and Social Standard 6: Biodiversity Conservation and Sustainable Management of Living
Natural Resources;
Environmental and Social Standard 7: Indigenous Peoples/Sub-Saharan African Historically Underserved
Traditional Local Communities;
Environmental and Social Standard 8: Cultural Heritage;
Environmental and Social Standard 9: Financial Intermediaries; and
Environmental and Social Standard 10: Stakeholder Engagement and Information Disclosure.](https://image.slidesharecdn.com/projectcycleesf-200427001433/85/Project-Cycle-and-the-World-Bank-Environmental-and-Social-Framework-ESF-12-320.jpg)
![13
ENVIRONMENTAL AND SOCIAL STANDARDS [ESS]
The Framework is accompanied by nonmandatory guidance and information tools to assist;
Borrowers in implementing the Standards,
Bank staff in conducting due diligence and implementation support, and
Stakeholders in enhancing transparency and sharing good practice.
The World Bank Access to Information Policy, which reflects the Bank’s commitment to
transparency, accountability and good governance, applies to the entire Framework and includes
the disclosure obligations that relate to the Bank’s Investment Project Financing.
Borrowers and projects are also required to apply the relevant requirements of the World Bank
Group Environmental, Health and Safety Guidelines (EHSGs).
Project-affected parties will have access, as appropriate, to project grievance mechanisms, local
grievance mechanisms, the Bank’s corporate Grievance Redress Service
(http://www.worldbank.org/GRS ; e-mail: grievances@worldbank.org) with possible escalation to
the World Bank Inspection Panel.](https://image.slidesharecdn.com/projectcycleesf-200427001433/85/Project-Cycle-and-the-World-Bank-Environmental-and-Social-Framework-ESF-13-320.jpg)
![ABUJA LIGHT RAIL PROJECT: A Failure? System length: 42.5 km (26.4 mi)
Number of stations: 12
Transit type: Medium-capacity rail
system
Cost: N299 billion
Contract Awarded: 2007
Commissioned: July 2018
20
KEY ISSUES
Not designed with users/beneficiaries in
mind
No patronage
No prior stakeholder engagement
Was there consideration for sustainability
or financial risk assessment?
Operational time schedule not linked to
any known operational driver
SCHEDULE
Metro-Airport [10:00-10:40 and 14:30-15:10]
Airport-Metro [13:30-14:10, and 16:30-17:00]
FUTURE EXPANSION
•Lot 2 is from Gwagwa via Metro Station to Nyanya/Karu
•Lot 4 is from Kuje to Karshi to link to Airport
•Lot 5 from Kubwa via Bwari to Suleja
•Lot 6 from Airport via Kuje and Gwagwalada to Dobi.](https://image.slidesharecdn.com/projectcycleesf-200427001433/85/Project-Cycle-and-the-World-Bank-Environmental-and-Social-Framework-ESF-20-320.jpg)
Project Cycle and the World Bank Environmental and Social Framework (ESF)
- 1. 1 16th April 2020 Technical Paper Presented at Monthly General Meeting of Nigerian Society of Chemical Engineers (NSChE) FCT/Nasarawa State Chapter By Engr. Mamoud Abubakar, FNSChE
- 2. Concept of Sustainable Development Project Phases The World Bank Environmental and Social Framework [ESF] Gaps Between The ESF and National Laws The ESIA or EIA Process OUTLINE 2
- 3. Social EconomicEnvironment CONCEPT OF SUSTAIBLE DEVELOPMENT 3 EQUITABLEBEARABLE VIABLE SUSTAINABLE • Sustainable Development: Defined as development that meets the needs of the present without compromising the ability of future generations to meet their own needs. • Meeting human needs at the same time sustaining the ability of natural systems to provide the ecosystem services based upon which the economy and society depend. • The desired result is a state of society where living conditions and resources are used to continue to meet human needs without undermining the integrity and stability of the natural system. MAIN PILLARS OF SUSTAINABILITY
- 4. CONCEPT OF SUSTAIBLE DEVELOPMENT Social EconomicEnvironment 4 EQUITABLEBEARABLE VIABLE SUSTAINABLE • Sustainable Development: Defined as development that meets the needs of the present without compromising the ability of future generations to meet their own needs. • Meeting human needs at the same time sustaining the ability of natural systems to provide the ecosystem services based upon which the economy and society depend. • The desired result is a state of society where living conditions and resources are used to continue to meet human needs without undermining the integrity and stability of the natural system. MAIN PILLARS OF SUSTAINABILITY
- 5. BASIC PHASES OF PROJECT DEV CYCLE Identification Conceptual Design 5 Operation Decommissioning Detailed Design Fund Allocation Procurement Construction
- 6. JUSTIFICATION • Strategic Level • Need and Justification • Project Objectives • Form Project Team PRELIMINARY EVALUATION • Define Scope • Alternatives Review • Market Evaluation • Conceptual Design (2-5%?) • Risk Assessment FEASIBILITY • Design Studies (5- 10%?) • Procurement Strategy • Market Analysis, Commercial Strategy or Cost Recovery • Business Case • Address Key Risks • Staffing/Labour Strategy • Contracting and Delivery Strategy DETAILED DESIGN • Detailed Design (100%) • Detailed Costing • Commercial Agreements with Customers or Beneficiaries • Contracts 6 STAGE FOR ENVIRONMENTAL AND SOCIAL ASSESSMENT Advance OR Reject Advance OR Reject Investment Decision Seek Financial Closure PROJECT DECISION GATES Increasing level of detail and decreasing flexibility
- 7. THE ESIA PROCESS 7 Screening Scoping Baseline Studies Impact Prediction and Evaluation Mitigation Environmental & Social Management Plan Environmental & Social Management Report None OR No detailed assessment is needed Analysis of Alternatives Public Disclosure, Consultation and Review Stakeholder Consultations Impacts likely No significant impacts Decision to proceed or not SCREENING: a quick, high-level analysis to determine whether a full EIA is necessary SCOPING: determines which impacts are likely to be significant and should become the main focus of the assessment, identifies data availability and gaps, appropriate spatial and temporal boundaries, methodologies and issues of concern to stakeholders. Baseline studies: provide basis for predicting impacts and as a reference point against which any future changes associated with a project can be assessed. Impact prediction and evaluation: analyzing the impacts identified in the scoping and baseline studies to determine their nature, temporal and spatial scale, reversibility, magnitude, likelihood, extent and effect. Mitigation: aims to eliminate or reduce negative impacts by applying the mitigation hierarchy of avoidance, reduction or compensation for any residual or unavoidable damage Analysis of Alternatives: an iterative process of comparing potential impacts and mitigation options of a series of alternative designs, layout, locations, technologies and operations to identify the optimal configuration that meets or exceeds the requirements. Environmental and Social Management Plan (ESMP): defines resources, roles and responsibilities as well as timelines required to manage the impacts and implement mitigation measures. ESIA or EIA Report: sometimes called Environmental Impact Statement (EIS) provides a clear, jargon-free review of potential impacts and how they have been addressed. It is presented to regulatory authorities and others, as the basis for decision making.
- 8. The World Bank Environmental and Social Safeguards Through the 1990s, The World Bank established 11 Operational Policies (OP) “Environmental and Social Safeguard Policies” as well as Bank Procedures (BPs). Due to advances in technology and other changing circumstances, these policies became increasingly ineffective in achieving its objectives. Hence, the new ESF was prepared in 2016 and effectively replaced the listed OPs and BPs 8
- 9. SAFEGUARD POLICIES REPLACED BY THE ESF 9
- 10. 10 The World Bank ESF sets out the its commitment to sustainable development, through a Policy and a set of Environmental and Social Standards (ESS) that are designed to support Borrowers’ projects, with the aim of ending extreme poverty and promoting shared prosperity. The ESF applies to all new World Bank investment project financing as of October 1, 2018. Ongoing projects commenced before this date will continue to apply the Ops and the two systems will run in parallel for an estimated seven years. It brings the World Bank’s environmental and social protections into closer harmony with those of other development institutions. The ESF consists of: the World Bank’s Vision for Sustainable Development the Bank’s Environmental and Social Policy for Investment Project Financing (IPF), which sets out the requirements that apply to the Bank the 10 Environmental and Social Standards (ESS), which set out the requirements that apply to Borrowers Bank Directive: Environmental and Social Directive for Investment Project Financing Bank Directive on Addressing Risks and Impacts on Disadvantaged or Vulnerable Individuals or Groups THE WORLD BANK ENVIRONMENTAL AND SOCIAL FRAMEWORK [ESF]
- 11. 11 ENVIRONMENTAL AND SOCIAL STANDARDS [ESS] The ESS set out the requirements for Borrowers relating to the identification and assessment of environmental and social risks and impacts associated with projects supported by the Bank through Investment Project Financing. The application of these standards, by focusing on the identification and management of environmental and social risks, will support Borrowers in their goal to reduce poverty and increase prosperity in a sustainable manner for the benefit of the environment and their citizens. The standards will: (a) support Borrowers in achieving good international practice relating to environmental and social sustainability; (b) assist Borrowers in fulfilling their national and international environmental and social obligations; (c) enhance nondiscrimination, transparency, participation, accountability and governance; and (d) enhance the sustainable development outcomes of projects through ongoing stakeholder engagement.
- 12. 12 ENVIRONMENTAL AND SOCIAL STANDARDS [ESS] The ten Environmental and Social Standards establish the standards that the Borrower and the project will meet through the project life cycle, as follows: Environmental and Social Standard 1: Assessment and Management of Environmental and Social Risks and Impacts; Environmental and Social Standard 2: Labor and Working Conditions; Environmental and Social Standard 3: Resource Efficiency and Pollution Prevention and Management; Environmental and Social Standard 4: Community Health and Safety; Environmental and Social Standard 5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement; Environmental and Social Standard 6: Biodiversity Conservation and Sustainable Management of Living Natural Resources; Environmental and Social Standard 7: Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities; Environmental and Social Standard 8: Cultural Heritage; Environmental and Social Standard 9: Financial Intermediaries; and Environmental and Social Standard 10: Stakeholder Engagement and Information Disclosure.
- 13. 13 ENVIRONMENTAL AND SOCIAL STANDARDS [ESS] The Framework is accompanied by nonmandatory guidance and information tools to assist; Borrowers in implementing the Standards, Bank staff in conducting due diligence and implementation support, and Stakeholders in enhancing transparency and sharing good practice. The World Bank Access to Information Policy, which reflects the Bank’s commitment to transparency, accountability and good governance, applies to the entire Framework and includes the disclosure obligations that relate to the Bank’s Investment Project Financing. Borrowers and projects are also required to apply the relevant requirements of the World Bank Group Environmental, Health and Safety Guidelines (EHSGs). Project-affected parties will have access, as appropriate, to project grievance mechanisms, local grievance mechanisms, the Bank’s corporate Grievance Redress Service (http://www.worldbank.org/GRS ; e-mail: [email protected]) with possible escalation to the World Bank Inspection Panel.
- 14. GAPS BETWEEN THE WB ESF AND NATIONAL LAWS Requirements in ESF National Requirement GAPs CATEGORISATION: High, Substantial, Moderate Risk and low CATEGORISATION: Categories I, II &III Criteria for screening differ but similar ESS1 Assessment and Management of Environmental and Social Risks and Impacts Environmental Impact Assessment Act, No. 86 1992 (EIA). EIA regulatory framework aligns well with the basic ESF Principles. However, ESF has additional requirements on assessment of associated facilities, climate change issues, gender, more extensive consultation, more intensive assessment of health issues etc. ESS 2 Labor and Working Condition Labor Act, Chapter 198, Laws of the Federation of Nigeria (LFN) 2004, on promoting fair treatment and equal opportunities of project workers. Child Labour Act. 2019 prohibit child labour or their engagement under certain conditions Gaps include emerging issues on contractor’s requirement in the bidding documents. separate requirements for direct workers, contracted workers, primary supply workers, and community workers. The ESF places responsibility on the proponent (borrower) to take responsibility for ensuring requirements for managing the 4 categories implemented. While the Labour Act. places responsibility only for direct workers (permanent or casual) employed within or outside the community. The child labour Act. 2019 essentially satisfy requirements of ILO on child labour and consistent with ESS 2 14
- 15. GAPS BETWEEN THE WB ESF AND NATIONAL LAWS Requirements in ESF National Requirement GAPs ESS3 Resource Efficiency and Pollution Prevention and Management Environmental Impact Assessment (Act 86, 1992) to avoid or minimize waste generation and ensure effective management to avoid, minimis or mitigate adverse impacts on human health and the environment. National Environmental Regulations has requirements for pollution prevention, discharge permits, etc Requirements for pollution prevention and waste management are similar, but the ESF contain additional requirements for improving efficient consumption of energy, water and raw materials, as well as other resources ESS4 Community Health and Safety Nil Other frameworks such as the Petroleum Act, Cap P10, LFN 2004, Quarantine Act, Cap Q2, LFN 204 provide for issues on ESS4 Community Health and Safety, however, these issues are not adequately covered in the EIA Act 86, 1992, and not often comprehensively assessed because the fragmentation of requirements into various laws. 15
- 16. GAPS BETWEEN THE WB ESF AND NATIONAL LAWS Requirements in ESF National Requirement GAPs ESS 5 Land Acquisition, Restrictions on Land Use and Involuntary Resettlement Section 202 of Nigeria Land Use Act (LUA), 1990 is the legal basis for land acquisition and resettlement in Nigeria. DETAILED ASSESSMENT IS ON SLIDE 18 ESS 6 Biodiversity Conservation and Sustainable Management of Living Natural Resources Although provided for in the Endangered Species Act, Cap E9, LFN 2004. Gaps exist in the EIA Act 86, 1992 on issues on biodiversity and climate change. ESS 7 Indigenous Peoples/Sub- Saharan African Historically Underserved Traditional Local Communities NIL The provision for Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities are not provided for in the EIA Act 86, 1992. 16
- 17. GAPS BETWEEN THE WB ESF AND NATIONAL LAWS Requirements in ESF National Requirement GAPs ESS8 Cultural Heritage The issue on Cultural Heritage is not provided for in the EIA Act. However, the FGN established the National Endowment for The Arts Act, to foster understanding amongst cultural organisations in order to strengthen cultural ties. National Commission for Museums and Monuments has responsibility for physical cultural properties ESS8 require projects to specifically assess cultural heritage resources likely to be affected and develop cultural heritage management plan ESS9 Financial Intermediaries Nil ESS9 defines responsibilities of intermediaries between burrowers and the bank. ESS10 Stakeholder Engagement and Information Disclosure EIA Act, No. 86 1992 requires consultation of affected people, State or Local Government of the proposed activity, contains requirements for public disclosure of reports Gaps include guidelines on the; the identification of stakeholders and focused groups including the preparation of stakeholders’ engagement plans and Grievance Redress Mechanisms, and entrenches stakeholder engagement throughout the life cycle of the project 17
- 18. GAPS BETWEEN THE ESS5 AND NATIONAL LAWS Type of property ESS5 National Legislation - Land Use Act (LUA) 1978 GAPs Lands Compensations in kind are recommended. Assistance should be provided for the restoration of productivity and achieving production levels (at least equivalent to the land replaced). The cash compensation is possible if the affected lands account for less than 20% of the household’s land. Land Use Act (LUA) 1978 - alternative land can be allocated by the issuing authority for the same purpose based upon the rights held upon such land. ESS5 prefer compensation in kind, while LUA favours cash ESS5 recognise payment for land, while the LUA Act does not (because it is owned by Government for common public good) Buildings (pri and Sec structures) Compensations in kind are recommended. Compensation should be based on the present value of depreciation, as well as all transaction costs (taxes, permits, etc.). Land Use Act 1978 -Cash compensation for improvements based upon market value. LUA Compensation valuation is based on depreciated unexhausted value, while ESS5 is based on replacement value Crops For perennial crops, compensation shall take into account the production delivery time. For annual crops, the land offered as compensation allows the restoration of production. Land Use Act 1978 - the holder and the occupier shall be entitled to compensation for the value at the date of revocation of their unexhausted improvements which includes crops and trees Harmonised compensation rates for crops does not consider land restoration and value loss for crops to achieve same production levels as required by ESS5 Economic Impact Resettlement program that allows the owner to gain full trade income flow. NIL LUA does not take into account economic loss due to business relocation or even closure Assistance to resettled PAPs PAPs should, in addition to the relocation allowance, receive assistance in their resettlement and monitoring thereafter. NIL LUA does not have specific provisions to cover assistance (relocation logistics and convinince) Illegal occupants/ Squatters Relocation assistance and compensation for lost of assets (other than land). LUA does not have provisions for squatters ESS 5 recognizes the right of squatters to assistance to relocate Tenants They must be compensated, whatever the type of legal recognition of their land tenure (formal or informal). Entitled to compensation based on the amount of rights they hold upon land. No difference 18
- 19. CASE STUDIES AND CLESSICAL EXAMPLES 19
- 20. ABUJA LIGHT RAIL PROJECT: A Failure? System length: 42.5 km (26.4 mi) Number of stations: 12 Transit type: Medium-capacity rail system Cost: N299 billion Contract Awarded: 2007 Commissioned: July 2018 20 KEY ISSUES Not designed with users/beneficiaries in mind No patronage No prior stakeholder engagement Was there consideration for sustainability or financial risk assessment? Operational time schedule not linked to any known operational driver SCHEDULE Metro-Airport [10:00-10:40 and 14:30-15:10] Airport-Metro [13:30-14:10, and 16:30-17:00] FUTURE EXPANSION •Lot 2 is from Gwagwa via Metro Station to Nyanya/Karu •Lot 4 is from Kuje to Karshi to link to Airport •Lot 5 from Kubwa via Bwari to Suleja •Lot 6 from Airport via Kuje and Gwagwalada to Dobi.
- 21. COMMUNITY HEALTH AND SAFETY OFTEN IGNORED Petrol tanker explosion; Lagos-Ibadan Expressway:25/02/2020 (Daily Post Newspaper) Street Crossing Hit; Nogale, Mexico: 28/06/2018 (KOKO TV Nigeria Online)
- 23. INADEQUATE IMPLEMENTATION OF RAP KEY ISSUES • Inadequate consultations • Exclusion of certain groups • No payment for land • No livelihood restoration • Inconveniences of movement not considered
- 25. Questions 25
Editor's Notes
- #4: Development is a process that creates growth, progress, positive change or the addition of physical, economic, environmental, social and demographic components.
- #5: Development is a process that creates growth, progress, positive change or the addition of physical, economic, environmental, social and demographic components.
- #21: Information from flight radar show 66 flights arrive Abuja and 62 departures per day (weekday). 60% arrive before 13:00hrs and 30% depart before 10am. Based on this schedule, probably less than 10% of air travelers can use the train conviniently