Page 1 DRAFT – Tool for Learning – Does not replace the operational policy

Safeguard Policies – Draft Matrices

Tools for Learning

(UpdatedFebruary 2008)

This draft matrix is a summary of the World Bank’s 10 Safeguard Policies – designed to assist Bank staff as they apply the safeguard policies and procedures. The matrix is advisory and is not intended to be a substitute for the policies and procedures which are binding. In the event of any inconsistencies between the policies/procedures and the matrix, the safeguard policies/procedures apply.

The matrix includes: the objectives of each safeguard policy; “triggers” for each policy; mechanisms for achieving policy objectives, consultation and disclosure requirements – for each safeguard policy and for The World Bank Policy onDisclosure of Information; and criteria to assess compliance during the project cycle at preparation, appraisal, and supervision.

If you would like to review the individual policies and procedures in their entirety, they can be found in the Project Requirements section of the Operational Manual on the Lotus Notes desktop.

For further information, contact your regional safeguard coordinator, the relevant Quality Assurance and Compliance Team specialist, as indicated in each matrix, or the Safeguard Policies Help Desk at 202-473-2001/.

Table of Contents

Environmental Assessment (OP/BP 4.01)……………………...2

Forests (OP/BP 4.36)…………………………………………..4

Involuntary Resettlement (OP/BP 4.12)……....6

Indigenous Peoples (OP/BP 4.10)…………….8

Safety of Dams (OP/BP 4.37)…………………………………10

Pest Management (OP 4.09)………………………

Physical Cultural Resources (OP/BP 4.11)……………14

Natural Habitats (OP/BP 4.04)………………………………..16

Projects in Disputed Areas (OP/BP 7.60)……………………..18

Projects on International Waterways (OP 7.50)…………..20

ENVIRONMENTAL ASSESSMENT (OP/BP 4.01)

Stephen Lintner 202-473-2508

Objectives:
To ensure that Bank-financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of their likely environmental impacts (OP 4.01, para. 1).
Triggers:
This policy is triggered if a project is likely to have potential (adverse) environmental risks and impacts in its area of influence.
Note: OP 4.01 covers impacts on the natural environment (air, water and land); human health and safety; physical cultural resources; and transboundary and global environment concerns. Social aspects (involuntary resettlement, indigenous peoples) as well as natural habitats, pest management, forestry, and safety of dams are covered by separate policies with their own requirements and procedures.
Mechanisms for achieving policy objectives:
When OP 4.01 is triggered, the Bank classifies the project as category A, B, C, or FI according to the nature and magnitude of potential environmental impacts
(OP 4.01, para. 8). For category A and B projects the Borrower prepares an EA report (OP 4.01, para. 8a & Annex B). For category B projects the scope of the EA may vary (OP 4.01, para. 8b) and it is narrower than category A.
Depending on the project, and the nature of impacts a range of instruments can be used: EIA, environmental audit, hazard or risk assessment and environmental management plan (EMP). When the project is likely to have sectoral or regional impacts, sectoral or regional EA is required (OP 4.01, para. 7 and Annex A).
The Borrower is responsible for carrying out the EA. For category A projects, the Borrower retains independent EA experts not affiliated with the project to carry out the EA. For category A projects that are highly risky or contentious or that involve serious and multidimensional environmental concerns, the Borrower normally engages an advisory panel of independent, internationally recognized environmental specialists.
Consultation and Disclosure Requirements (see also BP 17.50)
For (i) A and B projects and (ii) sub-projects categorized as A and B in a programmatic loan, the borrower consults project-affected groups and local nongovernmental organizations (NGOs) about the project's environmental aspects and takes their views into account. The borrower initiates such consultations as early as possible. For Category A projects, the borrower consults these groups at least twice: (a) shortly after environmental screening and before the terms of reference for the EA are finalized; and (b) once a draft EA report is prepared. In addition, the borrower consults with such groups throughout project implementation as necessary to address EA-related issues that affect them.
The Borrower provides relevant information in a timely manner prior to consultation and in a form and language accessible to the groups being consulted.
The Borrower makes the draft EA (for category A projects) or any separate EA report (for category B projects) available in country in a local language and at a public place accessible to project-affected groups and local NGOs prior to appraisal. It is good practice to disclose the draft EA report at the InfoShop.
The Task Team sends the final EA to the InfoShop prior to appraisal for all category A and category B projects. For category A projects, the task team sends a summary of the EA report to the Board of Directors as soon as it is received.
Separate Resettlement Plans and Indigenous Peoples Plans are disclosed with the relevant EA report. When there is no EA, it is good practice to send these reports to the InfoShop prior to appraisal.

Environmental AssessmentOP 4.01 – page 2

Preparation Requirements: / Appraisal Requirements: / Supervision Requirements:
During environmental screening, the task team in consultation with the regional unit charged with safeguards compliance (RESU):
  • Examines the type, location and scale of the proposed project as well as the nature and magnitude of its potential impacts;
  • Assigns project category (see OP 4.01, para. 8);
  • Records in the PCD and PID: key environmental issues, project category, proposed consultation and EA schedule;
  • Reports the EA category in MOS and prepares an ISDS; and
  • Sends the ISDS to the InfoShop as soon as approved and updates it as needed.
During EA preparation, the task team:
  • With the Borrower, identifies the scope of EA, procedures, schedule and outline of report;
  • Obtains clearance from RESU of the environmental aspect of the PCD/PID;
  • Adjusts the EA classification and TOR in response to the changes in project design;
  • Assists the Borrower, as necessary, to write TOR for category A ,B and FI projects (BP 4.01, 7);
  • Advises the Borrower on Bank's procedures and requirements for EA, including consultation and disclosure.
The Borrower:
  • Retains independent EA experts not affiliated with the project to carry out the EA;
  • Engages an Independent Advisory Panel for category A projects that are risky or contentious;
  • Prepares a draft EA; and
  • Conducts public consultation on the draft EA report and submits it with an EA executive summary to Bank
/ Prior to appraisal :
  • Receipt and clearance of an officially transmitted EA report is a condition of project appraisal;
  • TT forwards the EA Summary to Secretary of the Board (SECBO)
During appraisal, the Task Team :
  • Includes environmental specialists with relevant expertise for category A projects;
  • Reviews both the procedural and substantive elements of the EA with the Borrower and resolves any outstanding issues;
  • Assesses the adequacy of the institutions responsible for environmental management;
  • Where capacity to undertake EA related functions is inadequate, ensures arrangements are in place to strengthen capacity (OP 4.01, para. 14);
  • Ensures the adequacy of financing arrangements for the Environmental Management Plan;
  • Determines whether the EA recommendations are properly addressed in project design and economic analysis;
  • Develops clear arrangements with the Borrower to ensure that the implementing institutions are able to carry out or oversee the EAs of proposed subprojects (BP 4.01, annex 17) for SIL and FI;
  • Assesses the adequacy of public consultation and disclosure of information.
In general, it is good practice to get RESU clearance on the PAD at negotiations and at Board presentation time, particularly for Category A and for contentious B and FI projects. Regions may have specific requirements on this matter. / During implementation the task team :
  • Ensures that the supervision mission contains adequate environmental expertise
  • Supervises the project’s environmental aspects agreed in legal documents and other project documents (see BP 4.01 para. 20-23 and OP/BP 13.05 );
  • Ensures that procurement arrangements are consistent with the environmental requirements;
  • Ensures that environment related covenants are monitored;
  • Reviews environmental mitigation, monitoring and management measures;
  • If not satisfactory, discusses the appropriate course of action and advises regional management;
  • Rates appropriately the environmental safeguard performance in the PSR
Completion
It is good practice:
  • For all projects, but particularly for Category A, B and FI projects, the ICR should contain an analysis of the actual environmental impacts recorded under the project.
  • The degree of analysis should be adapted to the magnitude of these actual environmental impacts.
  • For environmental impacts that would continue to manifest themselves after project completion, measures needed to ensure that the impacts are prevented, mitigated and monitored appear in the ICR.

FORESTS (OP/BP 4.36)

Gerhard Dieterle 202-458-7334

Objectives:
The objective of this policy is to assist borrowers to harness the potential of forests to reduce poverty in a sustainable manner, integrate forest effectively into sustainable economic development and protect the vital local and global environmental services and values of forests. Where forest restoration and plantation development are necessary to meet these objectives, the Bank assists borrowers with forest restoration activities that maintain or enhance biodiversity and ecosystem functionality. The bank assists borrowers with the establishment of environmentally appropriate, socially beneficial and economically viable forest plantations to help meet growing demands for forest goods and services.
Specifically:
  • The Bank uses environmental assessments, poverty assessments, social analyses, Public Expenditure Reviews and other economic and sector work to identify the economic, environmental and social significance of forests in bowering countries;
  • The Bank integrates strategies into its Country Assistance Strategies (CAS) to address any potential significant impacts of the CAS on forests;
  • The Bank does not finance projects that would involve significant conversion or degradation of critical forest areas or other natural habitats;
  • The Bank does not finance projects that contravene applicable international environmental laws;
  • The Bank does not finance plantations that involve any conversion or degradation of critical natural habitats, including adjacent or downstream critical natural habitats;
  • The Bank only finances commercial harvesting operations or the purchase of logging equipment in areas that it has determined are not critical forests or related critical natural habitats ;
  • The Bank only finances industrial-scale commercial harvesting operations in areas outside critical forest areas where such operations are either certified as meeting standards of responsible forest management under an independent forest certification system acceptable to the Bank or adhere to a time-bound, phased action plan acceptable to the Bank for achieving certification to such standards;
  • In areas outside critical forest areas, the Bank may finance harvesting operations by small scale landholders, local communities under community forest management or entities under joint forest management where these operations have either achieved a standard of forest management developed with the meaningful participation of locally affected communities that is consistent with the principles and criteria of responsible forest management outlined in paragraph 10 of OP 4.36 or adhere to a time bound action plan to achieve such a standard that has been developed with the meaningful participation of locally affected-communities and acceptable to the Bank. All such operations must be monitored by the borrower with the meaning participation of locally affected people;
  • The Bank uses environmental assessment to address the impact of all Bank-financed investment projects on forests and/or the rights and welfare of local communities;
  • The Bank ensures that Bank financed projects involving the management of forests incorporate measures to strengthen the fiscal, legal and institutional framework in the borrowing country to meet defined economic, environmental and social objectives that address, amongst other issues, the respective roles and legal rights of the government, the private sector and local people;
  • The Bank ensures that Bank-financed projects involving the management of forests give preference to small-scale community-level management approaches where they best harness the potential to reduce poverty in a sustainable manner;
  • The Bank ensures that the design of Bank- financed projects that use forest resources evaluate the prospects for the development of new markets and marketing arrangements for non-timber forest products and related goods and services, taking into account the full range of goods and environmental services from well managed forests.

Triggers:
The policy is triggered by whenever any Bank-financed investment project (i) has the potential to have impacts on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests; or (ii) aims to bring about changes in the management, protection or utilization of natural forests or plantations.
Mechanisms for achieving policy objectives:
As noted above the Bank’s objectives in forests are to assist borrowers to harness the potential of forests to reduce poverty; integrate forests into sustainable economic development; and protect vital local or global environmental services and values of forests. Mechanisms to achieve these objectives are described in the OP, and the Bank Procedures document, and include:
  1. use of appropriate economic, environmental and social assessments to identify the economic, environmental significance of forests and any activities involved in the Bank-financed investment that may adversely affect the well being of forests and the people who depend on them;
  2. assessment of the potential for activities proposed in CAS to impact significantly on forests, and incorporation of strategies to address these impacts;
  3. use of information required from borrower on policy, legal and institutional framework in sector in project design to address priority poverty, social and environmental issues needed to meet the economic, environmental and social objectives of Bank-financed investment projects.
  4. use in project design of assessments of the adequacy of land use allocations for the management, conservations and sustainable development of forests in forests, including identification of any additional allocations needed to protect critical forest areas.
  5. use of clear standards for certification of forests management to guide any investment support for harvesting operations including time-bound action plans to achieve certification to acceptable standards of forest management; and
  6. use of market assessments for the full range of goods and services from well managed forests to enhance returns from forest management and give preference to small-scale, community level management approaches where they best harness the potential of forests to reduce poverty in a sustainable manner.

Consultation and Disclosure Requirements (see also BP 17.50):
The Bank requires Borrowers to identify and consult the groups interested in forest areas likely to be affected by Bank-financed invest projects in and beyond the forest sector.
The disclosure requirements as set out in the EA Policy (OP 4.01) apply to all projects affecting forests. Aside from the required EA documentation, there is no free-standing document that is automatically required for all projects affecting forests. However, many forest related projects will generate free-standing reports (such as Forest Management Plans) which should be made publicly available as a matter of good practice. Experience has shown that transparent decision-making processes are important for good forest governance and good development outcomes and full disclosure of forest-related information should be encouraged wherever feasible.

Forests OP 4.36 – page 2

Preparation Requirements: / Appraisal Requirements: / Supervision Requirements:
The task team leader and Borrower ensure that:
  • TOR’s are reviewed and agreed for any social, environmental and economic assessments required in BP 4.36 and other relevant Bank OPs/BPs;
  • economic, environmental and social analyses are undertaken to identify the economic, environmental and social significance of forests and any activities involved in proposed Country Assistance Strategies or Bank-financed investments that may adversely affect the well being of forests and the people who depend on them;
  • inventories are undertaken at a spatial scale that is ecologically, socially and culturally appropriate for the forest area in which the project or investment program is located to identify critical forest areas and assess the adequacy of land allocations to protect these areas;
  • the linkages between and any proposed forest sector activities and the poverty reduction, macroeconomic and conservation objectives of Bank’s country assistance program are clear;
  • the potential for developing markets for the full range of forest goods and services and giving preference to small-scale, community-level management approaches that best harness the potential of forests to reduce poverty in a sustainable manner is evaluated; and that
  • local people and communities and the private sector are meaningfully involved in defining activities to be undertaken in the management, conservation and sustainable utilization of natural forests or plantations.
/ The task team reviews project preparation and any environmental or project management or monitoring plans to ensure that:
  • all necessary social, economic and environmental studies are satisfactorily completed;
  • government commitment is secured for any measures that may be required to strengthen the fiscal, legal and institutional framework needed to met the project’s economic, environmental and social objectives;
  • adequate land allocations have been made for the management conservation and sustainable development of forests including any additional allocations needed for the protection of critical forest areas or other critical natural habitats;
  • procedures are in place to ensure that any harvesting operations or plantation development supported by Bank finance are restricted to areas outside critical forest areas or other critical natural habitats:
  • the certification systems or community-based forest management monitoring systems used to assess whether forest harvesting supported by Bank-financed projects meet appropriate standards of forest management and use conform with the standards for these systems defined in Paragraphs 10 and 11 of OP 4.36;
  • projects with time-bound action plans to improve forest management include clearly defined performance benchmarks and
  • timeframes for achieving appropriate forest management standards in accord with OP 4.36 Paragraphs 9-12, and that any time-bound action plan and their associated performance benchmarks are included in the Project Appraisal Document and made available to the public.
  • Project Appraisal Documents include clear performance indicators that will enable the contribution of the project to the poverty reduction, macroeconomic ands conservation objectives of the Bank’s country assistance program to be assessed.
/ The task team ensures that during project implementation:
  • monitoring and evaluation procedures are informed by the meaningful participation of locally affected communities and other groups interested in forest areas affected by Bank financed investment projects;
  • the integrity of the boundaries of any critical forest areas or other critical natural habitats in or near areas affected by Bank-financed investment projects is continuously monitored;
  • the protection of the rights of access and use of forest areas by indigenous people and other local communities is monitored in accord with the requirements of OP 4.12 Involuntary Resettlement and OP 4.10 Indigenous Peoples and that any necessary corrective actions are taken in accord with these policies;
  • project performance is monitored against the indicators for the contribution of the project to the poverty reduction, macroeconomic and conservation objectives of the Bank’s country assistance program defined in the Project Appraisal Document; and that
  • the borrower specifically makes available to the public the results of all forest management assessments carried out under the independent certification systems and related time-bound action plans referred to in Paragraphs 9-12 of OP 4.36.

INVOLUNTARY RESETTLEMENT (OP/BP 4.12)