Cross-Border Infrastructure: A Toolkit Environment and Safeguards Case Study: ADB Policies Session on Planning & Policy Rita Nangia Asian Development Bank.
Post on 31-Mar-2015
215 Views
Preview:
Transcript
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Environment and SafeguardsCase Study: ADB Policies
Session on Planning & Policy
Rita NangiaAsian Development Bank
The views expressed here are those of the presenter and do not necessarily reflect the views or
policies of the Asian Development Bank (ADB), or its Board of Directors, or the governments they
represent.
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itSession Description
• The Session covers topics at both macroeconomic
level and at project and policy planning levels.
Environmental challenges
Problems of urbanization and resettlement
Project level Issues
ADB’s guidelines
Good practice: Northern Economic Corridor case
study
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itContents
• Why do infrastructure planners need to worry about
environment?
• Policy and project level Issues
Special challenges of cross-border projects
• ADB’s guidelines
• Good practice: Northern Economic Corridor
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Why Do We Need to Worry
About the Environment?
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itEnvironmental Dynamics in Asia
• Decline in quality and quantity of natural resources
• Degradation of fundamental ecosystems, (e.g., natural
cycling of water and nutrients and biological dynamics)
• Increased climate related environmental hazards such
as floods and droughts
• Water and air pollution
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
• Degradation of natural resources Freshwater resources Marine and coastal
environment Land degradation Deforestation Loss of biodiversity
• Ecosystems Loss of fish catch (e.g.,
average hourly catch fallen from 250 kgs to 18 kgs in Gulf of Thailand)
• Air pollution Urban air pollution (3 - 6
million life years lost) Cross-border (trans-
boundary) air pollution Climate change
• Others Solid waste problems
(more than ten-fold increases)
Hazardous substances and wastes
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itMajor Causes of Environmental Stress
• High income growth
Rapid production increases in agriculture +60%
Industrial production growth +40%
• Rapid globalization in Asia leads to
Leads to global consumption patterns
High urbanization rates
High energy use and low energy efficiency
• Development model biased towards economic growth
• Weak institutions, policy and planning
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itCross-Border Environmental Conditions
• Haze incidence of 1997-98
Losses around $9 billion
9 million hectares of land
70 million people affected
• Atmospheric brown clouds
• Air pollution due to SOx and NOx
Resulting losses due to acid rain
• Even difficult to assign responsibility for relatively simple impacts
such as logging and loss of biodiversity across borders.
• Weak institutions, policy and planning
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itPolicy Level Issues
• Differences in policy environment to deal with environmental and social offences
• Differences in institutional framework and legal remedial measures
• Quality of institutions
• Often remote areas difficulties in monitoring
• Negotiations to who pays the costs and system of compensation for those impacted difficult to arrive at
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itSafeguards: Why?
• Belief that nobody should be worse off due to projects and programs
• Prevent and mitigate harm to people and their environment in the development process
• Improve environmental and social sustainability of projects
Improving overall development outcomes
• Address reputational risk to ADB
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itADB’s Safeguards Policies
Environmental Considerations (Environmental Assessment)
EA
IR IP
Indigenous Peoples
Involuntary Resettlement
Subject to ADB’s accountability mechanism
Applies to all public and private
sector projectsSP
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Environmental Assessment
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itEnvironmental Considerations
• Potential environmental impacts are identified including indirect and cumulative impacts, and their significance assessed
• Alternatives are examined
• Least-cost (mitigation) measures are designed to avoid or minimize negative impacts and achieve environmental standards
• Environmental management plans prepared (with institutional arrangements, monitoring program, time plan and budget)
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itEnvironment Policy
• Promote environmental interventions to reduce poverty
• Mainstream environmental considerations in economic growth
• Maintain global and regional life support systems
• Build partnerships
• Integrate environmental safeguards in ADB operations
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itEnvironmental Assessment
• A process of environmental analysis, planning and
management
To mitigate environmental impacts
• Integrated with assessment of other aspects of project
(technology, economic viability, social analysis, etc.)
To establish project feasibility
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itEnvironmental Assessment
• An ongoing process
• Starts early and continues throughout project cycle
• Required for all public and private sector projects
• Required for all project components whether financed
by ADB, government or co-financiers
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it Guiding Principles
• Avoid, minimize, mitigate and compensate
environmental impacts
• Screen, classify and assess significance of impacts
• Examine alternatives
• Design least-cost mitigation measures
• Achieve environmental standards
• Categorization based on significance of impact of most
sensitive component Location sensitivity
Scale, nature, and…
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it Guiding Principles
• Categorization … (continued)
Magnitude availability of cost-effective mitigation measures
Classify early (after concept clearance)
Ongoing process, category may change
In case of major change in scope during implementation,
classify change
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itProcess
• Prepare environmental management plan Mitigation measures Institutional arrangements Monitoring program Budget
• Disclose information and consult affected people and public
Category A required at least twice Category B projects at least once Borrower’s responsibility to consult
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itProcess
• Disclose information… (continued) Groups affected by the proposed project and local NGOs
Borrower to provide information in form and language(s)
accessible to those being consulted
Disclose SEIA to public through web, 120 days in advance
of Board consideration; Need to make EIA available on
request
Make environmental monitoring reports publicly available
upon submission
• Monitor and report results
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itContents of EMP
Before ADB Board Approval
Draft EMP
• Environmental impacts
• Proposed mitigation measures
• Monitoring programs
• Public consultation activities
• Responsibilities for mitigation
and monitoring
• Initial cost estimate
Detailed Engineering Design
Final EMP
• Final EMP broken down into
contract level-EMPs
• Mechanisms for feedback and
adjustment
• Final responsibilities for
review, monitoring and
reporting
• Final cost estimates
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Involuntary Resettlement
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itInvoluntary Resettlement
• IR addresses social and economic impacts caused by acquisition of land or fixed assets, change in land use, restriction on access to land
• IR is to be avoided, where feasible, and minimized
• If IR unavoidable, compensate affected people at replacement cost of assets and/or through livelihood/ income restoration and social rehabilitation measures
• IR measures to be designed with time-bound actions, adequate budget, institutional arrangement and monitoring program
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Indigenous Peoples
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itIndigenous Peoples
• IPs include groups with social or cultural identities distinct from the dominant or mainstream society
• Interventions should: Achieve reduction of poverty among affected IPs and
extend benefits to them Be designed with their informed participation Be equitable and consistent with their needs and
aspirations Minimize, and mitigate negative impacts, if unavoidable
• IP development plan to be prepared if IPs are affected significantly or adversely
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itCommon Features
• Involves a structured process of screening, assessment, planning and management to address the impacts of projects
• Starts as soon as potential projects for ADB financing are identified and continues throughout the project cycle
• Applies to all projects, including private sector operations and to all project components whether financed by ADB, Government or co-financiers
• Information disclosure and consultation specified in ADB’s public communications policy
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itCommon Features (continued)
• Information on environmental, IR and IP issues is made
available to affected people before or during
consultation with affected people/groups and local
NGOs
• Safeguard reports are made publicly available
• Information disclosure and public consultation apply to
Category A and B projects (three safeguards policies)
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itProject Classification
• All projects are classified (ongoing process)
• Category (A, B, C, FI) based on most sensitive component
• Significance of impacts Environment: Depends on type, sensitivity, scale and
location of the project, the nature and magnitude of potential
environmental impacts
Involuntary Resettlement: Depends on number of people
physically displaced and/or income and productive assets
lost
Indigenous Peoples: Depends on nature of impacts
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itSafeguard Documentation
• Reports requirements depend on significance of impacts (A, B, C) and lending modalities
• Environment - Environmental Impact Assessment (EIA) Initial Environmental Effects (IEE) Environmental Management Plan (EMP)
• Involuntary Resettlement - Resettlement Plan (RP) Summary Resettlement Plan (SRP) and/or Resettlement
Framework (RF)
• Indigenous Peoples - Indigenous Peoples Development Plan (IPDP) Indigenous Peoples Development Framework, or Specific Action
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itCategorization
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Role and Responsibility of ADB
and the Borrower in Safeguards
Preparation and Implementation
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itBorrower and the ADB: Who Does What?
• Responsible for
implementation of
safeguard policies
• Advises borrower on
safeguard requirements
• Assists borrowers in
meeting requirements
• Monitors implementation of
agreed safeguards
• Capacity development
Borrower ADB
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itSome Final Points
• Distinction between procedural and substantive compliance
• Need for continued awareness raising and training
• Building country level capacity
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itLoan Documentation
• Environmental requirements included in loan documentation
• Government clearance of IEE or EIA if not issued before loan negotiations
• EA process to be adopted (special studies and mitigation measures) in case of uncertainties in alignments or location of facilities before loan approval
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Northern Economic Corridor Project
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itBasic Information
• A 228 kilometer road project in Northern Laos connecting
Kunming to Chiang Rai
• 98% of population ethnic minorities
• Poverty widespread
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itComplexities: Safeguard Aspects
• Project was in Lao PDR
• No GMS framework about cross-border projects Thailand’s process
• Weak institutional arrangements in Lao PDR
• Significant local impacts
• Significant cross-border impacts with uneven distribution of costs and benefits
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itImpacts
• Category A project
• Passes along Nam Ha protected area An important habitat to at least 37 mammals and 288 bird
species, including a number of endangered and threatened species such as wild Asian elephants, tigers, and bears.
• Project would require in Lao PDR Land acquisition of 122 hectares of mainly rice land 1.7 hectares of residential land, Affecting 2,550 people in 502 families, 543 dwellings, 61 small retail shops, and 133 rice storage bins, all of which would need to be relocated.
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Table 1: Logging in Louang Namtha and Bokeo Provinces
Louang Namtha Bokeo
Year Planned Quota (in m3)
Actual Utilization (in m3)
Planned Quota (in m3)
Actual Utilization (in m3)
1996–1997 3,000 3,000 2,500 290
1997–1998 3,300 2,172 3,000 3,000
1998–1999 2,300 4,160 1,000 1,613
1999–2000 2,000 2,000 500 500
2000–2001 2,300 2,320 500 500
Source: Ministry of Agriculture and Forests, Lao PDR
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Summary Environmental Matrix(See Appendix 1 of SEIA)
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
it
Summary Resettlement Matrix
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itType of Loss Entitled persons Compensation
Dwellings Registered taxpayer or occupant identified during survey
Full replacement cost so as to enable affected persons to have a dwelling of the same size and standard.
Residential land Registered taxpayer or occupant identified during survey
Replacement land as a priority or sufficient cash at full replacement cost at current market value.
Expenses of residential relocation
Registered taxpayer or occupant identified during survey
Lump sum payment sufficient to cover all relocation costs
Rice storage bins Owner identified during survey
Lump sum payment sufficient to cover all relocation costs
Small retail shops Owner identified during survey
Lump sum payment sufficient to cover all relocation costs
Agricultural land Owner or person with use rights identified during survey
Replacement land of comparable yield
Source: Draft Resettlement Plan.
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itType of Loss Entitled persons Compensation
Crops and trees Owner or person with customary use rights
Full compensation of anticipated harvest at market value
Common property resources
Community losing the resources
(a) Restoration of affected community buildings and structures to at least previous condition;
(b) Replacement in areas identified in consultation with affected communities and relevant authorities
(c) Full compensation for loss of income.
Temporary impact during construction
Owner or person with use rights identified during survey
(a) Extreme care by contractors to avoid damaging property.
(b) Where damage does occur, the contractor will be required to pay compensation immediately to affected families, groups, communities, or government agencies.
(c) Damaged property will be restored immediately to its former condition.
Source: Draft Resettlement Plan.
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itParticipative Process
• Had to get multi-country agreement between four parties (Governments of Lao PDR, Thailand and PRC; and ADB)
• Working groups meetings
• Series of meetings on project design, alignment, environmental costs, and investments for mitigation
• Standards to follow
• PRC agreed to meet Lao PDR standards
• ADB had to ensure that its policies were met by Lao PDR
• Instruments used Loan documents Capacity building Third party monitoring
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itParticipative Process
• Environment Management. The Government will ensure that the approved SEIA will be implemented for the project road irrespective of contractual and financing arrangements.
• The Government will inform the bilateral financing partners of its safeguard obligations on ADB's loans and incorporate these aspects in bilateral loan agreements.
• Environment impacts of the Project will be minimized through the appropriate mitigative measures recommended in the SEIA.
• The Government will ensure that appropriate prohibitions are built into the contract documents for the contractors' work financed under loans from the governments of Thailand and the PRC so that negative environmental and social impacts are mitigated during construction.
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itParticipative Process
• The SEIA will be attached to the bidding documents and
appropriate clauses inserted into the contract documents for
all sections of the project road. In such cases where
contracting is carried out directly by the financiers, loan
documents will clearly specify these requirements.
• Within 6 months of loan effectiveness, Department of Roads
will strengthen the capabilities of the Environment and
Social Division in social analysis, particularly to monitor
social impacts of road projects. Additional staff resources
will be provided in areas of social development issues.
Cro
ss-B
orde
r In
fras
truc
ture
: A T
oolk
itKey Messages
• The environment can be a real challenge and barrier to economic growth and poverty reduction in the region.
• Integrating these concerns at the planning stage can be the best solution;
• Need to address cross-border environmental and social (positive and negative) impacts;
• Policy harmonization is necessary to set acceptable standards of environmental considerations across countries.
top related