The document discusses the World Bank's safeguard policies for infrastructure projects. It outlines 10 key safeguard policies that aim to integrate environmental and social considerations into project decision-making, ensure participation and transparency, and promote sustainable development. The policies cover environmental assessment, natural habitats, indigenous peoples, involuntary resettlement, and other social and environmental risks. The document also describes borrower and Bank responsibilities to implement the required social and environmental safeguard measures.

1. World Bank
Safeguard Policies and
Application for Infrastructure
projects
Nagarkot
2013

3. Coverage and Messages
 SS policies are a way to integrate E & S issues into decision
making,
 Support participatory approaches and transparency,
 Implementation of E/SS is essential to achieve Sustainable Devt,
 Safeguards polices has influence on our ability to mobilize public &
private sector funding,
 Countries and societies may differ in their choices about
environmental and social priorities and other aspects of sustainable
development.

4. The Safeguard Policies
OP 4.01 Environmental Assessment
OP 4.04 Natural Habitats
OP 4.09 Pest Management
OP 4.11 Physical Cultural Resources
OP 4.10 Indigenous Peoples
OP 4.12 Involuntary Resettlement
OP 4.36 Forestry
OP 4.37 Safety of Dams
OP 7.50 International Waterways
OP 7.60 Projects in Disputed Areas
BP 17.50 Public Disclosure

5. Focus of Safeguard Policies
Impact & Risk Assessment
Mitigation/Development Consultation
Measures
Disclosure
Enforceable Plans
Accountability
Monitoring/Evaluation of
Implementation

6. Objectives of Safeguard Policies
 Inform decision making of Bank and Borrower,
 Ensure systematic evaluation of E & S risks of all operations,
 Reduce and manage adverse impacts and risks,
 Mitigate and compensate for unavoidable impacts,
 Promote environmental and social benefits.
 Ensure meaningful involvement of APs & other stakeholders.

7. Principles of Safeguard Policies
 Emphasize “Do no harm” and “Do good”,
 Quality enhancement tool,
 Environmental & Social analysis best when integrated
with technical, economic, institutional, and financial
analysis,
 Flexibility to adapt to local context.

8. Focus of Safeguard Policies
Impact Assessment
Mitigation/Development Consultation
Measures
Disclosure
Enforceable Plans
Accountability
Monitoring/Evaluation of
Implementation

9. Applies to All Bank Operations
 Development Policy Lending
 Guarantees
 Investment Loans
 Financial Intermediary Operations
 Community Driven Development
 Social Funds
 Emergency Recovery/Post Conflict
 Global Environment Facility (GEF)
 Carbon Finance

10. 1. Environmental Assessment
 Objectives - To support integration of environmental and
social aspects of projects into the decision making process
 Coverage
 Analyses the potential environmental and social risks and
impacts (level of analysis correspond to their nature and
scale) in project’s area of influence,
 Examines project alternatives - ways of improving project
selection, siting, planning, design, and implementation.
 Develops Environmental Management Plans (EMP) to
prevent, minimize, mitigate, or compensate adverse
impacts and enhance positive impacts.

11. Environmental Screening
 Category A - likely to have significant adverse impacts that are
sensitive, diverse or unprecedented and may affect an area
broader than the sites subject to physical works; Requires full
Environmental Assessment (EA)
 Category B - potential impacts are less adverse than of Category
A projects; impacts are site specific, irreversible; and in most
cases mitigatory measures are readily designed; Requires a more
limited EA
 Category C - likely to have minimal or no adverse impacts No
further EA action is required
 Category FI - investment through a financial intermediary, in
sub-projects that may result in adverse impacts; Requires an
EMF (Management Framework)

12. • Two “Green” Safeguard Policies:
 Objectives
 Natural Habitat Policy: To promote
environmentally sustainable development by
supporting the protection, conservation,
maintenance, and rehabilitation of natural habitats
and their functions
 Forests Policy: To realize the potential of forests to
reduce poverty in a sustainable manner, integrate
forests effectively into sustainable economic
development, and protect the vital local and global
environmental services and values of forests

13. 2. Forest Policy Requirement
 No harvesting in any Critical Forests or related Critical
NH (except community-based harvesting),
 Industrial-scale commercial harvesting only if (a)
independently certified or (b) under time-bound action
plan,
 Harvesting by small-scale landholders or local
communities does not require certification.

14. 3. Natural Habitat Policy Requirement
 The Policy distinguishes between critical (legally
protected or proposed for protection or known for its
conservation value) and other natural habitats
 Must avoid any significant conversion or degradation
of any critical natural habitats,
 Significant conversion or degradation of any NH
allowed only when: there are no feasible alternatives;
and project includes appropriate mitigation measures
 NH issues are addressed as part of EA OP 4.01
process

15. 4. Pest Management
 Objectives
 Minimize the environmental and health hazards
related to pesticide usage;
 Ensure that pest management activities follow an
Integrated Pest Management (IPM) approach; and
 Develop national capacity to implement IPM-based
crop protection and pesticide regulation.

16. Key Requirements
 Borrowers’ pest management activities must reduce
reliance on chemical control and promote IPM
approach
 Environmental and health risks of pesticides must be
assessed and adequate mitigation measures adopted
 Capacity to implement IPM-based crop protection and
regulate pesticides should be strengthened at national
level (where necessary)

17. 5. Physical Cultural Resources
 Objectives
 To assist in preserving physical cultural resources (PCR)
and avoiding their destruction or damage
 Definition
 PCR includes movable or immovable objects, sites,
structures, groups of structures, natural features and
landscapes that have archaeological, paleontological,
historical architectural, religious (including graveyards
and burial sites), aesthetic, or other cultural significance

18. Physical Cultural Resources
Made By People:
 Archaeological site
 Monument
 Architecture
Natural:
 Holy waters
 Sacred tree
Natural and Human-made
 Burial ground
 Historic garden

19. Policy Requirement
 As part of the EA process, a PCR management plan is
required to specify:
 Measures for avoiding or mitigating any adverse
impacts;
 provisions for managing chance finds;
 measures for strengthening institutional capacity; and
 a monitoring system to track the progress of these
activities.

20. 6. Safety of Dams
 Objective
 To assure quality and safety in the design and
construction of new dams and the rehabilitation
of existing dams, and in carrying out activities
that may be affected by an existing dam.

21. Policy Requiremet
The Borrower is required to, before appraisal:
 appoint an independent Panel of Experts (POE), if
required
• provide the Instrumentation Plan to the POE and the Bank
before bid tendering
• provide a plan for construction supervision and quality
assurance
• provide a preliminary Operation and Maintenance (O&M)
plan
• provide the framework of the Emergency Preparedness
Plan and an estimate of the funds needed to prepare the
plan in detail

22. 7. Legal Policies
 Objectives
 Projects in Disputed Areas: To ensure any territorial
dispute affecting a project is identified at the earliest possible
stage so as not to:
 Projects on International Waterways: To ensure
projects will neither affect the efficient utilization and
protection of international waterways, nor adversely affect
relations between the Bank and its borrowers, and between
riparian states

23. 8. Involuntary Resettlement
 Trigger: acquisition of land / property which displaces
people physically and / or economically.
 Involuntary restriction of access to parks and protected
areas which adversely affects livelihoods.
 IR should only take place when options analysis shows
displacement impacts have been factored into design and
minimized
 Instruments requirement before appraisal
 Resettlement Action Plan
 Resettlement Policy Framework
 Process framework
 R&R programs designed and implemented as development
programs

24. 9. Indigenous Peoples
 Definition
 self-identification
 collective attachment to ancestral lands
 customary cultural, economic, social / political
institutions
 indigenous language.
 Triggered when IPs are present in or have collective
attachment to project area
 Bank will finance only where free, prior and
informed consultation results in broad community
support

25. Indigenous Peoples Policy
 Process Steps
 Screening by the Bank
 Social Assessment by borrower
 Free, prior and informed consultation by borrower =
broad community support
 IPP or IP Framework prepared by borrower
 Disclosure by borrower and Bank

26. Consultation
 Mandated by Environmental Assessment,
Involuntary Resettlement, Indigenous Peoples,
PCR, NH and Forests Policies
 A two-way process in which beneficiaries provide
advice and input on the design of proposed
projects that affect their lives and environment
 Promotes dialogue between governments,
communities, NGOs and implementing agencies
to discuss all aspects of the proposed project

27. 10. Disclosure
 Supports decision making by the Borrower and Bank
by allowing the public access to information on
environmental and social aspects of projects
 Mandated by Environmental Assessment, Involuntary
Resettlement, Indigenous Peoples and Forests Policies
 Documents disclosed include instruments listed in EA,
Resettlement and Indigenous Peoples Policies
 Disclosed at World Bank InfoShop and in country at
appropriate locales and in local languages

28. Disclosure
 ISDS disclosed at InfoShop, PCN & Appraisal
stages + subsequent updates as needed.
 All safeguard mitigation plans (Resettlement
instruments, IPDP, EA/EMP) disclosed prior to
appraisal in-country in locally appropriate
language to stakeholders & InfoShop.

29. Disclosure
 Category “A” : EA Summary to Board – as soon as
possible.
 Best practice is a consolidated E&S summary
 Pelosi requirement for USA vote = disclosure 120
disclosure days before board.
 Any project with large scale resettlement requires
disclosure under Pelosi

30. 11. Borrower Responsibilities
 Prepare EIA, RAP, IPP
 Ensure project compliance with national laws and
regulations and any international treaties
 Carry out public consultation / local disclosure process
 Comply with agreed mitigation and management
measures
 Monitor and report progress, trends, changes
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31. Thank You
For more information go to
http://www.adb.org/Safeguards
http://www.worldbank.org/ ........

32. Bank Responsibilities - Safeguard Team
 Review project at PCN stage and determine applicability of
policies, scope of safeguard work, project risk category
 Review TORs for EIA, RAP, IPP
 Review draft EA, RAP, IPP reports
 Review project at PAD stage for readiness for appraisal
 Provide appraisal clearance
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33. Bank Responsibility - Task Team
 Advise Borrower on Bank safeguard requirements
 Assist Borrower with TORs for EA, RAP, IPP
 Carry out field assessments
 Assist with quality assessment of documents
 Disclose documents in InfoShop and Field Offices
 Monitor implementation of EA, RAP, IPP
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