World Bank Document...B5.3 Cultural Property B5.4 Protected Areas, Natural Habitats and Forests LAND...

ENVIRONMENTAL AND SOCIAL MANAGEMEN+ FRAMEWORK

FOR WORLD BANK PROJECTS~ 1 WITH MULTIPLE SMALL-SCALE SUBPROJECTS

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ESMF TOOLKIT

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PART A: INTRODUCTION TO THE ESMF TO~LKIT

An description of the purpose, organization and use of the E$MF Toolkit I

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PART B: ESMF TEMPLATE I

A template of an ESMF with detailed, section-by-section guidance pn its prepa

PART C: RESOURCES FOR ESMF PREPARATION I

Information resources that clients and task teams can draw upon in preparing an I

This document is also available through the: ~ World Bank intranet: I

hnp:llafr.worldbank.org/asped~~~%20ES~~%20~oo1k,t.htm World Bank external website: I

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ESMF TOOLKIT: PART A -- INTRODUCTION I

~ ENVIRONMENTAL AND SOCIAL IMANA~EMENT,

FOR WORLD BANK PROJECTS i WITH MULTIPLE SMALL-SCALE SUBP~OJECTS

PART A: INTRODUCTION TO THE E S m I

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ESMF TOOLKIT: PART A -- INTRODUCTION I

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Al. PURPOSE OF THE ESME' TOOLKIT I

A2. BASIC PRINCIPLES / ELEMENTS OF THE ESME' APPROACH

A3. SCOPE OF THE ESMF TOOLKIT I

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A4. ORGANIZATION OF THE ESMF TOOLKIT

A5. USWG THE ESMF TOOLKIT I I

A6. PROCESSING, DISCLOSING AND IMPLEMENTING AN ESMF ~ I I

ESMF TOOLKIT: PART A -. INTRODUCTION I I I I

PART A: INTRODUCTION TO THE ESMF TOOLKIT

Al . PURPOSE OF TJXE E S m TOOLKIT

The Bank's increasing reliance on development project designs that entail subsequent funding for multiple, small-scale subprojects poses a particular challenge for ensuring environmental and social sustainability. This is because the location and design of the eventual subprojects are not known at project appraisal, though the types of potential subprojects may be fairly well- defined. As a result, traditional safeguards instruments (e.g. an environmental assessment or resettlement action plan) cannot be prepared before appraisal, and safeguards measures to support environmental and social sustainability can only be established during project implementation.

In these situations, the appropriate safeguard document at appraisal is an Environmental and Social Management Framework (ESMF). An ESMF establishes a unified process for addressing all environmental and social safeguards issues on subprojects from preparation, through review and approval, to implementation. Effective implementation of an ESMF will ensure that the substantive concerns of all World Bank safeguards policies will be satisfactorily addressed.

This ESMF Toolkit provides Bank clients and task teams with a template for an ESMF document, including detailed guidance on its completion (Part B) and information resources to draw upon in preparing it @art C). Thus, the Toolkit supports the preparation of the safeguards instrument, and not its processing through the Bank's project cycle. It is expected that these iypes of projects are processed as normal EA category B projects.

While the Toolkit provides quite detailed guidance, it does not replace the need for qualijied environmental and social specialists on Bank task teams, or the need to understand and pay close attention to the safeguards

h policies themselves. Specialists wil still be required to, for example, assist clidts and task teams to prepare t p n s of refednce for

1 ESMFs; to ensure a qulality product to integrate responses to Safeguards a 1 d related concerns into project designs and ddcuments, and into implementatiqn manuals; $Id to supervise project implkmentation.

A2. BASIC THE ESMF A~PROACH ~

design and delivery in supports

carried out will vary widely. I

issues.

ESMF TOOLKIT: PART A -- INTRODUCTION

The design of the ESMF is anchored in the use of a subproject checklist to support communities and extension teams in both asking the appropriate planning and design questions, and accessing information on how to avoid or minimize adverse environmental and social impacts. A completed checklist is attached to subproject applications for use by review authorities in determining the adequacy of subproject planning.

Of course, what constitutes communities, local authorities and extension teams will vary from project to project and country to country, depending on the project context and objectives, While the ESMF Toollut relies on this model for project design and implementation, the intent is that its prescriptions are flexible enough to accommodate the needs of different projects and institutional arrangements without compromising the ESMF objective of satisfactorily addressing environmental and social safeguards concerns.on subprojects.

A significant challenge in these project designs, where there may be tens to hundreds of subprojects, is monitoring and evaluation. To respond to this challenge, the ESMF approach prescribes project-funded, locally- implemented, third-party annual reviews for assessing compliance, learning lessons, and improving future performance. These reviews also serve the additional purpose of assessing the potential for cumulative impacts due to project-funded and other ,development activities. The annual reviews will be a principal source of information to Bank supervision missions.

Finally, the ESMF approach recognizes that a Bank project will rely on existing institutional arrangements and organizations for developing, approving and implementing subproject proposals. The intention of the ESMF is to supplement these arrangements with training, information and technical resources to "mainstream" meeting environmental and social safeguards objectives into the routine subproject cycle,

and to build capacity within institutions involved in subproject hnding and implementation. For the same reason, the ESMF template is designed, as much as possible, to be directly transferable into operations/implementation manuals used to guide day-to-day project implementation.

A3. SCOPE OF THE ESMFTOOLKIT

The ESMF Toolkit is designed primarily for Bank projects with multiple small-scale subprojects where adverse environmental and social impacts can usually be satisfactorily addressed through well-known measures and practices using cornrnunity-based methods with some extension support. In the minority of cases where subprojects have environmental or social issues not readily dealt with in this manner, an ESMF provides for additional project-funded technical assistance to carry out more detailed studies such as an Environmental Management Plan (EMP) or Resettlement Action Plan (RAP).

The Toolkit is not primarily designed to address the needs of Bank projects funding larger-scale subprojects that typically need more substantial environmental or social planning due to their scale, complexity, or risk. Here, a "community-based" approach is less suitable. While good, basic, cornmon- sense planning is always appropriate, it typically needs to be supplemented by more detailed technical studies to address safeguards conperns, and by stronger capacities to undertake the studies, review them for their adequacy, and then convert the results into improved subproject plans and implementation arrangements.

Thus, before deciding to use this Toolkit, task teams should con9rm with their regional safeguards coordinator that their planned subprojects will be "small-scale " and thus manageable with the kind of ESMF anticipated in the Toolkit.


A4. ORGANIZATION OF THE ESMF TOOLKIT

Part B of the Toollut provides a template for an ESMF, with guidance text and examples on how to complete each major section. The major sections ( l , 2 , etc.) should always be used in an ESMF. How these major sections I

ESMF Section

I Access to Resources I Resettlement I indibated by I S D ~ 7 1 Indigenous Peoples I OP4.20 Indigenous Peoples I Include section if b~ is

1 2 3

4

5

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Title

10 1 Budget I I

Part C of the Toolkit contains resources for A5. USING THE E Bank clients and task teams to draw upon in preparing an ESMF. Many of these resource Preparing an ESMF bded on this T ol$t is materials can become annexes to an ESMF for normally contracted toa consultant. Odtline

Terms of reference (TOR) for ESMF

Y ease of field use. They include, for example: consultant TOR are giden in Part

checklist for review of (a preparation and implementation activities; given in Part C2.

a Example ESMF subproject checklist and teams are strongly reporting forms; and consultants with Information sheets on typical subproject especially to impacts and mitigation measures, and on telXE3 of community participation methods.' clearly aware of the crileria against

their work will be assehsed. I

Clients and task teams bust ensure that the Drawn fiom Environmental Sourcebook for consultant team has thd expertise re uired to

Small-Scale Community Development Projects, fully appreciate the re4irements of all the CIDA, 2000. I I 4

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Executive Summary Introduction -- Project Description

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9

Relevant Safeguard Policy

-- Environmental and Social Management Requirements

Subproject Preparation, Approval and Implementation Environmentit1 Management

Land Acquisition and

Comment I

Safety of Dams

Capacity Buildmg, Training and Technical Assistance

OP7.50 International Waterways OP7.60 Disputed Areas

OP4.01 EA OP4.09 Pest Management OP4.11 Cultural Property OP4.04 Natural Habitats OP4.36 Forests

, OP4.12 Involuntary

A d p s OPs if ISqS

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I ~ A d p s OPs if ISD,S

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13P is I indikated by ISDS

indicated by

indicated by

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OP4.37 Safety of Dams

I Inclbde section if PP is

Inclbde section if indibated by ISDS


Safeguards Policies to be addressed in the ESMF, and to complete all required sections of the ESMF. Where multiple safeguards policies need to be addressed in an ESMF (e.g. EA, pest management, resettlement), it is highly unlikely that one person can prepare the document alone.

Questions about the interpretation and use of this Toolkit should be directed to the Bank's regional safeguards coordinator.

Finally, this Toolkit is an initial draft intended for piloting with task teams and improvement with experience in its use. Feedback on the design, contents and applicability of the Toolkit is needed and welcome.

A6. PROCESSING, DISCLOSING AND IMPLEMENTING AN ESMF

Like other safeguards instruments, an ESMF is prepared, approved and disclosed prior to appraisal according to Bank policies and normal procedures. At the same time, an ESMF may embody more than one traditional safeguard "instrument" (e.g. an EMP and RPF) that are disclosed separately on normal investment projects. An ESMF is designed as one, integrated document to be most useful in

the field, and it can be disclosed as such in- country (e.g. at the Bank country office information center, and by the Borrower at different locations). However, depending on how an ESMF is written, disclosure through the Bank's InfoShop may require special treatment to ensure that users with different interests can readily access it. Task teams should consult with their Regional Safeguards Coordinator for assistance with InfoShop disclosure.

Finally, an ESMF as conceived of,in this Toolkit is designed to be useful d G g Project implementation. It is intended to provide practical guidance and reference material for the planning, review, approval and implementation of subprojects. As such, it should be referenced from, or included (in whole or part) within, the Project Implementation Manual (PIM). Since there is no standard format for a PIM, Borrowers and task teams will need to determine what is the most effective and practical approach on a case-by-case basis. The principal objective should be arrangements that most effectively get useful information to local authorities, communities, and their service providers in support of environmentally and socially appropriate subproject development.

ESMF TOOLKIT: PART B - ESMF TEMPLATE !

ENVIRONMENTAL AND SOCIAL MANAGEMENT I

FRAMEWORK I I

FOR WORLD BANK PROJECTS WITH MULTIPLE SMALL-SCALE SUBPROJECTS

PART B: ESMF TEMPLATE

ESMF TOOLKIT: PART B - ESMF TEMPLATE

ENVIRONMENTAL AND SOCIAL MANAGEMENT REQUIREMENTS

SUBPROJECT PREPARATION, APPROVAL AND IMPLEMENTATION^ B4.1 Preparation and Application I

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B4.2 Appraisal and Approval I

B4.3 Disclosure of Subproject Information I

B4.4 Annual Reports I

B4.5 Annual Reviews

ENVIRONMENTAL MANAGEMENT B 5.1 Environmental Management B5.2 Pest Management B5.3 Cultural Property B5.4 Protected Areas, Natural Habitats and Forests

LAND ACQUISITION AND ACCESS TO RESOURCES B6.1 Resettlement Policy Framework B6.2 Determining the Need for a Resettlement Action Plan B6.3 Preparing a Resettlement Action Plan B6.4 Access to Resources in Parks or Protected Areas

CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE B9.1 Institutional Capacity Assessment B9.2 Training B9.3 Technical Assistance

B10. ESMF IMPLEMENTATION BUDGET


ANNEXES (The following are likely annexes to an ESMF. Examples are provided in Part C of the Toolkit)

General ESMF Checklist Environmental and Social Field Appraisal Form Annual Report Form Typical Subproject Impacts and Mitigation Measures Community Participation Methods '

Guidelines for: Extension Teams Annual Reviews Environmental Management Plan Pest Management Plan Resettlement Action Plan Indigenous Peoples Development Plan Dam Safety Assessment

ESMF TOOLKIT: PART B - ESMF TEMP~ATE I

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DSR EA EMP ESMF IP IPP NGO OD OP PMP RAP RPF TNA TOT

Dam Safety Report Environmental Assessment Environmental Management Plan Environmental and Social Management Framework Indigenous People Indigenous Peoples Plan Non-Governmental Organization Operational Directive Operational Policy Pest Management Plan Resettlement Action Plan Resettlement Policy Framework Training Needs Assessment Training of Trainers-

ESMF TOOLKIT: PART B - ESMF TEMPLATE I

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ESMF TEMPLATE

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EXECUTIVE SUMMARY Background and purpbse of the Pr I

The executive summary summarizes the key findings of the ESMF. It should be clear and concise, ranging from 3-5 pages, and address the following topics:

Introduction (based on Section B 1) Project description (based on Section B2) Environmental and social management requirements (based on Section B3) Subproject preparation, approval and

- - - implementation (based on Section

B4) Provisions for more thorough subproject planning work (based on Sections B5 through B8) Capacity building, training and technical assistance (based on Section B9) Implementation budget (based on Section B 10)

The introduction clearly outlines the ESMF purpose, objectives and the principles upon which it is based, as illustrated in Example 1 (all examples are at the end of Part B). It gives a brief description of the methodology used in preparing the ESMF. #I more detailed description of the methodology used, including public consultations, should be provided as an annex. The layout of the ESMF is also described to facilitate its use.

This section provides a brief description of the project and summarize its main components. The emphasis is on project component(s) that finance subprojects. The project description includes information on, but not necessarily limited to:

Components of the component(s) that will

Anticipated subproject types (see Example

Subproject exclusions.

natural resources, com important

and social safeguard may have to address desertification, soil

composition, and Where

peoples' territories). I

Project coordination abd implemedtation, I

including institutional Tangements managing the subproject cycle. This be detailed and include Che roles and responsibilities for all phicipants (e.g. communities, local authbrities, exten~ion teams) in preparing, reviewing, approving implementing subprojeflfs.

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:or should

and


B3. ENVIRONMENTAL AND SOCIAL MANAGEMENT REQUIREMENTS

This section describes the Bank safeguards policies applicable to the Project and its

- subprojects, as well as relevant national

- environmental and social management - requirements. In each case, national and local institutions that will be involved in reviewing and approving subprojects are identified, along with their respective roles and responsibilities. Responsibilities may include issuing approvals or permits for undertaking a subproject, using land, undertaking physical works, withdrawing water, or discharging wastes.

The World Bank EA category assigned to the Project, and the key issues identified under the safeguard policies, as determined in the Project's Integrated Safeguard Datasheet (ISDS), are also discussed in this section. For each World Bank safeguard policy triggered by the project, a brief description is provided to explain how their requirements will be complied with (see Examples 4 through 11).

Responses to two Safeguards Policies - Projects in International Waterways (OP 7.50) and Projects in Disputed Areas (OP 7.60) - are addressed at the Project rather than subproject level, and are fully explained here (see Examples 12 and 13). Addressing these policy requirements is not explicitly done during subproject preparation and, approval.

Lastly, this section discusses the ~ l a n s for disclosure of the,ESMF under the World Bank's Disclosure Policy -- in-country and at the Info Shop - prior to appraisal. It also indicates that subproject information will be disclosed in-country as explained in more detail in Section B4.

B4. SUBPROJECT PREPARATION, APPROVAL AND IMPLEMENTATION

Using the major steps outlined below, this section of the ESMF describes the process for ensuring that environmental and social

concerns are adequately addressed through the institutional arrangements and procedures used by the Project for managing the identification, preparation, approval and implementation of subprojects (described in Section B2 above). It is recognized that the institutional arrangements and processes for managing subproject applications will vary from project to project. The few generic steps discussed below (Sections B4.1 through B4.5) are virtually always evident, and should be represented in the ESMF for the Project. It is crucial that the ESMF procedures are clearly linked to the Project-defined subproject cycle so they can be readily included in, or referenced from, the Project Implementation Manual.

B4.1 Preparation and Application

The overall approach that communities, with extension team support, will take to address environmental and social concerns during subproject preparation are described here in detail.

In general, it is expected that the extension teams will work with communities in preparing their subproject applications to avoid or'minimize adverse environmental and social impacts (see environmental guidelines for extension teams in Part C6) . They will use a checklist (see example in Part C3), together with information on typical project impacts and mitigation measures (see Part C 14) and community participation methods (examples in Part C 13), to carry out this work. The ESMF includes annexes similar to, and based upon, Toolkit materials in Part C. The aim of the checklist is to assist communities and extension teams in identifying potential impacts based on field investigations. The information sheets provide advice on how to avoid or minimize them. The checklist contains a certification by the community and extension team that the application includes all measures required to avoid or minimize adverse environmental and social impacts. The ESMF specifies that the subproject application will identify the potential impacts of the subproject, describe the measures built

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ESMF TOOLKIT: PART 3 - ESMF TEMPLATE I

into a subproject to address these impacts, and annex the completed checklist along with any additional planning reports (e.g. EMP; RAP, IPP, PMP).

In some situations, for the most effective use of resources it may be appropriate to prepare any needed additional planning reports (e.g. EM?, RAP) after a subproject application has been approved in principle. In these situations, the ESMF emphasizes that a subproject cannot be finally approved and funded until such reports are received, approved and disclosed.

The ESMF should advise communities and extension teams to try to avoid the need for special planning reports (e.g. EMP, RAP) since they require extra resources to prepare and indicate less than ideal subproject design. However, tdese studies and reports may be worth the extra effort for an otherwise excellent subproject. In these cases, the ESMF should specify consultation with the local review authority to confirm the need, and to secure resources, to cany out the work.

The ESMF provides reference to resource materials on typical subproject concerns, impacts and mitigation measures which communities and extension teams can use in planning their subprojects (see example materials in Part C 14 of the Toolkit). It also emphasizes the importance of community participation in subproject preparation, and provides guidance on participation methods that can be used (see example materials in Part C 13 of the Toolkit).

To satisfy the requirements of the Bank's safeguards policies, the ESMF emphasizes that some subproject situations and mitigation measures will need to be specified more precisely than others, either in the application or as an m e x to it. It is expected that, with Project training, the extension teams will be able to assist communities in adequately addressing these situations when preparing their applications. There may, however, be situations where the advice of the review authority, and perhaps Project-funded

technical assistance, is advisable. ~ h e s e situations include: 1) Land must be acquired for a

resources they are is changed: The Action Plan

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to resources in a park or potebted area: The application must des ribe how affected people hadan influentia role in planning the subproject and ben fiting

ESMF.

I from it, as outlined in Section ~ 8 . 4 of the

B4.2 Appraisal and bpproval 1

This section focuses on local authorities will us

procedures (refer to need to be process of approving to provide a diagram responsibilities of different levels, as provincial, district


The procedures first specify how the review authority determines whether a subproject application, along with the completed ESMF checklist and any appropriate planning reports already prepared, can be cleared,for approval. The first step is a desk appraisal to determine if all the relevant information has been provided, and if it is adequate. From an environmental and social point of view, the review authority needs to determine if he is satisfied that the community and extension team have thoroughly considered all potential adverse effects or the subproject, and included measures in the subproject plan to adequately address them.

If the desk appraisal indicates that the proposed subproject may have environmental or social concerns that are not adequately addressed in the application, or if the

considered further. The ESMF emphasizes : " * * " I

that these criteria should be updated based on field experience in implementing subprojects. An example format for a field appraisal report is provided in Part C4 of the Toolkit.

Table 1: Criteria for Requiring a Field Appraisal #.-?&fed ;, '*' $. "'.&~d,~ a ?%&A '<<.A% 1 3 % ., 93-L vs +a>

, ! , ,;t , 1 , F L ~ I ~ ~ A ~ ~ ) ~ ~ ! , , ? I , , , , , I :! 1. Land must be acquired for a subproiect, an I A field appraisal determines the scale and level of individual or comm~nity's access to l&d or impact. A Resettlement Action Plan (RAP) may available resources is restricted or lost, or any then be required according to procedures detailed in

3. A subproject may affect a protected area or a natural habitat

individual or family is displaced 2. A subproject may restrict the use of resources in a park or protected area by people living inside of outside of it, and affect their livelihoods

4. A subproject may have an impact on ecologically sensitive ecosystems (e.g. wetland or

- - Section ~6 of the ESMF. A field appraisal determines if subproject planning is adequate to ensure that the livelihoods of potentially affected people will not be adversely

marshes)

affected, as provided for in Section B6.4 of the

A field appraisal determines if the subproject will adequately avoid adverse effects on the protected area or natural habitat, as provided for in Section s B5.4 A field of appraisal the ESMF. determines the scale and level of

impact. The application may need to be revised to describe how the subproject will avoid or minimize adverse impacts to ecologically sensitive areas. This may require a distinct Environmental Management Plan (EMF') as outlined in Section

I B5.1 ofthe ESMF. 5. Indigenous people may be adversely affected I A field appraisal determines the potential impacts by a subproject, or could benefit fiom'it

6 . A subproject will involve or introduce the use of pesticides

and benefits to these people. An Indigenous Peoples Plan (IPP) may be required for avoiding negative impacts to these people and for including them in the benefits of the subproject, according to the requirements described in Section B7 of the ESMF A field appraisal determines the scale and level of the concerns. If needed, a Pest Management Plan is prepared according to the requirements of Section B5.2 of the ESMF.

ESMF TOOLKIT: PART B - ESMF TEMPLATE I I

Criteria 7. A subproject may involve, or result in:

Diversion or use of surface waters; Construction andlor rehabilitation of latrines, septic or sewage systems; Production of waste (e.g. slaughterhouse waste, medical waste, etc); New or rebuilt irrigation or drainage systems; or Small dams, weirs, reservoirs, wells, or water points.

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Field Appraisal 1 A field appraisal determines the scale and level of potential impact. The application may revised to avoid or minimize potential

ESMF. 1

effects, and may include an Management Plan as outlined in Section $

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Based on the desk appraisal and, if needed, the field appraisal, the review authority refers the application to an approval authority with recommendations for approval conditions and implementation supervision (e.g. erosion control, waste management, human safety). The ESMF then describes the approval process before implementation can begin.

B4.3 Disclosure of Subproject Information

This section of the ESMF describes the Project arrangements for disclosing subproject information in order to comply with the Bank's Policy on Disclosure of Information. This policy requires that, before a subproject is approved, EMPs, RAPS and P P s be made available for public review at a place accessible to local people (e.g. at a district council office), and in a form, manner, and , language they can understand. They must also be forwarded to the Bank for disclosure at the Public Information Centre of the country ofice, if there is one, and through the Bank's Infoshop.

B4.4 Annual Reports

Local authorities are normally required to report annually on their Project activities during the preceding year. The ESMF specifies information to be included in these annual reports to capture experience with implementation of the ESMF procedures (see example format in Part C5). The purpose of these reports is to provide:

A record of Project and subproject transactions;

A record of expbrience and running from y4ar-to-year the Project that can be identifying diffibulties performance; and Practical infoyation an annual review (see

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B4.5 Annual Revieys ~ This section of the ESYF describes of work and procedures for carrying annual reviews of the ESMF and Project. It reviews will be

improve future ESMF perfo and I

to assess the ocdurrence of, dnd potential for, cdnulative im to Project-funddd and other development activities.

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The third-party annual rkviews will

should be

Guidance on undertakini annual provided in Part C7 of tlie ESMF


B5. ENVIRONMENTAL MANAGEMENT more significant environmental concerns (e.g. waste management), a more substantive EMP

This section of the ESMF describes how may be warranted to highlight its importance. subprojects will respond to the needs for environmental management, including pest , The basic elements of an EMP are: management, the protection of cultural 0 A description of the possible adverse property, and the conservation of protected effects that the EMP is intended to areas, natural habitats and forests. The issues deal with; addressed in this section, and thus what 0 A description of planned mitigation subsections outlined below are included in the measures, and how and when they ESMF, depends on which of the relevant will be implemented; safeguards policies are considered to be A program for monitoring the applicable to the overall Project. Users of an environmental effects of the project -- ESMF are directed to this section (e.g. from both positive and negative; the ESMF Checklist) when particular A description of who will be attention is necessary to manage potential responsible for implementing the adverse environmental effects of subprojects EMP; and

A cost estimate and source of funds. B5.1 Environmental ~anagernent '

The ESMF stresses community participation In this section, the ESMF emphasizes that in preparing an EMP since local knowledge is subproject planning should strive for plans important in identifying, designing and and designs that avoid creating adverse planing the implementation of practical environmental impacts that have to be mitigation measures. It is especially explicitly managed. "Environment" is important where the success of an EMP broadly defined to include the natural depends on community support and action, environment (air, water and land), and human both in implementing mitigation measures and health and safety. It describes how in monitoring their success. communities and extension teams can use the ESMF checklist (example in Part C3) and B5.2 Pes t~anagernen? resource and participation sheets (parts C14 and C13 of the Toolkit) to support good When there may be significant issues of pest environmental planning. management, and pesticide use, to be

addressed in subprojects, this section of an The ESMF specifies that where explicit ESMF: impact mitigation measures are required for a a) describes the national and subproject, an environmental management regulatory framework, and institutional plan (EMP) is required. The ESMF outlines capacity, for pest management, and the contents of an EMP and refers users to an provides information on local pest annex (see example in Part C8) for more management information and technical detailed guidance. assistance; and

b) requires that, where needed, subproject The ESMF emphasizes that an EMP should fit pest management plans (PMPs) be the needs of a subproject and be easy to use. prepared, and provides guidance on how There is no standard format or length. For to prepare them. many small-scale subprojects, it may be no more than a few paragraphs or perhaps just a Addresses the requirements of OP 4.09 Pest

(see 14). On with Management. Much more detailed guidance, and access to pest management and IPM resources

' Addresses the requirements of OP 4.01 worldwide is available through the World Bank's Environmental Assessment. Pest Management Guidebook.

ESMF TOOLKIT: PA .RT B - ESMF TEMPLATE 1

The ESMF highlights that pest management issues can be raised on a variety of subprojects such as:

New land-use development or changed cultivation practices in an area; Expansion of agricultural activities into new areas; Diversification into new agricultural crops, particularly if these tend to receive high usage of pesticide - e.g. cotton, vegetables and rice; Intensification of existing low- technology agriculture systems; Development of veterinary facilities, cattle dips, etc.; Control of water-borne diseases (e.g. malaria, shistosomiasis); and Weed control on transport, communications and power supply projects.

It also emphasizes that pests are defined in the broad sense. In addition to agricultural insect pests and plant diseases, pests also include weeds, birds, rodents, and human or livestock disease vectors. Similarly, the FA0 defines pesticides as any substance or mixture of substances:

intended for preventing, destroying or controlling any pest, including a) vectors of human and animal disease, b) unwanted species of plants or animals causing harm during, or otherwise interfering with, production, processing, storage, transport or marketing of food, agricultural commodities, wood and wood products or animal feedstuffs; that may be administered to animals for the control of insects, arachnids or other pests in or on their body; intended for use as a plant-growth regulator, defoliant, desiccant, or agent for thinning fruit or preventing the premature fall of fruit; and substances applied to crops either before or after harvest to protect the commodity from deterioration during storage and transport.

Policy, Regulaton, Framework and Institutional Capacity The ESMF provides the following

a. Policies on1 plant protection and What are the government

based TPM

residues being donitored on xpbrt crops and crops or the dom stic~ market? Are meFcal staff at ural clinics trained to recognize a i d heat pesticide poisoning, and are /zntildotes

labeled?


d. Available sources of information and technical assistance for pest management, IPM, pesticide control, etc. (e.g. the System- Wide Program of the CGIAR, agriculture and environment ministries, universities)

Subproiect PMPs The ESMF requires the preparation of a Pest Management Plan if a subproject is likely to raise pest management issues as outlined above. Guidelines for preparing a PMP should be annexed to the ESMF (see Part C9 of the Toolkit).

The ESMF emphasizes the development of PMPs that reduce reliance on synthetic chemical pesticides, and promote the use of biological or environmental pest control methods, such as integrated pest management (IPM) based on prevention, surveillance and monitoring, and ultimately intervention. Interventions (or decisions to use active pest management) should favor the use of multiple tactics (e.g. crop rotation, cultural practices, host plant resistance, biological control methods, chemical control) in a compatible manner.

B5.3 Cultural property1

If there is a possibility that subproject construction or other activities may result in damage to cultural property, the ESMF specifies procedures for avoiding such damage. The term "cultural property" includes sites having archaeological (prehistoric), paleontological, historical, religious, and unique natural values. It thus includes both remains left by previous human inhabitants (e.g. middens, shrines and battlegrounds) and unique natural environmental features such as canyons and waterfalls.

Procedures to avoid damage to cultural property should include:

- - - -

I Addresses the requirements of OP 4.1 1 Cultural Property.

Consultations with the appropriate authorities and local inhabitants to identify known or possible sites during subproject planning; Siting of subprojects to avoid identified sites; and Construction contract procedures for dealing with "chance finds". These procedures should include cessation of work until the significance of a "find" has been determined by the appropriate authorities and local inhabitants, and until fitting treatment of the site has been determined and carried out.

B5.4 Protected Areas, Natural Habitats and Forests2

The ESIvlF specifies that natural habitats need to be conserved when planning and implementing subprojects. These are land and water areas whose ecological functions have not been essentially modified by human activities. They include natural forests. Subprojects cannot be funded if they involve the significant conversion or degradation of natural habitats unless there are no feasible alternatives (including the subproject site) and the overall benefits from the subproject substantially outweigh the environmental costs. If a subproject would significantly convert or degrade a natural habitat, the ESMF specifies that the subproject needs to incorporate acceptable mitigation measures such as minimizing habitat loss and establishing and maintaining an ecologically similar area.

SigniJicant conversion means eliminating or severely reducing the integrity of a natural habitat through long-term change in land or water use. It may include, for example, land clearing; replacement of natural vegetation; permanent flooding; and drainage,-dredging, filling, or channelization of wetlands. It can occur as the result of severe pollution. And, it can result directly from subproject activities

Addresses the requirements of OP 4.04 Natural Habitats and OP 4.36 Forests.


or indirectly (e.g. through induced settlement along a road). Degradation means substantially reducing the ability of a natural habitat to maintain viable populations of its native species.

Moreover, the ESMF specifies that subprojects involving the significant conversion or degradation of critical natural habitats (including forests) cannot be funded. These are natural habitats that:

are protected by government (e.g. parks, World Heritage Sites) or by tradition (e.g. sacred groves); or have known high suitability for biodiversity conservation; or are critical for rare, vulnerable, migratory, or endangered species.

Subprojects designed to support community- based forest management and development need to take into account:

the extent to which the livelihoods of local communities depend on and use trees in the subproject and adjacent area; the participation of indigenous people and poor people in the management of the trees and forests included in the subproject area; and forest product and forest service issues relevant to indigenous people and poor people living in or near forests in the subproject area, as well as opportunities for promoting the involvement of women.

Subprojects involving forest restoration or plantation development need to address the following issues:

the potential of forest restoration to improve biodiversity and ecosystem functions;

the potential to establish plantations on non-forest lands that do not contain critical natural habitats; the need to avoid conversion or degradation of natural habitats; and

the capacities of the government, nongovernmental organizations, and

other private entities to coo , the forest restoration and

development.

B6. LAND ACQUISITION AND A RESOURCES' ~

I

The ESMF specifies that the World policy on involuntary applies to all land acquisition and in access to resources due to a subprbject. The policy applies whether or not affected persons must move to another Bank describes all these processes outcomes as ccinvoluntaky simply resettlement, even forced to move. if affected

to production;

(Section B6.2) below. guidance on the (Section B6.3

' Addresses the reguirernipts of OP 4.1 Involuntary Resettlement. I


B6.1 Resettlement Policy Framework

This section of the ESMF describes a framework of common principles, objectives, institutional arrangements and procedures that will govern resettlement activities on all subprojects. It allows project implementers, who may be in many locations, agencies, or communities, to undertake specific subprojects involving resettlement without having to re-negotiate fundamental agreements.

The RPF highlights the Bank's overall objectives when dealing with involuntary resettlement: a) Involuntary resettlement should be

avoided where feasible, or minimized, exploring all viable alternative project designs.

b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons affected by the project to share in project benefits. Affected persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.

c) Affected persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre- displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.

The RPF emphasizes some features of the Bank's resettlement policy that may differ from national policies a Project will also be subject to. The Bank requires that: a) Assets be valued at "replacement cost" to

ensure amounts sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account. For losses that cannot easily be valued or compensated for in monetary terms (e-g.,

access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts need to be made to establish access to equivalent and culturally acceptable resources and earning opportunities. Where domestic law does not meet this standard of compensation at, compensation under domestic law is supplemented by additional measures necessary to meet the replacement cost standard.

b) Affected persons are eligible for resettlement benefits if: 0 they have formal legal rights to land

(including customary and traditional rights recognized under the laws of the country); they do not havetformal legal rights to land, but have a claim to such land or assets provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan; or they have no recognizable legal right or claim to the land they are occupying.

The more that is agreed in this RPF, the less that needs to be discussed and settled in each subproject case. Thus, where there will be dozens or hundreds of subprojects, it is much more efficient for the Project to take the time to get the RPF as complete as possible. For example, the cost of compensation for fruit trees can be calculated a number of different ways. Establishing the calculation method in the RPF, or the actual compensation for different kinds of trees at different stages of their maturity, is much better than having each subproject make new decisions.

This section of the ESMF should be prepared following the guidance provided in Part C1O.l. It should contain at least the following information:

Principles and objectives for resettlement under the project; Legal frameworks;


Estimated population displacement and categories of affected people; Eligibility criteria for various categories of affected people; Methods of valuing affected assets; Organization, procedures and responsibilities; Methods for consultation with, and participation of, affected people; Schedule for implementing resettlement provisions ; Grievance redress mechanisms; Budget and funding arrangements; and Supervision and monitoring arrangements.

B6.2 Determining the Need for a Resettlement Action Plan (RAP)

In this section, the ESMF provides criteria for determining the need for a RAP if any of the questions in Part C of the ESMF Checklist (Part C3 of the Toolkit) are answered "Yes". The criteria are:

1) A RAP is not required if land needs to be acquired and will be donated voluntarily or purchased on a "willing buyer, willing seller" basis. The conditions of the land acquisition must be documented in the subproject application.

A RAP is required if land needs to be acquired, but not under the conditions described in #1 above, such that people are displaced from land or productive resources and the displacement results in: a) relocation, the loss of shelter, the loss

of assets or access to assets important to .production;

b) the loss of income sources or means of livelihood; or c) the loss of access to locations that

provide higher incomes or lower expenditures to businesses or persons.

B6.3 Preparing a Resettlement Action Plan (RAP)

A RAP is a detailed action plan for given set of people -- for example, will lose land to the construction those whose houses will be laying of a water or sewage will be excluded from land

business. enter to graze their

The ESMF should empliasize that th of a RAP depends on tht amount and level of detail in the RPF, and 01) the degree f resettlement impact. ~ d e ESMF spe ifies that, where impacts are hinor (no ph sical displacement and less tlian 10% of p oductive assets are lost) or fewer that 200 pea le are displaced, a subproject RAP will cov r, at minimum:

required resettleknent;

I the nature of the subproject 1 nd the

a census of the affected valuation of their assets;

the

and I

general matters.

The ESMF annexes a d~ guide (see Part C 10.2 for detai!ed guidance that provides a step-by-step procedure, in b luding consultation methods, typical questiohs to ask, checklists and forms, for completing subproject RAP. The gqide includes he minimum information needed to com lement what has already been decided at the roject

Framework.

i level through the Resettlpment Policy


Insofar as possible, the ESMF shows any further information that may be needed during Project implementation, or where the general issues need to be supplemented due to differing local laws, special situations or effects on people, or the additional contributions of specialists to the individual RAP preparation.

B6.4 Access to Resources in Parks or Protected re as'

If subprojects might restrict the use of resources in a park or protected area by people living inside of outside of it, and their livelihoods may thus be affected, the ESMF describes how their interests will be protected. The ESMF describes the process by which subproject planning will include potentially affected people or communities in designing subproject components, in determining measures needed to ensure their livelihoods are not adversely affected, and in implementing and monitoring relevant subproject activities.

Specifically, the ESMF describes how communities and their service providers will use participatory processes to: 1 . Prepare and implement subproject

components; 2. Determine the criteria for eligibility of

affected persons; 3. Identify measures to assist affected

persons in their efforts to improve their livelihoods or restore them, in real terms, to pre-displacement levels, while maintaining the sustainability of the park or protected area;

4. Resolve potential conflicts or grievances within or between affected people and communities; and

5. Monitor subproject impacts (beneficial and adverse) on persons within a subproject impact area, and the effectiveness of measures taken to improve (or at minimum restore) incomes and living standards.

' This section corresponds to a Process Framework as described in OP 4.12.

The ESMF also describes arrangements for meeting relevant administrative and legal procedures.

Finally, for these situations, the ESMF describes the information that needs to be provided, in a subproject application or otherwise, before a subproject can be finally approved and implemented. This information will include a description of:

the participatory processes used to address issues of access to resources in parks or protected areas; the subproject components or activities that may involve new or more stringent restrictions on natural resource use; how adversely affected people were identified, and who they are; the.methods and procedures used to identify and choose mitigation or compensation measures, and what those measures are; how any conflicts or grievances were resolved; how impacts on access will be monitored; and how the implementation of subproject measures to improve (or at minimum restore) incomes and living standards will be monitored.

The ESMF specifies that subprojects that may benefit or adversely affect indigenous people must include components or provisions to ensure they do not suffer adverse effects, and they receive culturally compatible social and economic benefits. These measures need to be defined within an identifiable Indigenous People Plan (IPP). The IPP should be part of, or included with, the subproject application. In any case, an acceptable IPP is required

This section corresponds to an Indigenous Peoples Planning Framework as described in the drafl new OP 4.10 Indigenous Peoples.


before a subproject can be finally approved B9. CAPACITY BUILDING, TRA ING and implemented. AND TECHNICAL ASSISTAN E P Guidelines for preparing an IPP are annexed to the ESMF (see Part C11).

For subprojects that involve building a new dam, the ESMF specifies that:

the construction of large dams (1 5 meters or more in height) will not be financed; and small dams (less than 15 meters in height) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. Small dams include weirs, farm ponds, local silt retention dams, and low embankment tanks.

The ESMF also specifies that, where a subproject depends on the performance of an existing dam or one under construction (e.g. for water supply or power), the safety of the dam must be assured. This is to ensure that it does not fail and cause damage to, or failure of, the subproject investment. When such a subproject is being prepared, the ESMF requires that the Project arrange for an independent dam specialist to: a) inspect and evaluate the safety status of

the dam, its appurtenances, and its performance history;

b) review and evaluate operation and maintenance procedures; and

c) provide a written Dam Safety Report (DSR) of findings and recommendations for any remedial work or safety-related measures necessary to upgrade the existing dam to an acceptable standard of safety.

Guidelines for preparing a DSR are annexed to the ESMF (see Part C12).

' Addresses the requirements of OP 4.37 Safety of Dams.

The environmental and social sustainability of

authorities to cany out the planning, approval and Thus, to ensure that Project allocates training,

funded locally or by o tb r donors. undertake other develoiment initiati es I This section of the ESMF capacity building, assistance effective implementatioh of the ES$.

capacity to implement in this section. It country


analyses and designing mitigation measures for small-scale infrastructure.

The assessment results in a costed institutional development plan (e.g. revisions to policies, regulations, administrative procedures) designed to facilitate implementation of the ESMF.

B9.2 Training

The section describes the training needs and plan for the various participants involved in implementing the ESMF based, in part, on the institutional assessment described above.

The objective of the training under the ESMF is to:

support representatives and leaders of community groups and associations to prioritise their needs, and to identify, prepare, implement and manage the environmental and social aspects of their subprojects; ensure that local government officials have the capacity to assist communities in preparing their subproject proposals, and to appraise, approve and supervise the implementation of subprojects; and strengthen local NGOs and other service providers to act as extension teams to provide technical support (including basic E m s , RAPs, IPDP, and PMPs) to communities in preparing their subprojects.

The ESMF specifies that, as part of Project preparation, a training needs assessment (TNA) be carried out (see outline TOR for ESMF preparation in Part Cl). The TNA will consider all participants who will have responsibilities for implementing the ESMF. It will distinguish among their different training needs in terms of raised awareness, sensitisation to the issues, and detailed technical training:

Awareness-raising for participants who need to appreciate the

significance or relevance of environmental and social issues. Sensitisation to the issues for participants who need to be familiar enough with the issues that they can make informed and specific requests for technical assistance; and Detailed technical training for , participants who will need to analyze potentially adverse environmental and social impacts, to prescribe mitigation approaches and measures, and to prepare and supervise the implementation of management plans. This training will address such matters as community participation methods; environmental analysis; using the ESMF checklist; preparing EMPs, RAPs, PMPs, IPDPs. etc.; ESMF reporting; and subproject supervision and monitoring.

Example 15 illustrates the different training needs generally associated with Projects that fund multiple small-scale subprojects.

Based on the TNA, the ESMF provides a costed training plan that is integrated into otherwise planned Project-funded training. It distinguishes among the various participants (e.g. government off~cials, community leaders, extension teams), and between their needs for general awareness building and more specific training. It addresses initial training needs as well as follow-on analyses of training effectiveness and the needs for further or "refresher" training. It should include mechanisms for periodically bringing trainees together to examine the need for and design of additional training. Example 16 provides an outline of the schedule for such a training plan.

The ESMF provides a detailed agenda and specification of resource needs (venue, trainers, materials, etc.) for each type of training activity. It also accounts for the extent of the Project by planning to implement the training schedule in each local government area, or perhaps groups of areas.

I I

I

ESMF TOOLKIT: PART B - ESMF TEMPLATE ~

Wherever there is a wide-spread need for a particular form of training, especially at the community level, the ESMF should consider including a training-of-trainers (TOT) component in the training plan. In the TOT approach, identified groups who have a special role or access to communities are given a combination of technical and pedagogical training, and are provided with manuals and other training aids, so that they can organize their own courses at local levels. Such trainers may be selected community facilitators, NGOs, private consultants, regional bureau specialists or extension (community development) officers. In most cases, TOT will be most'effective where the trainees are already familiar with the technical content of the training.

B9.3 Technical Assistance

In addition to the Project-funded training described above, it is expected that, in most cases, government officials, communities and extension teams will require technical assistance (TA). The ESMF specifies the objectives, tasks and budget of this TA, probably in two components: 1) General TA to ensure that local

government authorities and extension teams receive, on a reliable basis, experienced advice and mentoring to assist them in carrying out their responsibilities. This component of the TA will also assess training effectiveness and recommend further training needs, based on information gleaned fiom regular interaction with Project participants.

2) Specific TA to support local authorities, extension teams and communities in preparing and approving more ,

challenging subprojects where specific technical knowledge is needed (e.g. the design of a weir, a water supply system, or a livestock vaccination facility) or where thorough EMPs, PMPs, RAPS, etc. may be required.

The ESMF specifies the contractin arrangements for the technical as most cases, this should be for the Project. The General TA should on a regular, programmed month by professionals with sttong trai experience in environmental an analysis and managemeht, as well community-based development TA should be contracted on a " basis. so it can be mobilized qu needed, by professionals with technical skills and experience.

I

The service providers for bo and Specific TA should be r detailed records of theirl made available for compil (Section 34.4 above) arid annual reviews (Sectio$ B4.5 above

The ESMF provides a bhdget for activities within the overall Section B 10 below).

B lo. EsMF IMPLEMENTATION El uDGET

This section of the ESMF consolidaths and

Institutional The training

Technical a ~ s i s t ' ~ c e to local

budgets.) I

* Annual reviews I


Example I : Introduction to an ESMF

The Government of [host countryl has requested World Bank financing of the Community Development Project. This project corresponds with the central features of the Government S strategy for poverty reduction, rural development and good governance as specified in its Poverty Reduction Strategy Paper. The project is designed to fund a number of small-scale, community-based subprojects that will be identified andplanned by the communities, with the support ofproject- financed extension teams, and then approved for funding by local government authorities.

The objectives of this ESMF are: To establish clear procedures and methodologies for the environmental and

social planning, review, approval and implementation of subprojects to be financed under the Project; To speczjj appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to subprojects; To determine the training, capacity building and technical assistance needed to - successfully implement the provisions of the ESMF; To establish the projectfunding required to implement the ESMF requirements; To provide practical resources for implementing the ESMF.

Example 2: Types of Subprojects That May Be Financed by the Project

Water Supply

ducati ion

Water point rehabilitation Construction of small dams or Tertiary distribution piping weirs Hand dug wells Water harvesting facility Springprotection Water treatment plant Earth dam rehabilitation Handpumps and mechanized Community reservoirs boreholes

Gravity water schemes

Construction of classrooms School supplies and medical kits Teacher housing Laboratories Provision of classroom Sports fields/recreation facilities furnishings Fencing

Sanitation and Waste Management

Washing facilities Soak pits and septic tanks Public toilets/pit latrines Cornposting sites Sewerage facilities and Waste disposal facility collection Sewage treatment lagoons

Construction of health centers Maternity clinics Dispensaries HIV/AIDS control centers Emergency rooms Laboratories

Transportation, Communication and Energy

Tertiary and secondary Ievel roads Tertiary and secondary level culverts and bridges Primary level culverts and bridges

Footpaths Rural telephone Rural electrical distribution Photovoltaic cells Biogas Windmills

ESMF TOOLKIT: PART B - ESMF TEMPLATE I

Agriculture and Markets

Natural Resource Management

Community dips Vaccination yards Fish landing sites Terracing Community granaries Agro-processing faciliti s Cattle watering facilities Post harvest handling f cilities Livestock markets

I Construction of market blaces

Slaughterhouses and yard Tick dips

Community tree nurseries Stream and river bank Afforestation protection Anti-erosion interventions and Wetland development soil fertility restoration Rangeland improvements Energy saving stoves ECO-tourikm and huntink areas Demonstration/nutrition gardens

Example 3: Subproject Activities Ineligible for Secondary roads Funding Subprojects involving the use

agrochemicals, including tick dips The following types of subprojects cannot be Animal vaccination yards and financed under World Bank Group regulations: slaughterhouses

Subprojects that involve the signijicant Dams and weirs

ofpesticides or

conversion or degradation of critical natural Subprojects in locations that are habitats; sensitive such as forests, Religious infrastructure; unique habitats Headquarters for cooperatives, groups, or executing organizations; Acquisition of equipment for government Example 4: Explanation services. (Environmental Administrative buildings (except accommodations for health workers, and The Project intends to finance

small-scale infrastructure primary school teachers); Activities already covered by other sources of impacts. me ESMF financing or are already included in other identlfi these national, regional public development programs and where financing has been secured; Purchase of mechanical equipment (e.g. trucks, tractors, etc.); Growing or purchase of tobacco or drugs; further. and Investment in bars or establishments serving alcohol.

(Natural Habitats) Also, during the first year of the Project and until experience demonstrates that the local capacity exists to adequately manage their environmental and social impacts, the types of subprojects listed below will not be financed by the Project. This list will be reviewed annually to determine if subproject types should be removedfiom, or added to, the list.

27AugO4 17

I


(e.g. construction of access roads). To address this concern, the ESMF provides communities and extension teams with the appropriate checklist tools, resource sheets and planning methods to identzfv any potential impacts of subprojects on natural habitats, reserves or protected areas, and to develop appropriate mitigation measures to minimize or avoid damage, or compensate for it.

Example 6: Explanation for Triggering OPN 11.03 (Cultural Property)

[Name of country] is an extremely rich and diverse country culturally and is home to ancient civilizations [provide examples]. To mitigate against the potential for adverse impacts on cultural property, training of communities and extension teams, and the subproject planning checklist and other tools, will ensure that cultural property resources are identiJied during subprojectplanning, and appropriate measures are taken to avoid damaging them. Chance find procedures will be incorporated into civil works contracts, and buffer zones will be created to avoid damage to cultural resources such as "sacred" forests and graveyards.

Example 7: Explanation for Triggering OP 4.09 (Pest Management)

A number of types of subprojects proposed under the Project (e.g. small-scale irrigation, tick dips, and livestock markets) may result in the introduction or expansion ofpest management activities in certain areas or villages. However, it is not anticipated that the Project in general will result in the promotion of widespreadpesticide use. The ESMF implementation tools and procedures are designed to identzfv the potential for the introduction or expansion ofpest management activities in subprojects and, as needed, requires the preparation of a pest management plan. Subprojects involving the procurement ofpesticides or pesticide application equipment, or increasedpesticide use, will not be finded until experience demonstrates that the local capacity exists to adequately manage their environmental and social impacts.

Example 8: Explanation for Triggering OP 4.36 (Forests)

The Project intends to support the management of natural resources through, for example, developing simple management plans for community forests, and the management of buffer zones aroundprotected areas, including forested zones. Appropriate criteria have been added to the ESMF checklist to address; potential impacts on forestry resources, and Project training will include providing awareness into community forest protection, illegal logging, andpoaching.

Example 9: Explanation for Triggering OP 4.12 (Involuntary Resettlement)

The Project will support community investments in various types of subprojects that may require land for the construction of small-scale infrastructure. To ensure that current landowners or users are properly compensated, a Resettlement Policy Framework (RPF) are included in Section B6 and ~cquisition and Access to Resources) of this ESMF. The RPFprovides the framework for determining the need for and content of a Resettlement Action Plan (RAP) for subprojects.

Ewampb 10: Explanation for Triggering OP 4.20 (Indigenous Peoples)

[Name] groups live in the southern province of [Country], and may be affected by subprojects in that region. The ESMF contains a framework for ensuring that, where appropriate, subproject applications include an Indigenous Peoples Development Plan.

Example 11: Explanation for Triggering OP 4.3 7 (Safety of D a m )

The Project will not fund any large dams, but may fund small water diversion weirs and irrigation or water supply Jystems that will depend on existing or new dams or weirs. The design, construction and operation of new small dams/weirs will use sound engineering as required by the policy. Where water supply or irrigation subprojects depend on existing


Example 12: Explanation for Triggering OP 7.50 (Projects in International Waterways)

The Project may fund community water supply or small-scale irrigation subprojects with water sourcedfrom international rivers. In some cases, water withdrawals may be signiJicant enough to compromise the water rights of downstream users in other countries. Prior to appraisal by the Bank, the Borrower will notzfy these other countries about the Project and the anticipated scale of withdrawals, and request their permission to proceed with the Project.

Example 13: Explanation for

The Project may fund area with [name countryl where the of the international border is in dispute.

exclusion list, unless and until there is confirmation from the World Bank's Vic President and General Counsel subject area is no longer dispute.


Example 14: Sample Environmental Management Plan

Possible contamination of water sources from livestock manure

Fencing of water courses and sources

Proper collection and use of manure from communal sheds Early warning of reduced water quality

Inspect fence construction

Check condition of fencing at water aoints

I

Check water qualify at water sources

FCAC - report to I Construction period I Included in project grant

Responsibiliiy -

Monitoring Committee

Sc/t edule Cost and Source of - Funds

Farmers and other I " community members

Farmers and other communify members

Ongoing

FCAC - Report to Monitoring Committee

Nil

Every 6 months until eflectiveness of mitigation measures is proven

$100 a year -- FCAC


Example 15: Training Requirements for Various Groups of Partic&ants

Example 16: Outline of a Training Schedule for a 5-year Project

1 Parfici~ants I Duration and Format 1 Freauencv \

Local government approval authorities Local government review authorities

I I I ~ n n u a l keviews (with local 1

I- day workshop I Year I df the Project 1 %-dm refresher worksho~ 1 After Year I as needed

Extension Teams

I . d

#-day workshop I-day ESMF review worbhop

I

Yearl of the Project 1 Annually after Year I bnd

2-day refresher workshop 5-day worbhop I-day ESMF review worbhop

Community Leaders/Workers

Annual Reviews Annual& after Year I Year lofthe Project Annually after Year I

2-day refresher workshop I-day worbhop per community

and

government participants) Annually afier Year I As needed throughout project

t

I

the


Example 17: ESMF Implementation Budget for a Five-Year Project ('000s)

Activity

Institutional Development Policy workshops Regulato y and adminiso-ative changes

Year Total Notes P 2 3 4 5

Training LG Approval Authorities: Awareness raising 30 30 LG Review Authorities:

Training 200 ESMF Review Workshops 40 Refresher Workshops 80

Extension Teams: Training and Sensitization 250 ESMF Review Workshops 20 ' Refresher Workshops 80

Community LeadersiWorkers: Awareness Raising and 20 20 Sensitization

Technical Assktance General TA Specific TA

Eight workshops in Years 1-4

Eight 4-day workshops in Year 1 Eight 1-day workshops in Years 2-5 Eight 2-day workshops in Years 2-4 .

Eight 5-day workshops in Year 1 Eight 1-day workshops in Years 2-5 (with LGs) Eight 2-day workshops in Years 2-4 Ten 1-day workshops in Years 1-4

10 days/mo @, $200/day including expenses 50 dayshr @, $200/day Including expenses

Allowances for Subproject EMPs, RAB, etc. Environmental Management Plans 12 12 12 12 12 60 60 days/ ' @ $200/day including expenses Pest Management Plans 4 4 4 4 4 20 20 days/ ' @, $OO/day including expenses Resettlement Action Plans 12 12 12 12 12 60 60 daysor @ $200/day including expenses Indigenous Peoples Development Plans 2 2 2 2 2 10 10 days/ ' @ $200/day including expenses Dam Safety Studies 4 4 4 4 4 20 20 days/yr @, $200/day including expenses

Annual Reviews 8 8 8 8 8 40 40 daysbr @ $200/day including expenses

TOTAL 626 346 346 346 136 1800

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION I

I

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

FOR WORLD BANK PROJECTS WITH MULTIPLE SMALL-SCALE SUBPROJECT I 4

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION

C1. OUTLINE TERMS OF REFERENCE TO PREPARE AN ESMF

C2. CHECKLIST FOR REVIEW OF AN ESMF

C3. EXAMPLE GENERAL ESMF CHECKLIST

C4. EXAMPLE ENVIRONMENTAL AND SOCIAL FIELD APPRAISAL FORM

C5. EXAMPLE ANNUAL REPORT FORM

C6. ENVIRONMENTAL GUIDELINES FOR EXTENSION TEAMS

C7. GUIDELINES FOR ANNUAL REVIEWS

C8. GUIDELINES FOR AN ENVIRONMENTAL MANAGEMENT PLAN

C9. GUIDELINES FOR A PEST MANAGEMENT PLAN

C10. GUIDELINES FOR LAND ACQUISITION AND ACCESS TO RESOURCES C1O.l RESETTLEMENT POLICY FRAMEWORK C10.2 RESETTLEMENT ACTION PLAN

C11. GUIDELINES FOR AN INDIGENOUS PEOPLES PLAN

C12. GUIDELINES FOR A DAM SAFETY ASSESSMENT

INFORMATION SHEETS

C 13. PARTICIPATION SHEETS: METHODS OF COMMZTNITY INVOLVEMENT

C14. RESOURCES SHEETS: COMMON SUBPROJECT TYPES, POTENTIAL IMPACTS, AND MITIGATION MEASURES

I

E$MF TOOLKIT: PART C - RESOURCES FOR E$MF PREPARATION 1

PREPARE AN ESMF

The TOR should also include a brief history of the Project, including alternatives considered, its current status and timetable, and the identities of any associated projects. Also include a description of other project preparation activities underway (e.g., legal analysis, institutional analysis, economic analysis, social assessment, baseline study) since the consultant pre aring the ESMF will need to coordinate with other teams to ensure an effective and efficient info mation exchange. !

Terms of reference for preparation of an ESMF should have at least the following major

1. Introduction

This section should state the purpose of the TOR, identify the development Project the apply to, and explain the executing arrangements for preparing the ESMF. It should stti:e purpose of the work is to prepare an ESMF that prescribes Project arrangements for the preparation, review, approval and implementation of subprojects in order to adequately

, Bank safeguards issues. It should reference guidance provided in the Environmental and Management Framework for World Bank Projects with Multiple Small-Scale Subprojects: Toolkit (the ESMF Toolkit).

2. Background Information

3. Principles and Objectives

The TOR should outline the principles upon which the ESMF is to be based, as well specific objectives. The principles should include that the Project:

Supports communities to develop their subproject applications to avoid or environmental and social safeguards concerns; Supports local authorities to review applications and determine if detailed erivironmental or social planning is required before applications can be approved; Funds extension teams to assist communities in preparing their Supports communities, local authorities and extension teams in respective roles by funding substantial training, information assistance; and

sections:

EXMF will that the

addtess Social A

The TOR should provide pertinent background for preparing the ESMF. This would indlude a statement of the Project objectives, the implementing agency, and a brief description

Project components, especially those that will finance subprojects; Target areas; Anticipated types of subprojects, and what types will not be financed by the Project coordination and implementation arrangements, including institutional arrangements for managing the subproject cycle; and Applicable Bank safeguards policies, and consequent Project preparation as specified in the approved ISDS.

ESMF TOOLKIT: PART C -RESOURCES FOR ESMF PREPARATION

Funds annual reviews for assessing compliance, learning lessons, and improving future performance, as well as assessing the occurrence of, and potential for, cumulative impacts due to Project-funded and other development activities.

Specific ESMF objectives would include: To establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of subprojects to be financed under the Project; To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to subprojects; To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF; To establish the Project funding required to implement the ESMF requirements; and To provide practical information resources for implementing the ESMF.

4. Scope of Work

In general, the TOR should require the preparation of an ESMF according to the principles and objectives stated in Section 3, and based on the guidance provided in the ESMF Toolkit. More specifically, the TOR should describe the tasks needed to complete the ESMF. These will depend on which safeguards policy concerns are triggered by the overall Project and thus need to be addressed in the ESMF, for example land acquisition and access to resources, indigenous peoples, and the safety of dams.

General tasks would include the research, interviews and field work needed to develop: a) A detailed description of the Project, its components (especially those funding subprojects),

and implementation arrangements, with a focus on how subprojects will be identified, prepared, approved and implemented, and on how funds will flow to approved subprojects.

b) An understanding of the legislative, regulatory and administrative regime (e.g. pollution control, environmental management, land acquisition and use, protection of cultural heritage) that the Project will operate within, with a focus on requirements that will apply to the planning, approval and implementation of subprojects.

c) An understanding of the institutional needs for implementing the ESMF. This should include a review of the authority and capability of institutions at different levels (e.g. local, district, provincial/regional, and national), and their capacity to manage and monitor ESMF implementation. The analysis may extend to new laws and regulations, new agencies or agency functions, intersectoral arrangements, management procedures and training, staffing, operation and maintenance training, budgeting, and financial support.

d) A training and capacity building programme for the institutions responsible for implementing the ESMF.

e) Requirements for technical assistance to communities, service providers and public-sector institutions to support their ESMF implementation work.

f) A budget for implementing the ESMF.

The TOR will indicate anticipated needs for in-country consultation and field work to prepare the ESMF. Consultation and information gathering should extend fiom the national level to at least the lowest level (e.g. district) where subprojects will be proposed, approved and then implemented.

ESMP TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION

5. ESMF Report

The TOR should specify minimum ESMF contents, consistent with guidance provided i the ESMF Toolkit:

a) An executive summary; b) An introduction describing the ESMF purpose, objectives, principles and metho ology; c) A description of the Project, with an emphasis on component(s) that will financ

subprojects; anticipated types of subprojects, and types that will be excluded fro financing; Project target areas; Project coordination and implementation arrang ments,

reporting and performance review requirements;

to the Project (Sections B5 through B8 of the ESMF Toolkit);

the ESMF;

I with details of institutional arrangements for managing the subproject cycle; and annual

d) Major sections addressing the requirements of individual safeguards policies

e) Description of capacity building, training and technical assistance required to

f) An ESMF implementation budget; and g) Technical annexes to support ESMF implementation.

6. Consultant Qualifications

The TOR should require the Consultant to demonstrate that the has the expertise required to fully appreciate the requirements addressed in the ESMF, and to complete all required sections safeguards policies need to be addressed in an ESMF (e.g. is highly unlikely that one person can prepare the specify the expected expertise to both manage overall ESMF preparation and,

experience) requirements.

7. Expected Level of Effort

preparation of each component (see examples in Box C1.l). This may be calling for a Team Leader and Lead Specialists, with accompanying

The expected level of effort (LOE) for the Consultant services to prepare the ESMF indicated in the TOR if it will not be specified in a formal request for proposals. the circumstances, the LOE may be a total (e.g. 4 person months) or subdivided or ESMF elements.

8. Services, Facilities and Materials to be Provided by the Client

The TOR should specify what services, facilities and materials will be provided to the onsultant by the World Bank and the Borrower, for example:

The Project ISDS and draft PAD; Relevant background documentation and studies; '

Making all necessary arrangements for facilitating the work of the Consultant

I Example ESMFs that demonstrate best practice, especially from the region or

provide access to government authorities, other Project stakeholders, and


9. Other Information

The TOR should include lists of data sources, project background reports and studies, relevant publications, and other items to which the consultant's attention should be directed.

10. Schedule and Deliverables

The TOR should specify the consultancy deliverables (e.g. detailed workplan, interim report, draft final ESMF report, final report), the schedule for delivery (e.g. detailed workplan within 2 weeks, interim report within 7 weeks, and final draft ESMF within 10 weeks of contract signature), and the overall duration of the consultancy (e.g. 15 weeks from contract signature).

11. , Technical Proposal Contents

The TOR should require a technical proposal that at least: Demonstrates that the Consultant understands the overall scope and nature of the ESMF preparation work, and what will be required to respond satisfactorily to each component of the TOR; Demonstrates that the Consultant and his proposed team have relevant and appropriate experience to carry out all components of the TOR. Detdiled curriculum vitae for each team member must be included; Describes the overall methodology for carrying out each component of the TOR, including desk and field studies, and data collection and analysis methods; and

'

Provides an initial plan of work, outputs, and staff assignments with levels of effort by task.

12. Budget and Payments

The TOR should indicate if there is a budget ceiling for the consultancy.

The TOR should specify the payment schedule (e.g. 10% on contract signature, 10% on delivery of detailed workplan? 40% on delivery of interim report, 30% on delivery of final draft ESMF, 10% on delivery of final ESMF). .


Box C1.l: Example ESMF Expertise Descriptions

Example: Expertise required to address environmental management concerns The Consultant will be familiar with World Bank environmental safeguards policies, and simil r requirements in [name country], and have demonstrated experience in successfully meeting th se requirements. He will be particuIarIy familiar with the environmental assessment of small-sca e projects, and with systems for the environmental review and approval of development projects 'n developing countries like [name country]. 1 Example: Expertise required to address land acquisition and access to resources conce ns The Consultant will be knowledgeable of World Bank resettlement policy requirements (RPFs nd RAPS), and similar requirements in [name country], and have demonstrated experience in suc essfully meeting these requirements. It is expected that the Consultant team will consist of one or two specialists (e.g. social scientist with resettlement experience and intimate familiarity with the Bank's resettlement policy, a specialist in asset evaluation for determining methods)).

10 r Id

Example: Expertise required to prepare a Dam Safety Report The work will be carried out by a Dam Specialist (DS)with appropriate technical substantial experience with the design, construction, operation and maintenance of dams, developing countries Iike [name country]. The DS should not have been associated with construction, and operation of the existing dams, and will be independentfiom the the dams.


C2: CHECKLIST FOR REVIEW OF AN ESMF

Guidance on Using the Checklist

For each critefion in the checklist: a) Provide a rating grade according to the following scheme:

S Satisfactory No, only minor, omissions or inadequacies MS Marginally Satisfactory Just satisfactory despite important omissions

or inadequacies US Unsatisfactory Significant omissions or inadequacies NA Not Applicable

b) As needed, record a comment about why the grading symbol was chosen and what might be done to strengthen the ESMF. These comments are perhaps the most important aspect of the checklist since they provide information for specific and summary reporting on the strengths and weaknesses of the ESMF, and whether or not it requires further work before being approved.

Review Checklist

1. The background and purpose of the Project are adequately described.

2.

I 3.

Institutional arrangements for Project implementation are adequately described, especially roles and responsibilities for subproject preparation, review, approval, and supervision.

The components of the Project are adequately described, especially those that will fund subprojects.

I

The anticipated types of subprojects that may be funded are listed, including those that will not be funded.

I

Project target areas are adequately described, including their main environmental and social conditions. Map(s) are used appropriately.

-I

,

I ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION

I j CRITERION I GRD / COMMENTS 1

The EA category of the Project is / 7' ( noted.

8.

I I 1 SUBPROJECT PREPARATJOX, APPROVAL AND IMPLEMENTATION

Relevant national environmental and social management requirements are adequately described.

9.

1 10. 1 A coherent and comprehensive process / I I I

Disclosure: Procedures for public disclosure of the ESMF and subproject information is adequately described.

I 1 is prescribed, embedded in the overall ( 1 1 I subproject preparation and approval process, for ensuring that environmental and social concerns are adequately addressed.

11.

12. -

social information in subproject applications, including a completed ESMF checklist.

I

There is adequate guidance, technical assistance and information resources for communities to plan subprojects to avoid or minimize safeguards concerns.

There is clear direction on when special subproject planning reports (e.g. EMP, RAP) will be required.

13.

There are adequate tools for the review and approval of subprojects, especially:

A subproject ESMF checklist

.-

The is adequate guidance on the requirements for environmental and

15. A field appraisal form

16. An annual report form

17.

. . -

)

8June04 7

There is adequate provision for annual ESMF performance reviews and cumulative impact assessments.

1

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPAI~ATION

Environmental ~ a n a ~ e m e n t Plan will be required, and what it should contain.

19.

I I 1 21. 1 The ESMF contains an adequate I

There is clear direction on when an Pest Management Plan will be required, and what it should contain.

20.

Resettlement Policy ~ramework

22. There is clear direction on when a Resettlement Action Plan is required, and what it needs to contain.

There is clear direction on how cultural resources need to be protected.

23. . There is clear direction on when a Indigenous Peoples Development Plan is required, and what it needs to contain.

1 24. 1 For new dams, size restrictions and 1 1 1

I I design and construction standards are specified.

I

25. There is clear direction on when a Dam Safety Report is required, and what it needs to contain.

I I I

CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE 1 26. There is adequate assessment of the

institutional capacity to implement the ESMF, and adequate specification of a capacity building program.

27. There is an adequate training needs assessment, and a training program specified for the various Project participants involved-in implementing the ESMF.


j CRlTERlON I GRD I COMMENTS 28. The ESMF provides for adequate

ongoing technical assistance to local authorities and communities to meet their environmental and social responsibilities.

29. The ESMF provides for adequate occasional technical assistance to Project participants to meet their environmental and social responsibilities.

1 30. 1 An adequate budget is specified to I 1 1 I

I I implement the ESMF.

31. Executive Summary: There is an adequate and comprehensive summary of the main elements of the ESMF.

32. Introduction: The purpose, objectives, principles and methodology of the ESMF are adequately introduced.

33. Presentation: The layout of the ESMF enables the reader to find and understand information easily and quickly. Material is suitably distributed between the main text and annexes.


C3: EXAMPLE GENERAL ESMF CHECKLIST

NAME OF PROJECT

Subproject ~ a m e :

Subproject ~ocati'on:

Community Representative and Address:

Application Number L

Extension Team Representative and Address:

Site Selection:

When considering the location of a subproject, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do indicate a real risk of causing undesirable adverse environmental and social effects, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential effects.

Site Sensitivity fssues

Low Medium Natural I No natural habitats 1 No critical natural habitats 1 present of any kind habitats; other natural

habitats occur

Water quality Water flows exceed Medium intensity of and water any existing demand; water use; multiple water resource low intensity of water users; water quality issues availability use; potential water are important and use use conflicts

expected to be low; no potential water quality issues

Natural Flat terrain; no Medium slopes; some hazards potential erosion potential; medium vulnerability, stabilitylerosion risks from floods, soil problems; no known volcanic1seismic1 flood1 stability1 volcaniclseismic/ hurricanes erosion flood risks Cultural No known or Suspected cultural property suspected cultural heritage sites; known

heritage sites heritage sites in broader area of influence

Rating

Critical natural habitats present

\

Intensive water use; multiple water users; potential for conflicts is high; water quality issues are important

Mountainous terrain; steep slopes; unstable soils; high erosion potential; volcanic, seismic or flood risks

in project area


I resettlement I density; dispersed I density; mixed ownership I density; major towns 11 I

- I population; legal and land tenure; well- and villages; low- tenure is well- defined water rights income families - defined; well-defined water rights

andlor illegal ownership of land; communal properties; unclear water rights

Indigenous peoples

No indigenous population

Dispersed and mixed indigenous populations; highly acculturated indigenous populations

Indigenous territories, reserves andlor laqds; vulnerable indigenous

Completeness of Subproject Application:

Does the subproject application document contain, as appropriate, the following inform T

A map or drawing showing the location and boundary of the project including any land required temporarily during construction The plan for any physical works (e.g. layout, buildings, other

Any new access arrangements or changes to existing road layouts Any land that needs to be acquired, as well as who owns it, lives on it or has rights to use it A work program for construction, operation and decommissioning the

Construction methods Resources used in construction and operation (e.g. materials, water, energy) Information about measures included in the subproject plan to avoid or minimize adverse environmental and social impacts Details of any permits required for the project


Environmental and Social Checklist

I I

1 2 1 lnvolve the construction or rehabilitation of any small dams, I 1 C14.2 .

/ 14 ( Be located in or near an area where there is an important I 1 1 B5.3

1 12 13

) historical, archaeological or cultural heritage site? 1 15 1 Be located within or adjacent to any areas that are or may be

-- B5.4

protected by government (e.g. national park, national reserve, world heritage site) or local tradition, or that might be a natural habitat?

of healthcare waste? Build or rehabilitate any structures or buildings? Support agricultural activities?

C14.12 C14.13

16

1 (e.g. intact natural forests, mangroves, wetlands) or 20

Ifthe answer to any of questions 1-16 is "Yes ", please use the indicated Resource Sheets or sections(s) of the ESMF for guidance on how to avoid

Depend on water supply fiom an existing dam, weir, or other water diversion structure?

such as t reeshe1 woad or water? Be located within or nearby environmentally sensitive areas

B 8


CERTIFICATION

We certify that we have thoroughly examined all the potential adverse effects of this To the best of our knowledge, the subproject plan as described in the application and planning reports (e.g. EMP, RAP, IPP, PMP), if any, will be adequate to avoid or adverse environmental and social impacts.

Community representative (signature):

____J---s- --z---

35 1 Depend on water supplied from an existing dam or weir? Ifthe answer to question 34 or 35 is "Yes ", please consult the ESME and, if needed, prepare a Dam Safety Report (DSR).

I ........................................................... Extension team representative (signature):

Date: .........................................................

B8, C 12


FOR OFFICIAL USE ONLY

Desk Appraisal by Review Authority:

The subproject can be considered for approval. The application is complete, all significant environmental and social issues are resolved, and no further subproject planning is required.

A field appraisal is required.

Note: Afield appraisal must be carried out if the subproject: Needs to acquire land, or an individual or community's access to land or available resources is restricted or lost, or any individual or family is displaced May restrict the use of resources in apark or protected area by people living inside or outside of it May affect aprotected area or a critical natural habitat May encroach onto an important natural habitat, or have an impact on ecologically sensitive ecosystems (e.g. rivers, streams, wetlands) May adversely affect or benefit an indigenous people Involves or introduces the use ofpesticides Involves, or results in: a) diversion or use of surface waters; b) construction or rehabilitation of latrines, septic or sewage systems; c) production of waste (e.g. slaughterhouse waste, medical waste); d) new or rebuilt irrigation or drainage systems; or e) small dams, weirs, reservoirs or water points.

The following issues need to be clarified at the subproject site:

A Field Appraisal report will be completed and added to the subproject file.

Name of desk appraisal officer (print): ......................................................................

.......................................................... Signature: Bate: ....................................

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF IMPLEMENTATIO~ I

1 C4: EXAMPLE ENVIRONMENTAL AND SOCIAL F I E ~ D 1

NAME OF PROJECT (e.g. Malawi Social Action Fund)

Part 1: Identification I

1. Project Name: (for example: "Kawala Primary School' Rehabilitation") ~ 2. Project Location: (for example: "Kilwa, Ngoro District, Western Kenya")

3. Reason for Field Appraisal: Summarize the issues from the ESMF Checklist tha: determined the need for a Field Appraisal.

4. Date(s) of Field Appraisal:

5. Field Appraisal Officer and Address:

6. Extension Team Representative and Address:

7. Community Representative and Address:

Part 2: Description of the Proiect I 8. Project Details: Provide details that are not adequately presented in the

application. If needed to clarify subproject details, attach sketches of the component(s) in relation to the community and to existing facilities

Part 3: Environmental and Social Issues

9. Will the project: Need to acquire land? Affect an individual or the community's access to land or available resources? Displace or result in the involuntary resettlement of an individual or family?

I

Yes No

ED If "Yes", tick one of the following boxes: The Resettlement Action Plan (RAP) included in the subproject application is ade uate. No further action required. The RAP included in the subproject application must be improved before the appli ation can be considered further.

I A RAP must be prepared and approved before the application can be considered fu ther. r

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF IMPLEMENTATION

10. Will the project: rn Encroach onto an important natural habitat? Negatively affect ecologically s'ensitive ecosystems?

If "Yes'', tick one of the following boxes: o The Environmental Management Plan (EMP) included in the subproject application is

adequate. No further action required. The EMP included in the subproject application must be improved before the application can be considered further.

o An EMP must be prepared and approved before the application can be considered further.

11. Are there indigenous people living in the subproject area who could benefit from, or be adversely affected by, the subproject?

If 'Yes", tick one of the following boxes: o The Indigenous Peoples Plan (IPP) included in the subproject application is adequate. No

further action required. The IPP included in the subproject application must be improved before the application can be considered further. An IPP must be prepared and approved.before the application can be considered further.

12. Will this project involve or introduce pesticides? F W If "Yes", tick one of the followilig boxes: The Pest Management Plan (PMP) included in the subproject application is adequate. No further action is required. The PMP included in the subproject application must be improved before the application can be considered further.

D A PMP must be prepared and approved before the application can be considered further.

13. Will this project involve or result in: Diversion or use of surface waters? Construction andlor rehabilitation of latrines, septic or sewage systems? Production of waste (e.g. slauihterhouse waste, medical waste, etc.)? New or rebuilt irrigation or drainage systems?

If 'Yes", tick one of the following boxes: The application describes suitable measures for managing the potential adverse environmental effects of these activities. No further action required. The application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An Environmental Management Plan must be prepared and approved before the application is considered further.

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF IMPI~EMENTATION

14. Will this project require the construction of a small dam or weir?

If "Yes", tick one of the following boxes: o The application demonstrates that the structure(s) will be designed by qualified en

and will be built by qualified and adequately supervised contractors. No further required. The application does not demonstrate that the structure(s) will be designed by engineers, and will be built by qualified and adequately supervised application needs to be amended before it can be considered further.

15. Will this project rely on water supplied from an existing dam or weir? M If "Yes", tick one of the following boxes: The application demonstrates that a dam safety report has been prepared, the dam i safe, and no remedial work is required. No further action is required. The application does not demonstrate that a dam safety report has been prepared, t e dam is

before the application is considered further.

r- safe, and no remedial work is required. A dam safety report must be prepared and pproved a

16. Are there any other environmental or social issues that have not beenadequately addressed?

If "Yes", summarize them:

and tick one of the following boxes: Before it is considered further, the application needs to be amended to include suitcble measures for addressing these environmental or social issues. An Environmental Management Plan needs to be prepared and approved before the application is considered further.

Part 4: Field Appraisal Decision

The subproject can be considered for approval. Based on a site visit and consultations with both interested and affected parties, the appraisal determined that the community and its proposed project adequately addre environmental and/or social issues as required by the Project's ESMF.

o Further subproject preparation work is required before the application can bh considered further. d The field appraisal has identified environmental andlor social issues that have not een adequately addressed. The following work needs to be undertaken before further ' consideration of the application:

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF IMPLEMENTATION

All required documentation such as an amended application, EMP, RAP, IPDP or PMP will be added to the subproject file before the subproject is considered ful-ther.

...................................................................... Name of field appraisal officer (print):

Signature: ..................................................... Date: ;. .......................................

11 I!.

I I/

:-*z- - , I/:;,-: .re::--".

. ,. PC. *-- ,. .

-., .~ .

NAME OF PROJECT (e.g. Malawi Social Action Fund)

Application N mber: Y 1. Name of District or Local Government:

2. Name and Position of Review Authority Completing the Annual Report:

I 3. Reporting Year:

4. Date of Report:

5. Community Subprojects:

Please enter the numbers of subprojects ion the following table. (Note: f ie types of subprojects should be the same as those listed in Section B2 of the ESMF.)

I I I

1 Education

Types of Activities

Number of Activities Requiring:

m

&I


Types of Activities

Water treatment ~ l a n t 1 Hand pumps and mechanized ] boreholes Gravitv water schemes

er of Activities Requiring: I I I

i I I I I

Sanitation and Waste Management

/ Laboratories . I 1 - 1 1 I I I 1 ' 1 I Transportation, Communication and Energy -

1


I I I

Natural Resources Management

Number of Activities Requiring:

V J

Types of Activities

6 . Were there any unforeseen environmental or social problems associated with any subprojects approved and implemented this year? If so, please identify the subproje ts and summarize the problem(s) and what was or will be done to solve the problem(s). U e a summary table like the one below. 1

2 0

5 U

7. Have any other environmental or social analyses been carried out by other public r private agencies in your districdprovince? If so, please describe them briefly. 0

u a m

Agro-processing facilities Post harvest handling facilities

taken

m

-------

Subproject Actions taken Problem(s) Actions to be


8. Have you noticed any particular problems with implementing the ESMF in the past year (e.g. administrative, communications, forms, capacity)? If so, please describe them briefly.

9. Training: Please summarize the training received in your district/province in the past year, as well as key areas of further training you think is needed.

I

I

Approval Authority I 1 Extension Teams

I I

Training Needed Group Review Authority

Communities

Training Received

Among their other responsibilities, extension teams will assist communities in subprojects, and preparing their applications, to avoid or minimize adverse social impacts. This work involves carrying out adequate envir01;mental the preparation of special planning reports such as an Environmental or Pest Management Plan (PMP).

I

1 C6: ENVIRONMENTAL GUIDELINES FOR EXTENSION

Environmental and of the environment on a with other analyses (e.g. these analyses, operation - at a suitable level of detail. planning a subproject. This is because many of the best

when subproject plans are still flexible. timing) for avoiding or minimizing adverse effects, and

TEAMS 1 I

Extension teams will use an ESMF Checklist, and refer to relevant sections of the E S M ~ and its annexed Resources and Participation Sheets, as tools to assist communities include environmental analysis in their subproject planning. The ESMF Checklist is used to the appropriate environmental management questions are asked and answered. The Sheets provide information on the environmental concerns associated with different subprojects, possible measures to deal with those concerns, and how to determine if are being addressed. The concerns identified on the Resources Sheets indicate the questions communities should ask in planning and designing their projects. In

their situation.

teams should make use of variety of community Participation Sheets annexed assist communities in considering environmental questions and developing responses

The basic elements of environmental analysis are: Identify and involve the community members with an interest in the subproject. Identify the key environmental concerns with the subproject, and ensure the ana ysis focuses on them. I Decide how to analyze possible adverse environmental effects and benefits. W at methods are useful, relevant, and cost-effective? Is "informed common sense" sufficient or will more technical analyses be needed? What community participation met ods outlined in the Participation Sheets might be used? I Determine the information needed for the analyses, collect it and carry out the a alyses. Identify mitigation measures to deal with adverse effects, and to capture benefi s. This may lead to revising the subproject concept, plan or design. 1 If it seems needed, develop an environmental management plan (EMP) andfor p management plan (PMP) for managing the environmental aspects of the subproj during construction and operation.

Mitigation measures are subproject designs or elements to avoid, reduce or offset adve se effects. They can have various objectives as listed below in order of priority:

* Avoidance: Avoid activities that could cause adverse effects, or avoid types of r sources or areas that are environmentally sensitive.

\ Prevention: Prevent adverse effects from happening due to individual activities.


Minimization: Limit or reduce the degree, extent, magnitude, or duration of an adverse effect (e.g. by scaling down, relocating or redesigning part of a subproject or a specific activitiy).

a Rehabilitation: Repair or improve affected resources (e.g. natural habitats, water sources), particularly when earlier development has degraded them. Restoration: Restore affected resources to a more stable and productive condition. Compensation: Create or improve the same type of resource at another location to compensate for a loss due to a project.

The purpose of environmental analysis is to develop a subproject design and plan that employs mitigation measures, in the order of priority listed above, to address the environmental concerns highlighted by the ESMF Checklist. Avoidance of adverse effects is the first priority, followed by prevention if avoidance is not possible, and so on down the list. When subproject planning is complete, there may well be no identifiable mitigation measures, just a subproject plan that raises no environmental concerns. If there are distinct mitigation measures, they should be specified in an Environmental Management Plan.

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION 1

Objectives:

C7: GUIDELINES FOR ANNUAL REVIEWS

The objectives of annual reviews of ESMF implementation are two-fold: a) to assess Project performance in complying with ESMF procedures, learn lessons, a d

improve future performance; and b) to assess the occurrence of, and potential for, cumulative impacts due to Project-fun ed and

other development activities. I

The annual reviews are intended to be used by Project management to improve procedu es and capacity for integrating natural resources and environmental~social management into Pr ject operations. They will also be a principal source of information to Bank supervision mis I ions.

1

Scope of Work:

ESMF Performance Assessment ~ The overall scope of the performance assessment work is to: a) Assess thy adequacy of the subproject approval process and procedures based on int rviews

with Project participants, Project records, and the environmental and soci'al perform ce of a sample of approved subprojects;

resource materials, etc.; c) Assess the needs for further training and capacity building; d) Identify key risks to the environmental and social sustainability of subprojects; and

I b) Assess the adequacy of ESMF roles and responsibilities, procedures, forms, inform tion

e) Recommend appropriate measures for improving ESMF performance.

The following tasks will be typical: a) Review central and district records of subproject preparation and approval (e.g. app ications;

management in the country;

I screening checklists; EMPs, RAPS, PMPs and IPDPs; appraisal forms; approval doc ments), as well as related studies or reports on wider issues of natural resources and enviro ental

the completeness of planning and implementation work, the adequacy of .. b) On the basis of this review, conduct field visits of a sample of approved subprojects to assess

environmental/social design, and compliance with proposed mitigation measures. T e sample should be large enough to be representative and include a substantial propo ion of subprojects that had (or should have had) a field appraisal according to established SMF criteria (see Part B4.2 of the Toolkit). Subprojects in sensitive natural or social envi onments should especially be included.

c) Interview Project and district officials responsible for subproject appraisal and appr val to

amount of financial resources available.

! determine their experience with ESMF implementation, their views on the strengths and weaknesses of the ESMF process, and what should be done to improve performance. Improvements may concern, for example, the process itself, the available tools (e.g. guidelines, forms, information sheets), the extent and kind of training available, and the

d) Develop recommendations for improving ESMF performance.


Cumulative Impacts Assessment

This part of the annual review assesses the actual or potential cumulative impacts of subprojects with other subprojects or development initiatives on the environment, natural resources and community groups. Cumulative impacts result from a number of individual small-scale activities that, on their own, have minimal impacts, but over time and in combination generate a significant impact. For example:

Deforestation due to the overharvesting of poles and timber for small-scale constyction; Decline in groundwater levels or quality due to the construction of numerous wells and the introduction of numerous small scale irrigation works; Overwhelmed or illegal waste and dumping sites due to the inappropriate disposal of increasing amounts of waste materials; lllegal poaching of wildlife due to expansion of land under cultivation or increased proximity and access to protected areas through construction of small access roads; and Attraction of large migrant populations to communities that have successfully introduced improve social infrastructure (such as schools, health centers or water sources) resulting in overcrowding, depletion of resources (e.g. space, supplies, water), etc.

The function of this assessment is primarily as an "early warning" system for potential cumulative impacts that might otherwise go undetected and unattended to. It will be largely based on the observations of people interviewed during the field work, and trends that may be noticed by district or regional officials. Where cumulative impacts are detected or suspected, recommendations will be made to address the issue, perhaps through more detailed study to clarifL matters and what should or can be done about them.

Qualifications for Undertaking Annual Reviews:

The reviews should be undertaken by an individual or small team with training and experience relevant to the likely issues to be encountered (e.g. environmental and natural resources management, land acquisition and resettlement, indigenous peoples). They should also be familiar with the methods and practices of effective community consultation, and with typical methods and processes for preparing, appraising, approving and implementing small-scale community development projects.

Timing: ,

Annual reviews should be undertaken after the annual ESMF report has been prepared and before Bank supervision of the Project, at the closing of each year of the Project. It is expected that each review would require 3-4 weeks of field work (interviews, examination of subprojects), and that the review report would be completed within 2 weeks of completing the field work.

Outputs:

The principal output is an annual review report that documents the review methodology, summarizes the results, and provides practical recommendations. Distinct sections should address a) ESMF performance and b) cumulative impacts. Annexes should provide the detailed results of the field work, arid summarize the number of approved subprojects by district and their characteristics according to the annual report format (see Part C5, Section 5 of this Toolkit).


Copies of the annual review report should be delivered to Project management, to each histrict office responsible for appraisal, approval and implementation of subprojects, and to the Bank. Project management (central or district) may also want to host national or distric workshops to review and discuss the review findings and recommendations.


C8: GUIDELINES FOR AN ENVIRONMENTAL MANAGEMENT PLAN

When a subproject includes distinct mitigation measures (physical works or management activities), an Environmental Management Plan (EMP) needs to be included with the subproject application.

EMP Contents:

An EMP usually includes the following components: Description of adverse effects: h e anticipated effects are identified and summarized. Description of mitigation measures: Each measure is described with reference to the effect(s) it is intended to deal with. As needed, detailed plans, designs, equipment descriptions, and operating procedures are described. Description of monitoring program: Monitoring provides information on the occurrence of environmental effects. It helps identify how well mitigation measures are working, and where better mitigation may be needed. The monitoring program should identify what information will be collected, how, where and how often. It should also indicate at what level of effect there will be a need for further mitigation. How environmental effects are monitored is discussed below. Responsibilities: The people, groups, or organizations that will carry out the mitigation and monitoring activities are defined, as well as to whom they report and are responsible. There may be a need to train people to carry out these responsibilities, and to provide them with equipment and supplies. Implementation schedule: The timing, frequency and duration of mitigation measures and monitoring are specified in an implementation schedule, and linked to the overall subproject schedule. Cost estimates and sources of funds: These are specified for the initial subproject investment and for the mitigation and monitoring activities as a subproject is implemented. Funds to implement the EMP may come from the subproject grant, from the community, or both. Government agencies and NGOs may be able to assist with monitoring.

Monitoring Methods:

Methods for monitoring the implementation of mitigation measures or environmental effects should be as simple as possible, consistent with collecting useful information, so that community members can apply them themselves (see example below). For example, they could just be regular observations of subproject activities or sites during construction and then use. Are fences and gates being maintained and properly used around a new water point; does a stream look muddier than it should and, if so, where is the mud coming from and why; are pesticides being properly stored and used? Most observations of inappropriate behavior or adverse effects should lead to commonsense solutions. In some cases (e.g. unexplainable increases in illness or declines in fish numbers), there may be a need to require investigation by a technically qualified person.


Example: Environmental Effects Monitoring Table

Ask individuals or groups at a community meeting ifthey think the project is causing negative or positive effects on dzfferem aspects of the environment or community. Have them create andfill out a chart like the one below on sheets of paper or' on ayipchart, then compile the results. Then have them report and discuss their results.

Legend: + Positive effect -- Negative efect = No change ? Not sure

I E~vironmental concern 1 Group I I Group 2 1 G r o u P 3 1 Quality of north water source + + - -

Quality ofsouth water source -- - - -- Quality ofeast water source -

& - -

Quality of central water source + + + Proper collection and use of manure from east communal shed - - - - -- Proper collection and use of manure from west communal shed + + - -


I C9: GUIDELINES FOR A PEST MANAGEMENT PLAN 1

1 1. Introduction

A pest management plan (PMP) is based on field evaluations of local conditions, and is best conducted by appropriate technical specialists with experience in participatory IPM. It determines whether current or proposed use of pesticides is justified under an IPM approach, and whether it is economic. Above all, a PMP emphasizes support for good, sustainable agricultural practice rather than mere compliance with pesticide management regulations.

A PMP identifies the main pest problems and their contexts (ecological, agricultural, public health, economic, and institutional), and develops specific operational'plans to address these problems. Hazards associated with the transport, storage, handling, use and disposal of pesticides are identified and assessed. Measures are provided to reduce these hazards to a level that can be managed by the users of the products concerned. A PMP also includes procedures for screening pesticides.

l'hese guidelines provide background information, and guidance, for preparing a PMP. They are addressed primarily at activities where there may be significant issues of pest management and pesticide use. At the same time, even a small, community-based project that might involve more modest need for pesticide use should prepare a PMP, in this case scaled appropriately to the nature of the subproject and its context.

Section 2 below outlines the elements of a PMP. Subsequent sections provide guidance on various aspects of IPM, risk management, and pesticide use.

I 2. Elements of a Pest Management Plan

Pest Management Approach a. Current and anticipated pest problems relevant to the project

Common pest problems and estimated economic impact b. Current and proposed pest management practices

Describe current and proposed practices, including non-chemical preventative techniques, biological and chemical control. Is optimum use being made of agro- ecosystem management techniques to reduce pest pressure and of available non-chemical methods to controlpests? Do farmers and extension staflget suficient information about IPM approaches that reduce reliance on chemical control?

c. Relevant IPM experience within the project area, country or region Describe existing IPMpractices, projects/programs, research

d. Assessment of proposed or current pest management approach and recommendations for adjustment where necessary

Where the current or proposedpractices are not consistent with the principles of an IPM approach, the discrepancies should be discussed and a strategy should be proposed to bring pest management activities into line with IPM.

Pesticide Management a. Describe present, proposed andlor envisaged pesticide use and assess whether such use is in

line with IPM principles. '


the best available (preferably WHO-supported) public health evidence.

project

b. Indication of type and quantity of pesticides envisaged to be financed by the volume and dollar value) andlor assessment of increase in pesticide use

transport, storage, handling the disposal of empty containers

e. Pre-requisites andlor measures required to reduce specific pesticide use under the project (e.g.: protective gear, training, upgrading of storage facilities, etc.).

f. Selection of pesticides authorized for use, taking into below; (b) the hazards and risks (Section 7 below); hazardous products and techniques (e.g. bio-pesticides, traps)

Monitoring and Supervision a. Description of activities that require local monitoring during implementation b. Description of activities that require monitoring during supervision visits (e.g. rega

efectiveness of measures to mitigate risks; progress in strengthening regulatoryfra and institutional capacity; identification of new issues or risks arising during implementation)

c. Monitoring and supervision plan, implementation responsibilities, required expertis budget

3. What is Integrated Pest Management (IPM)?

IPM refers to a mix of ecologically-based pest control practices in order to reduce relian synthetic chemical pesticides. It involves: a) Managing pests (keeping them below economically damaging levels) rather than

eradicate them; b) Relying, to the extent possible, on non-chemical measures to keep pest c) Selecting and applying pesticides, when they have to be used, in a way

adverse effects on beneficial organisms, humans, and the environment.

Key to IPM is maintaining a healthy agro-ecosystem and making optimum use of its na ral functions to suppress pest problems. Pesticides often destabilizes ago-ecosystems and hould thus be used only when necessary and in a selective and judicious manner. Steps in resp nsible pest management include:

fyst place.

populations.

1 a) Make better use of available agronomic techniques to avoid or reduce pest problems in the

b) If pest problems occur, first look for solutions that address the causes of developme t of pest "


c) If an intervention becomes justified because crop damage reaches levels causing economic damage that is higher than the cost of pest control, select pest control practices that have the least impact on the ago-ecosystem such as crop selection, rotation and management; biological control (e.g. natural enemies, microbial control, insect traps, and selective use of pesticides.

d) If application of pesticides is justified, select products and application techniques that have the least impact on the ago-ecosystem.

4. Reducing Health and Environmental Risks from Pesticides

J Efforts to reduce health and environmental risks are important because pesticides are toxic and have the potential to harm users, the public and the environment. Moreover, government regulatory schemes are often inadequate in offering protection, and pesticide users often do not have the necessary application equipment, protective gear and knowledge to manage the hazards associated with pesticide use. In general, IPM strategies should reduce reliance on chemical control and contribute to reducing health and environmental risks.

Groups that may encounter health problems as a result of exposure to pesticides include: Users/applicators; Bystanders and people living next to treated areas (drift); Farmers working in treated areas; Processors of treated crops; pesticide distributors; Workers in the industrial plants of pesticide manufacturers/formulatorsj Pesticide storekeepers; Consumers of treated crops or contaminated water; and Consumers of dairy products from livestock fed with contaminated crops.

The main health and environmental risks are: Acute poisoning (death, light to severe sickness, respiratory problems, etc.); Chronic poisoning (cancer, birth defects, reproductive disorders, skin problems, ,

impairment of immune system capabilities, etc.); Water, soil and air contamination; Impact on non-target organisms, including aquatic organisms, birds and wildlife; and Impact on the diversity of animal and plant species in an area.

The main steps involved in reducing risks from pesticides are: a) Reduce pesticide use by making optimum use of non-chemical pest control methods; b) Where chemical control remains necessary, identify health and environmental risks; c) Carefully select products and application techniques to minimize impact on health and the

environment; and d) Design and implement risk reduction measures (see Section 7 below).

5. Screening Pesticides

The use of any pesticide should be based on an assessment of the nature and degree of associated risks, taking into account the intended users. With respect to the classification of pesticides and their specific formulations, the Bank refers to the World Health Organization's Recommended Classification of Pesticides by Hazard and Guidelines to ClassiJication.


I The Bank requires that the following criteria apply to the selection and use of pesticides, a) They must have negligible adverse human health effects. b) They must be shown to be effective against the target species. c) They must have minimal effect on non-target species and the natural environment.

methods, timing, and frequency of pesticide application are aimed at minimizing da age to natural enemies. Pesticides used in public health programs must be demonstrably s be fe for inhabitants and domestic animals in the treated areas, as well as for personnel

d) Their use must take into account the need to prevent the development of e) They do no fall in WHO classes IA and IB, or formulations of products

country lacks restrictions on their distribution and use; or (b) they are be accessible to, lay personnel, farmers, or others without training, to handle, store, and apply these products properly.

5. When is Pesticide Use Justified Under an IPM Approach? I In many cases, present levels of pesticide use are unnecessarily high, uneconomic and10 unsustainable. There often is a narrow focus on chemical control without considering a ailable alternative non-chemical pest management techniques that are more sustainable. Determ'ning the justification of pesticide use involves both technical and economic factors:

Technical justification: Is the proposed use part of an IPM approach?

I Economic justification: Will the proposed use have a positive effect on farmer p ofits that is not offset by additional hidden and external costs? r

Technical Justification . .

Justifying pesticide use under an IPM approach is best done by examining current experience, and considers a variety of factors. Note that the justification of IPM approach involves much more than safe handling and judicious use of pesticides.

Pesticide use can be considered to be in line with IPM principles if: 1 Users are aware of non-chemical techniques to prevent or control pests, and the ecological, health and economic risks of pesticide use. Various non-chemical methods of ago-ecasy!tern management are used to populations low. Preventing pests and diseasks is a major component of Decisions to apply pesticides as supplement& control are made locally, monitoring of pest incidence, and are site-spe&ific. Selection of pesticides is based on minimizind negative impact on the Use of non-conventional pest control practices (biological control, regulators, pheromones, etc.) is considered bekore considering application of conventional pesticides.

failed.

Judicious and selective use of pesticides is em$loyed when management practices or when other economibally viable when damage or loss levels are exceeding thrdsholds, and

Application techniques are selected that mini+& impact on the Use of pesticides is economically justifiable id terms of having a farm profits that is not offset by increased shok and long term risks 'to health,

1 environment or profit. I


Compared to present practices, proposed pesticide use diminishes the social costs of pesticide use such as environmental and health costs.

Pesticide use is most probably not in line with IPM principles if: Pesticides are the single or primary means of pest management (including weed or rodent control); Pest control schemes are based on calendar spraying rather than on scouting or monitoring for pests. Input or rural credit packages obligate inclusion of chemical pest control. Centrally designed pest control schemes are followed that do not take into account local conditions and seasonal variations. Pesticide use is likely to lead to long term dependency, pest resurgence, secondary pest outbreaks or pest resistance. Farmers are not involved in taking decisions to apply pesticides. Pesticide distribution is free or subsidized. Persistent andlor non-selective pesticides are used, such as broad-spectrum pesticides, that significantly affect non-target organisms and reduce the natural control capacity of the agro-ecosystem. There is no economic analysis demonstrating the positive impact of pesticide use on farmers' net incomes. There is no evidence demonstrating cost-effectiveness in terms of public health gains for pesticides used in disease vector control. There are evident environmental contamination and health risks. Farmers receive advisory services from organizations that sell pesticides.

Economic Justification

Case studies indicate that, in developing countries, the external costs per unit of pesticide expenditure sometimes may be as high as the private costs. It is always important to ask:

What is the anticipated magnitude of economic damage caused by the pest problem? Is the assessment of damage based on accurate and representative field data? What are the direct and indirect costs of chemical pest control? What alternatives are available and how do the costs compare? Does the envisaged damage justify the expenditure?

It is important to consider the economics of pesticide use since there often is a tendency to focus solely on the technical issue of protecting a crop, without considering the costs and benefits. In many cases the economics of pesticide use are questionable, and pesticide use levels are often above their economic optimum. Moreover:

Negative environmental and social costs are often not considered. Indirect costs such as transport, storage, protective gear, application equipment and health costs (doctors fees, medicine, loss of labor) are often not considered. Estimates of crop damage are often based on exaggerated extrapolations that are not supported by accurate field data. The ability of plants to recover from damage is often overlooked. Crop damage is often expressed in loss of yield, instead of loss of farmer income. The economics of pesticide use are rarely compared to those of alternative approaches.

An assessment of the economics of pesticide use should, as much as possible, take into consideration the broad range of direct and indirect costs. The true cost of pesticide use includes


both the private farm household costs and the social costs associated with damage and/ r prevention. These can include hidden and external costs that are often'difficult to deter ine. C

7. Identifying and Managing the Risks of Pesticides ~

Obvious private costs at the user's level: Cost of pesticides (farm gate price) Farmer's cost of transport, storage and disposal Cost of application (hired labor, opportunity cost of family lqbor, spraying Cost of protective gear and other risk reduction measures

Hidden private costs: Acute and chronic health effects of pesticide poisoning (medical treatment, lab productivity loss) Reduction of beneficial organisms and other functions of the agro-ecosystem

Pesticides should have minimal effect on non-target species and the natural especially on predators of common pests that may affect the crop requirement may lead to further pest outbreaks with significant unnecessary 'increase in cost of chemical control. Factors are :

equi3ment)

tr

Health: Toxicity of the product, intensity of use, and mode of application User-knowledge about the product, its associated hazards and management o f t ese hazards Traderldistributors knowledge about the product Availability of adequate and affordable protective gear, and its actual use

h \

Availability of appropriate application equipment Availability of appropriate storage facilities Disposal practices for leftover pesticides, empty containers and rinsing water b end- users

product

s Occupational safety and risk reduction methods for persons handling and using 1 he

Risk of residues on treated food crops Risk of contamination of water resources

'* Build-up of on-farm pest resistance On-farm production loss due to negative side effects (crop damage due to pesti ide drift; losses in animal, honey bee, fish production) Decreased marketability of produce due to high pesticide residue levels

- External costs:

E Health damage to the public through consumption of pesticide residues and contaminated material Damage to natural resources (ground and surface water, natural habitats, Off-farm losses in crop and animal production

food and water, avoidance of pesticide contamination) Regulatory control (pesticide registration, monitoring and law enforcement)

Costs of preventative measures to avoid damage (e.g. residue monitoring and c


Environment: Impact on agro-ecosystem and beneficial non-target organisms (natural enemies of potential pests, pollinators, ants, earth worms, fish, etc.) Impact on aquatic organisms and wildlife Risk of unintended exposure (drift, spills) Persistence of the product (half-life) Behavior and toxicity of break down products

General: Adequacy of regulations Institutional ability to implement/enforce regulations Risks of unauthorised use (product or use are not approved by local regulatory authority) Risks associated with transport and storage

Reducing the risk of pesticides involves the development of measures appropriate to the scale, type and context of their use. Typically, these will include:

Use: Sufficient quantities of appropriate protective gear for pesticide users, taking into . consideration recommended replacement schedules Appropriate application equipment with spare parts Training in risk reduction including proper,use of protective gear and proper application of products Impact monitoring Where relevant, additional labels in the local language

Storage: Appropriate storage facilities (see below) Appropriate protective gear and materials for store keepers to handle emergencies Material Safety Data Sheets (product information with emergency instructions)

Treatment ofpoisoning: for products that may cause intoxication of users: * Training of relevant medical staff in recognition and treatment of poisoning cases

Antidotes for use at hospitals or health posts in the areas where the products may be used

~ i n i m u m requirements for a pesticide storage facility are: Impermeable floor; Adequate ventilation; Lockable door; Secured site; Location that does not pose specific health or environmental hazards (distance from homes, schools and water); Managed by store-keeper with knowledge about hazards, and capable of handling leakage and other emergencies; and Emergency materials and protective gear needed to deal with emergencies (including emergency plan, Material Safety Data Sheets for products kept in store, fire extinguisher, emergency shower for staff).


AND ACCESS TO RESOURCES

A Resettlement Policy Framework should be prepared using the following major sectio .6 : 1. Principles and Objectives ~ Describe the basic principles and objectives for resettlement under the Project. State resettlement objectives are to move (or deprive from resources) as few people as consistent with the requirements of subprojects, and that the general principles and of avoiding or minimizing resettlement, are to be followed in all acquisition of land or resources may be needed, and resettlement Demonstrate that the commitment is to ensure that affected compensated fully and fairly for their losses, and assisted livelihoods and standards of living or at least to restore in the Project and subprojects that may present special the resettlement will be done, in principle, so as to opportunities.

2. Legal Frameworks

Review the national laws governing the taking of instruments may come from many sources - land and water law, customary law or tenure legislation, urban construction regulations, constitutional guarantees of takings for public utility, and so on - make this section as extensive as is question. Set out the requirements of the process for taking land or Discuss discrepancies among the various legal instruments, if regulations may apply to different categories of affected of the Bank for resettlement that apply to the types of all gaps between national and Bank requirements, and

Example: Kalerian law pays compensation for housing overall structure, as is reflected in the World Bank requirespayment at market prices because building diference between market cost by the payment of a separate used by local oficials. Kaleria are not

land in one of the new government housing areas.


4. Eligibility Criteria for Various Categories of Affected People

3. Estimated Population Displacement an/d Categories of Affected People

Every effort should be made to estimate eventual displacement, in part to estimate budgets and to evaluate consultation requirements and potential challenges to Project staff. Different categories of those displaced may include, for example, those losing legal title and those without it, those losing lands or those losing housing or those losing both, those losing temporary access or those losing permanent rights, business or residential property. Describe the unit of analysis, whether "cases" (such as properties or fields), or households or individuals. Describe whether uniform approaches will be taken across all subprojects, and how records will be kept.

Example: Most of the displacement in the project will be caused by the addition of improved irrigation technology to the cultivation ofswamps. Those potentially losing land will be women who cultivate the swamplands individually or in groups, or young men who cultivate distant swamps to earn extra, personal income. Most are people whose origin is in the neighboring country, but some are also people of the local ethnic group in a given area The types of affected people and their approximate numbers is likely to be as listed below ....

Determine the method for setting a cut-off date for eligibility for compensation. Demonstrating that compensation will be paid only to those established in an area, or with certain kinds of assets, early in the Project will help to avoid a "rush" into areas that may come into the Project list of subprojects later. Such opportunistic invasions of possible subproject sites constitutes a major risk to Projects, especially where subprojects may be chosen from a very limited set of alternatives that become known publicly. Therefore, depending on the number, sequencing, and magnitude of subprojects, one or several rolling cut-off dates may be advisable. It must be determined in the ESMF how this will be accomplished, with minimum risk to the Project.

Set out the different categories of people that may be affected by subprojects, and show the types of losses such people may suffer, whether to land, income, rights of access, housing, water sources, proximity to work, and others, and including combinations (house and land, for example). Define the criteria that willl be used to identify the eligibility for compensation for each category of affected people., These criteria may include, for example, whether losses are partial or total, whether people have their own land or also rent land, and what happens when buildings are occupied by more than one business tenant or household. Make the criteria user- friendly, so that those applying the principles to subprojects "on the ground" will be able to quickly identify whether people affected are eligible for compensation, and how. Describe who will judge eligibility in difficult cases, for example by the use of neighborhood or village committees, or outside experts, and how such processes will work.

It may be necessary for country approval to define categories of people eligible under national law, and, separately, any others who must be compensated because of the requirements of World Bank policy. The unit of compensation may also need to be defined - individuals, families, collectivities (or all three, because some losses may be sustained by individuals, others by the community as a whole or by associations within it such as religious or farmers' groups). Some impacts may be defined as non-compensable, or as compensable with a generic payment - minor strips of land of a meter or two along a road to be widened in a non-farmed area, for example. Finally, cash payments may be more acceptable when losses conStitute a very small fraction of incomes, than when the income source (or residence plot) is so compromised that the entire


holding or structure should be replaced. Defining the treatment to be applied to the variations of all the main types of impacts eliminates the need to negotiate these subproject.

5. Valuing Affected Assets

Describe the borrower country's methods of valuing those assets that it deems eligible f r compensation, and those that must be compensated under the principles that meet the W rld Bank's policy requirements. Explain the methods for inventorying assets, assigning val es to each type of asset, and coming to agreements with each affected person or group on the otal profile of losses and compensation. Present, to the degree possible, an "entitlement mat ixy' (example below) which shows the types of affected people, the types of losses, and the rms and amounts of compensatory actions that will be taken for each type.

Example: Procedure for Valuing Compensation Entitlement

i A committee including elders, a government two villagers will visit the affected area. Each asset will be a register. Values for each types of asset will be person, and set against the type and number of sustain. The total compensation for that category of loss will be shown, and all losses shown as well. The inventory and evaluation will on the spot to the affectedperson. The form will say, and the notified: that the inventory will not be oflcial until a second project supervisory sta8 is returned to the afectedperson. grievance procedure will also be given to the afectedperson.

6. Organization, Procedures and Responsibilities \

Describe the process by which individual RAPS for subprojects will be prepared and su mitted to Project authorities, considered and approved, and how entitlements will be delivered. T is process must be integrated into the institutional arrangements and procedures used by th Project for managing the identification, preparation, approval and implementation of subproject (described in Section 2 of the ESMF). It is expected that extension teams, with Project aining,

the Bank, and how this will happen. Specify that RAPs must be:

1 will be able to adequately assist communities in preparing any required RAPS before su mitting their application, though specialized technical assistance may be required early in Projeot implementation or in more complex cases. Refer to more detailed guidance on preparing RAPs (Sections 6.2 and 6.3 of the ESMF). Specify whether some or all RAPs should be reviewed by

approved and disclosed to the public before overall subproject approval can be considered; and implemented before other subproject activities can begin.

State who in the overall Project organization will be responsible for resettlement, and wf.at facilities the overall resettlement officials will have available to them. If there is no unit or officer(s) with the training and job description to oversee resettlement issues, describe which such capacity will be developed, structured, and given authority. Provide 9 of the ESMF (Capacity Building, Training and Technical Assistance). In an TOR for such a unit or oficer(s) and describe interim arrangements until such functioning.


Partial Example: A unit with one resettlement oficer (RO) will be attached to each provincial project coordination unit. The RO will report to the provincial coordinator. During the first six months, a consultant will oversee resettlemqnt and train this oflcer.

Partial Example: Once a subproject is approved, compensation in kind or in cash will be completed before an afectedparty is required to move or give up ownership of or access to the asset in question. Where cash is to be paid, the dectedperson will be given a checkprovided he/she already has a bank account; ifnot, cash will be delivered at the district ofice of the Project.

7. Consultation with, and Participation of, Affected People

Describe how people affected by particular subprojects will be consulted throughout the process of preparing RAPS.

8. Schedule for Implementing Resettlemelrt Provisions

Set out the schedule by which resettlement will arise and be treated, both in terms of the overall management of the Project and the flow of subprojects.

Example: By effectiveness: project resettlement coordinator recruited. Month 6, resettlement oversight coordinator and staff in place, efective. Months 4-8, lower level stafftrained in use of screening and evaluation tools, and in community consultation methods. By end of month 12, report on subprojects with resettlementfor year I sent to Bank. For each subproject, resettlement items to be integrated into subproject calendar. Demonstration that no subproject to be accepted without completed land acquisition information and either RAP or statement that no RAP is needed. Schedule to show that no construction will take place where there is resettlement without entitlementspaid.

1 $4

9. Grievance Redress Mechanisms

Describe the mechanisms available to affected people for complaints about aspects of their 1 resettlement treatment. Show how the mechanism will be accessible (in terms of language,

fl distance, and cost) to affected people, and what recourselappeal from the local grievance bl mechanism may be available.

Bear in mind that most projects find it usehl to have a local mechanism which includes the peers and local leaders of affected people. Such mechanisms usually assure some equity across cases, they eliminate nuisance claims, and they satisfy legitimate claimants at low cost. Nonetheless, an ability to appeal such decisions to higher authorities and/or courts is also valuable, and in most cases prescribed by law.


Example: Resettlement Entitlement Matrix

AFFECTED

Loss of structure - residential or business

accommodation

on site)

ENTITLEMENTS Compensation for Loss of Structures

----

Compensation at full replacement value not depreciated

No loss ofstructure, no entitlement to housing at new site

----

Compensation at full replacement value for structure, relocation to resettlement site, with payment of site rent

Compensalion for Loss of I Compensation for Loss Assets I ofIncome Land replacement at new site, I Crops at market cost in plus land clearing by subproject

Fences (wire or wood) at $3/m Hand-dug wells at $200

Replacement cost for non- movables i f installation was agreed with owner Replacenzent costforfacililies that cannot be moved

Relocation to resettlement site of choice, with payment of rental fee for land. For crops, fences and wells - as above for

scarce season

For loss of rental income, lump sum payment o f6 months rent per tenant

----

For loss ofbusiness income, payment of half of turnover for 6 monlhs

owners Payments in lieu of wages while rebuilding t

Moving Allowance

Moving to be paid by subproject

Project-paid moving if notification before deadline Project-paid moving i f notification before deadline

Other Assistance

Food from WFP during constrtiction of new site Disturbance allowance of$I 00

6 months rent; equivalent for disturbance

----

Foodfronz WFP during construction of new site

Disturbance allowance of $ I00


10. Budget and Funding Arrangements

Estimate the overall costs of resettlement, including funds for general oversight. Show the sources of funds. Estimate the types and numbers of subprojects and a nominal resettlement budget based on an estimate of how many subprojects may involve resettlement. The ESMF budget (Section 10 of the ESMF) will include thelcost of carrying out, supervising and monitoring RAPS, but not the cost of resettlement compensation itself -- this would be included in the subproject cost.

It should not be dificult to estimate the budget required for "typical" subproject resettlement in relatively uniform sector investments, for example if all subprojects will be drainage schemes, or transmission lines. For projects where different types of subprojects may be selected with no prior knowledge of probable choices, or where only some fraction of subprojects may entail involuntary resettlement, estimating total costs may be more difficult. Nonetheless, a budget must be constructed so that it can be included in the overall ESMF and Project budget.

11. Supervision and Monitoring Arrangements

Provide an appropriate mechanism for supervising the effective implementation of resettlement, either as part of overall subproject supervision, or separately to affirm that the resettlement objectives for all affected people are achieved. Describe how subproject and overall Project resettlement activities will be monitored through the annual ESMF reviews (Section 4.5 of the ESMF). Show how the results of monitoring will be fed back into overall Project implementation. Where appropriate, set up monitoring checklists or templates to focus the work of local monitors.

Partial Example: NGO XY has agreed to serve as the resettlement and social benejit monitor for all subprojects in Province A. For resettlement, each six months the NGO will select a random sample of subprojects with resettlement, visit each, and report on the progress ofresettlement using the tools provided in the Implementation Manual. The results will be summarized in a report to the Project managers and the Bank which uses key performance indicators selected by the Project as reporting topics. Qualitative comments on resettlement progress will also be provided.


C10.2: RESETTLEMENT ACTION PLAN

A Resettlement Action Plan (RAP) should include, at a minimum, the elements outlined belJw1.

1. Introduction and Resettlement Problem

Describe the subproject and its location. Identify the executing agency and person(s) preparing the RAP, along with their qualifications.

Describe the subproject activities that will cause displacement and efforts made to people displaced. Describe the site and the services currently available.(schools, public transportation, health posts, markets etc) and their distance from the site.

2. Legal Framework

Provide a brief review of local laws, regulations and procedures on land acquisition and Where gaps exist between local laws and World Bank policy, describe the ways to

3. Survey Of Affected Properties, Families andlor Businesses I

Collect data to complete Tables 1,2, and 3 below.

Include additional information on dwelling value, willingness to be resettled, consultation rnketings, etc.

4. Impacts Caused by Displacement 2

Provide the necessary level of detail to capture the extent of the impact of displacement. At minimum complete Tables 4a and 4b.

b 5. Proposed Assistance to Resettled Families

Provide a detailed description of the types of assistance (e.g., compensation, resettlement to hew housing, assistance for relocation) to be provided to oustees. Also describe the terms of agreement w th oustees and the willingness of oustees to work with the discussed assistance and timetable. In additi n:

Describe how efforts will be made to restore o r enhance incomes;

I

otherwise in need of special assistance; Describe how access to services will be restored or enhanced;

.* Show how families or community groups will be preserved;

I Describe how special attention will be given to people who are aged, invalids, single mothers or

Describe measures to reestablish socioeconomic networks; and Describe possible impacts on host groups and measures taken to avoid rejection or other negative reactions.

Using Table 5 below, identify the solutions agreed to with each oustee. 1 '

I

Source: Simplrfying Safeguards: Addressing Environmental & Social Issues in Health Projects. W SMART (Draft 1Feb04)

I ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION

I I

6. Responsible Agency I

Provide the name of the entity that will be responsible for monitoring and implementation of activities involved in implementing the RAP.

I

I 7. Source of Budget and Cost Estimate I

Include the cost of land, housing, moving costs, administrative costs, moving allowances, and settle-in allowances.

8. Resettlement Schedule

Describe the resettlement schedule, including the activities involved, dates, and budget, along with ! pertinent comments. Include any follow up activities to assess whether oustees have been able to reestablish their livelihoods/living situation. This schedule should be tailored to correspond to the

I schedule for design and construction of the civil works, and should be presented as in Table 6 below:

i 9. Monitoring/Follow Up Activities

Describe how the responsible agency will follow up the implementation of the Plan and address activities

'I required to achieve the goals of the Plan. i

10. Evaluation

Describe how evaluation of the Plan will be conducted. No later than 6-12 months after the relocation date, the responsible agency should make reasonable efforts to locate and follow up on the relocated families to determine if they have been able to reestablish their livelihoods and living situation. If this is not the case for any or all of the persons relocated, further assistance should be provided by the responsible agency.

ESME TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION

Table 1: Property (Goods and Assets Affected)

Household number' r Business

number2 Comments I

I ' Households should be defined as commensal units i.e. people who eat out of the same pot. Business should be defined as any economic activity. "Partial" in cases where family/business can develop activities involving listed goods and assets; "Total" where activities cannot be developed as a result of displacement. If they are not owners, include the name and address of the owner.

Name of household head or business owner

I Table 2: Socioeconomic Characteristics of Families

Plot area

Household number1

Description of houses and constructions

Name of household head

Tenure status (titled owner, owner without documents, tenant, sharecropper, etc.)

No. of persons in household

Uses of the property (housing, economic activity, other)

Employment status of all adults

No. of

Level of effect (total, partial, minimum)'

No. of Sources of Place of students income work or

study and distances

Means of transport to place of study/workplace

Comments

Table 3: Socioeconomic Characteristics of Business

number business owner


Table 4a: Impacts Caused by Displacement (Households)

Household Number

Tab le 5: Agreed Solutions

Loss of land

Loss of hbuse Loss or decrease of income

Household or business number I Resettlement Solution Comments

Loss or difficulty of

access to educational

services

I I

Loss of access to health services

Loss of access to public services

Loss of social

networks

Comments


Table 6: Resettlement Schedule

Comments Activities Planning of census and surveys

Information to people affected

Conduct census and socioeconomic survey

Analysis of data and identification of impacts

Definition of assistance measures

Relocationlassistance

Follow-up Visit by Responsible Agency

Dates Budget


C l l : GUIDELINES FOR AN

An Lndigenous Peoples Plan (IPP) is needed whenever a proposed subproject might adversely affect an indigenous people (LP), and where an indigenous people can receive culturally compatible social and economic benefits from a subproject.

Objectives of an IPP:

An IPP demonstrates how IPS have been fully included in subproject planning, and how they will be included in subproject implementation. As needed, an IPP includes specific measures and approaches that will be taken to mitigate adverse impacts and ensure that IPS benefit from a subproject. A subproject negatively affecting an indigenous people must be appropriately redesigned to mitigate negative effects, or include an acceptable compensation plan; compensation cannot be a substitute for efforts to avoid or mitigate negative effects a subproject may have. The IPP forms a basis for subproject implementation, and for monitoring and evaluation of how the subproject deals with indigenous people issues. Specific components or provisions of the plan must be included in the subproject design, and the plan should address questions of sustainability of the proposed subproject as well as questions of its implementation.

Qualifications:

The person or group preparing an IPP needs to have demonstrated expertise in: Design, implementation, monitoring, and evaluation of physical development projects in developing countries, including their social, cultural and economic aspects; Specific knowledge and understanding of the indigenous people that may be affected by the subproject; and Community facilitation, conflict resolution and communications skills.

Scope of Work:

The following key issues need to be given significant attention in preparing an IPP: The legal recognition of ancestral domain and the traditional rights of indigenous peoples over land and resources; The recognized legitimacy of the indigenous social and legal institutions of indigenous peoples; and Recognition of the right of indigenous peoples to direct the course of their own development and change.

An IPP must take into full account the desires and preferred options of indigenous people affected by a subproject. Important aspects of IPP preparation include:

There must be adequate lead time and arrangements for extending follow-up, especially in dealing with indigenous people in remote or neglected areas where little previous experience is available. It must be based on the informedparticipation of the indigenous people themselves. Thus, identifying local preferences through direct consultation and incorporating indigenous knowledge into subproject approaches are essential for subprojects that affect an indigenous people and their rights to natural and economic resources. To ensure this approach is


effective, the early use of experienced specialists to advise on subproject preparatio is important. The process of preparing an IPP should include capacity building for indigenous pe ple communities and organizations to facilitate and support their effective participation n the subproject development processes. I Studies should make all efforts to anticipate adverse trends likely to be induced by subproject and develop the means to avoid or mitigate harm, and, if necessary, for adverse effects. Existing institutions, local organizations, and non-government organizations with responsibilities or expertise in matters relating to indigenous peoples must be consulted if appropriate, involved. Local patterns of social organization, cultural or religious belief, and ancestral territory resource use need to be taken into account.

Subproject activities should support viable and sustainable production systems well adapted to the needs, local environment and environment of indigenous should help production systems under stress to attain sustainable levels. The plan should avoid creating or aggravating the dependency of indigenous subproject, and instead promote self-reliance among these people.

and,

and

t'lat are pecples, and

people on a


C 12: GUIDELINES FOR A DAM SAFETY ASSESSMENT

Purpose and Scope of Work:

The purpose of the dam safety assessment is to prepare a reconnaissance-level assessment of quality management of a dam or weir, and of the reliability of the water source. The work will involve initial and wrap-up meetings with personnel responsible for the d d w e i r ; a field examination; and a Dam Safety Report of findings and recommendations. If deemed necessary, the report will provide terms of reference for more thorough follow-up activities to identify (to feasibility level with cost estimates) the investments and other measures needed to ensure the safety of the damlweir. ,

Qualifications of the Dam Specialist:

The work will be carried out by a Dam Specialist (DS) of suitable independence from the ownerloperator of the d d w e i r , and who has not been associated with the design, construction, and operation of the dadweir. The DS will have appropriate qualifications and substantial experience with the design, construction, operation and maintenance of dams; especially in developing countries.

Investigations of Operating Conditions:

The ownerloperator of the darntweir will provide the DS with the following information: a) Construction year, first impoundment;" b) Dam size: height (m), crest length (m); c) Reservoir size (m3); d) Dam type; e) Estimated population downstream that would be threatened by dam failure; and f) Estimated replacement cost.

The DS will discuss with the owner/operator past and current O&M practice with particular reference to:

a) Existing records;, b) Maintenance logbooks; c) Instrumentation and monitoring; d) Emergency preparedness; e) O&M resources (human and financial); and f) Status of reservoir sedimentation and measures to prolong the life of storage (reservoir

conservation).

Investigations of Structural Conditions:

Depending on the type of dadweir, a suitable checklist for the inspection activities will be used. Inspection details are left to the DS who will carry out the task, however the inspection report should contain the following information:

a) Construction year, first impoundment; b) D d w e i r size: height (m), crest length (m); c) Reservoir size (m3); d) DZm-l type;

Dam Safety Report:

The DS will produce a Dam Safety Report that includes: Description of the damlweir, ownership, and regulatory framework. Dam safety assessment according to international standards (ICOLD).

prolonging the life of storage facilities. Resources needed for reliable O&M (human resources and recurrent costs).

measures (structural and non-structural). Terms of reference for the preparation of feasibility studies for any required reh


e) Geotechnical aspects of foundations; f) Design flood return period (years); g) Availability of as-built drawings; h) Spillway reliability assessment; i) Bottom outlet reliability assessment; j) Seepage; k) Deformations, settlements; 1) Conditions of slopes/concrete structures; m) Active storage (m3); n) Estimated population downstream that would be threatened by dam failure; and o) Estimated replacement cost.

Investigations of Regulatory Framework:

The DS will: Discuss with relevant authorities (regulator, line ministries, utilities, etc.) the ex regulatory framework for d d w e i r safety; Compare the existing regulatory framework, in a matrix format, with comments necessary, to the "essential elements" identified in the World Bank publication "Regulatory Frameworks for Dam Safety - A Comparative studym1; Identify opportunities and constraints to the achievement of the "essential elem

' D. Bradlow, et al. (2002) "Regulatory Frameworks for Dam Safety - A Comparative Study" T Bank Law, Justice, and Development Series. ISBN 0-82 13-5 19 1-5.

sting

as

nts"; and If judged feasible, develop terms of reference for an action plan aimed at achiev'ng the 1 "essential elements" in the national context (priorities, institutional reforms, inc ntives, enforcements, etc.)


C13.1 Getting the Most out of the Participation Tools

C 13.2 Community Mapping

C 13 23 Action Planning

C 13.4 Historical Timeline

C 13.5 Gender Division of Labour

C 13.6 Present and Future -.

C 13.7 Level of Satisfaction Matrix

C 13.8 Ranking Matrix

C 13.9 Stakeholder Analysis Diagram

C 13.10 Transect Walk

C 1 3.1 1 Performance Measurement

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION ~ I

Hand over the marker, pen or stick to community members! One the marker or pen to stay in the hand of the facilitator and not get community members. Make sure that the marker, pen or stick is in the hands of participants so they can have the freedom to express themselves directly. Also the pen or stick is not monopolized by one or two participants, and that turn to provide input.

GENERAL POINTS . Some of these exercises may be new to people, and there can be reluctance to partic

There is no one 'correct' way to use these tools. They can be adapted as needed. P be as creative as they like with these tools and adapt them to local needs, ideas, context.

An 'appreciative' approach allows a community to identify what is working they want more of. It has often been found to gain more energy and 'problem-focused' approach that identifies what is not working well what needs to be fixed. This can sometimes be over-whelming and demoralizing fo community members. In using these tools, think about asking the to build on what has worked well in their community. You can

Sources part of the Sourcebook. approach and a planning process called 'Appreciative Inquiry'

.pate by

Don't rush community members through using any of these tools. Their results will e better if they take the time they need. b

some people due to a lack of self-confidence. The more encouraging you are as a fa ilitator, the more success they will have with using these tools. c

It is important to keep in mind that these tools are not an end in themselves or a exercise to produce diagrams and matrices for the project proposal. They are a introduce and sustain dialogue, input, transparency, and partnership throughout and to build capacity among a cross section of community members to plan, monitor and evaluate community activities and projects together.

As project developer, I have a lot of information that is accurate about the Why don't I just fill out these exercises myself? The purpose of these tools is the 'right' answer from the community, but to engage the community in the they share ownership and responsibility for it. As project manager, you place to put the well or road but if community members don't agree, succeed. The tools will assist you in exploring their issues, in planning and decision-making, and in coming up with community's perspective and knowledge into account community.


Most people in my community haven't gone beyond primary school in their education. Won't these tools be too difficult for them to understand? Many of these tools were first developed in rural Kenya and India with non-literate communities using symbols and drawings instead of words. As a facilitator, you should practice using the tools yourself, and how you will explain them. The more comfortable you are with these tools, the easier it will be for you to facilitate their use by both literate and non-literate participants.

People in my community are very busy, especially the women. How will they have time to do these exercises? Ask them. They will tell you what the most convenient times are for them to take part in project planning activities. If they think this project is useful, they will probably want to participate in the planning if they are asked. Meetings may need to be held ' in the evening or on weekends. It may be necessary to hold a series of shorter meetings instead of expecting community members, especially women, to be available for longer stretches of time. In some cultures, women may feel more comfortable if it is a woman facilitating the exercises, or if they have the oGportunity to meet separately from the men.

RISKS AND LIMITATIONS One of the risks of using these tools is they can raise unrealistic expectations which, if not fulfilled, can result in disappointment. To avoid this, be clear from the start what stage the project is at. For example, if funding has not been committed yet, say so. Be clear with community members what expectations you have of them (e.g. that they will attend several meetings to plan the project, etc.), and ask them what their expectations are of you. It is helpful to do this at every step along the way to prevent misunderstandings and to come up with common expectations.

Using these tools to get community members engaged in the project process can take more time than having one or two people involved in planning the project. This can be a problem if tight deadlines are involved. However, there may be more to be gained from taking the time and developing greater community commitment to the project.

Sometimes the person facilitating the exercise may not be seen as neutral by the participants. In such situations, participants may give answers or opinions that they think the facilitator is looking for. Noticing this problem calls for a high degree of self-awareness from the facilitator. When it seems to be happening, a wise facilitator will ask someone else to facilitate that particular group.


C13.2: COMMUNITY MAPPING

Community mapping involves community members in drawing maps of their resources, land use, structures, institutions and associations.

WHY DO IT?

Mapping can provide insight into the use of land and other resources, identify import landmarks, different socio-economic groupings, access to resources, relationships and within a community, and so on.

When monitoring and evaluating project activities, maps drawn mid-way through or of the project can be compared to the community maps from the planning phase to the project has affected the community.

The issues raised in discussions during the mapping can provide important input into a project.

WHO DOES IT? ~

planning

Community maps should be done by various members of the community so that perspectives and issues are captured.

Women, men and children may identify different land use and resource issues. Also, people from different social status and background may have differing perspectives, ideas and i sues. I

Identify people who have an interest in or may be affected by the project - for exam le, women from a certain neighbourhood, shopkeepers in the area, farmers from the same community, and children who play in the proposed project area. I

An advantage of mapping is that literacy is not a requirement to draw a map. Symbols simple drawings will do.

HOW DO YOU DO IT?

Ask them if you can meet with them to gain their input into planning the project. Us markers, pens and paper or chalk, or a stick on the ground, ask them to draw a map of community. Map as a group or as individuals -- whatever is more appropriate.

and

If they are drawing a group map, ensure that the markerlstick is circulated so that a chance to add their perspective. You want to avoid the mapping being dominated or a few individuals.

The idea is not to draw a perfect cartographers map, but to use the map drawing exer ise as a chance to gain further understanding of the community and the context for the project. E

The discussion part of the mapping is very important. After the map has been drawn1 you can start asking questions relevant to the project, such as "The community wants to build a well/school/clinic. Where would you put it on your map and why?" "Where is waste now? Where would the waste from the new food processing project be disposed of?" mentioned that these roads are washed out in the rainy season, where would you see new road and why?". The discussion points can be recorded on the map or can be separate sheet.


Maps not drawn on paper should be copied onto paper. You will also want to ask the community members if they want to keep their original copy for themselves. The maps and the information from the discussion can then be used in a community meeting that brings together the findings for the next steps of planning the project.

WHAT DOES IT LOOK LIKE?

Below is a map drawn by women in a village in Guatemala to identify land uses in the community for the planning of a forestry project.

Source: Analisis de genero y desarrollo forestal. Manual de capacitacion y application, Modulo I , FAO, Guatemala, 1977: 24-25

In planning a project, Action Planning can be used to develop and record the actions to achieve specific results. It should be used in combination with the Present and Futur exercise. The resulting plan can also be used for monitoring and evaluation.

Action Planning has community members identify what they want to move from situation), to (future situation), and the specific steps necessary to take them there. Present and Future helps with the overall vision and strategy for a project, Action details of specific action steps required to achieve the future vision.

WHY DO IT AND WHAT TO DO WITH THE RESULTS?

Action Planning allows community members to reflect on, discuss, and record action steps are, who will do them, and when. It provides a common plan so that "who will do what by when" is clear to all. Building an action plan together promotes accountability and transparency, and helps a community generate more project.

The action plan becomes the common document that project stakeholders can all It can be used at meetings (i.e. weeklylmonthly community meetings) to follow the project, and to keep track of what has been done and what still needs to be done. may need to be revised as the project develops, new information becomes situations arise.

WHO DOES IT?

Action Planning should be done by a group representing a cross section of the com unity - those likely to be directly involved in implementing the action plan, those that will direc ly benefit from the project, and others in the community who will be directly affected by t e project. I

Women, men and children may identify different actions that need to be carried people with different social status and backgrounds may have differing issues. They should all participate.

Literacy is useful in this exercise to best capture the details of the plan. drawings and symbols can be used to illustrate actions, note who will do this way, the plan is also accessible to illiterate community members.

HOW DO YOU DO IT?

Action Planning is best done once the community members have completed the Future exercise. They have thoroughly discussed the current situation and the have a common vision of what they are working towards. They have also help them get there, and what obstacles they might need to overcome.

Ask members from the community if you can meet with them to gain their input int the project planning. The group should include those mentioned above (those directly affec ed by the

exercise, and so on).

4 project, those who will implement the action plan, those that took part in the Present an Future 9

Write the following headings of the action plan on different pieces of paper: a From: (Current situation)

Transition Actions: (What needs to be done to get to our desired future?)


Who Will Do It? By When? To: (Desired future situation - what will be the result of the actions?) Progress: (What has happened with this activity? Notes on status/result)

These headings are then posted on a wall or laid out on the floor.

Going back to the Present and Future exercise, have the group come up with a statement that describes the present situation. This gets written on another piece of paper and posted under the 'From' column. The group then comes up with their statement of what their future situation would look like and this goes under the 'To' column.

Then ask the question: "To get from the present to the future, what are all the steps that need to be taken?" The group discusses all the activities that need to take place. As they come up with them, they are written down on slips of paper. Once the group is satisfied that they have all the actions necessary, they sort them in the order that they should be taken. These now go in the 'Transition Actions' column.

The next step is to identify who will be responsible for each step, and the date when each step should be completed. People can volunteer themselves fiom the group or make suggestions of who would be appropriate. Suggestions have to be confirmed with the individual suggested. This information goes on more pieces of paper in the other two columns: 'Who Will Do It?' and 'By When?'. The 'Progress' column will be filled in as information about actions and their results becomes available.

When the exercise is complete, and the group is happy with the results, the information on the wall or floor is transcribed onto one or a series of sheets. This is the draft action plan.

To ensure that everyone is satisfied and committed to the action plan, it is important to consult with other community members who weren't able to attend the initial meeting. ,Then have another meeting to finalize the action plan (see sample below). This final plan can be prepared as a handout and distributed to everyone who took part.

Now, the action plan is likely to change over time in response to changed circumstances, ideas, and other factors. Action plans usually must be adapted as experience is gained from actual project implementation. Changing an action plan should always involve community members with an interest in a project. Though it may change, an action plan should always remain a guide for how to proceed from where the community is now to where they want to be in the future.

The action plan can be used at community meetings to review and monitor the progress of a project. Someone should be designated to update the 'Progress' column of the action plan, and .enter any changes in actions, dates, and so on. Up-to-date copies of the action plan should always be available to any community members who want them.


SAMPLE ACTION PLAN FOR COMMUNITY WATER HARVESTING PROJECT

From: Food shortages in community due to lack of irrigation for crops

Transition Actions: Meet as a community to discuss possibility of water diversion and identify who wants to be involved and form community committee; identifjr community members with specific skills (i.e. engineers etc) Draw community map to identifjr where diversions could

Meet with Engineer from the Ministry of Public Works and Agriculturalist from Conservation International to do a transect walk to obtain technical advice Carry out Present and Future exercise with community and Conservation International Agriculturalist, identifjr main environmental concerns and goals, and then develop environmental action plan

Who Will Do It? P.J. to invite community members

B.H. to invite members

P.J. to invite Engineer and Agriculturalist and confirm date with members

B.H. to coordinate with Conservation International, P.J. to invite committee and community members

February 10 7 (February 15, planned) March 1 - actual

(February 16 planned) March 2 - actual

To: Water diversion scheme that brings water to the community, increases access to water for irrigation, and increased crop yields

Progress: Community Water Harvesting Committee formed - 30 members; vote held for Chair of committee (B.H.), secretary (P.J) and treasurer (K.P); volunteers with engineering experience identified

Maps completed and stored with P.J.; list of technical, environmental and economic feasibility questions generated from discussions Engineer and Agriculturalist only available together on March 1. Meeting held and initial design sketched out and erosion mitigation plans developed

Carried out Present and Future exercise. Created vision for environmentally sustainable irrigation. Main issues were erosion prevention and training in irrigated agriculture practices. Action plans were created for both issues, however only 10 people attended (no women). Need to hold another general session (March 5), a session for women only (March 1 O), and final session to consolidate all input

I (March 15).


From:

scheme plans drawn and develop budget for project

Transition Actions: Get initial water diversion

work with Engineer from Public Works and volunteer engineer from communitv

Who Will Do It? B.H. and K.P. to

planned - revised to March 15

identify various funding options for scheme; ii) oversee implementation; iii) develop an operation and maintenance plan; and iv) develop an environmental management

( Form 4 sub-committees to: i)

plan Bring plans and budget to committee for discussion, approval, decide on funding option, develop implementation plan, and operation and

( P.J. to coordinate I February 28 [ meeting of committee to review progress of action plan and

, establish sub- committees

Sub-committees to coordinate meeting

planned - revised to March 15

revised to March 2 1

maintenance plan I I Begin implementation plan. 1 Sub-committees to I March 2 1 -

( ~ e e t weekly as a committee to 1 report back I revised to I

operational. Community Water Harvesting Committee to host

follow-up on progress. Water diversion scheme

coordinate celebration

B.H., K.P., P.J. to

1 community celebration 1


A historical timeline records and analyzes important events that have taken place ov&r time. It involves community members identifying and recording significant events in the histo community. These can be social, political, environmental -whatever may be individuals and community involved.


Constructing a historical timeline can help establish a record of events. It gives insi ht into what has been important to the community, patterns in resource management, environm ntal changes over time, involvement of government or other donors in the community, and s on. This can provide important background for understanding and analyzing the current si ation in the community. 1

The issues raised during the discussions when creating a historical timeline can pro ide background and baseline information important for the planning of the project. This in rmation, and the timeline itself, can be included in the project application document. h

When monitoring and evaluating project activities, commlinity members can dray 4 timeline of the project and look at what activities have taken place, when decisions were made, d what has happened in the community as a result of the various activities.

WHO DOES IT? 1 Historical timelines should be done by various members of the community so that di ferent

perspectives on events and issues are captured. f Women; men and children may identify different events as being important. Also, p ople of

different social status and background may have other perspectives, ideas and issues. E ders in the community can often bring a longer term perspective important to environmental an social changes that have occurred. I

Literacy is not a requirement to participate in a historical timeline exercise. simple drawings will do. In this case, the facilitator can write additional notes ensure that the participants' meaning and interpretation of the symbols is

HOW DO YOU DO IT? ~ Ask them if you can meet with them to gain their input into planning the project. U ing

markers, pens and paper, or chalk or a stick on the ground, draw a line and mark the cu ent year at one end and other marks at intervals of one or two years. Go back twenty years, or 1 nger if desired. See the example at the end of this sheet. Ask them what events (social, politic 1, economic, environmental etc.) took place over the past years that were significant to the'r community. When they start naming them, ask them to mark on the timeline what took place and when, in words or symbols. 1

Identify people who may have an interest in or may be affected by the project - for women from a certain neighbourhood, shopkeepers in the area, farmers fiom the same community, children who play in the proposed project area.

Often this is done as a group so that people's ideas can build on one another. It is that the marker stick is circulated so that everyone has a chance to add their

8 June04 61

example,

ESMF TOOLKIT: PART C - RESOZTRCES FOR ESMF PREPARATION

person or a few individuals must not dominate the exercise. Ln some places it may be appropriate to have a group of women meet on their own to do their timeline to ensure their voices are heard.

The idea is not to have a complete and perfect historical record. Use the timeline creation exercise as a chance to gain further understanding of community perceptions and context for the project. What is left off the timeline can be an interesting comment on what the community sees as significant.

Discussions about the timeline are very important. While the timeline is being created, you can start asking questions relevant to the project such as: "Do you see any patterns of how the community dealt with drought?", "Why was building the road such a significant event?" "When did other donors stop coming to the community and why?" The discussion points can be captured on the timeline drawing or noted on a separate sheet.

Timelines not drawn on paper should be copied onto paper. You will also want to ask the community members if they want to keep their original copy for themselves. The timelines and the information from the discussions can then be used in a community meeting that brings together the findings for the next steps of project planning.


The Gender Division of Labour exercise involves community members in collecting and analyzing information about which work is done by women, and which work is done by men.


This exercise helps community members plan a project through dalyzing what labour is carried out by men, and what is done by women. The exercise can reveal the different uses of time in the community, and help clarify expectations about who will take on what roles in a project.

It can also help identify who will be most concerned by a certain project activity, and therefore who should be more involved in the design and planning of that activity. For example, if the exercise reveals that only women are involved in water collection and storage, their input will be essential in designing a new community water system.

The Gender Division of Labour exercise can also be useful in monitoring project activities. After it has been carried out while planning a project, it can then be used during implementation and later to see how the use of time by men and women has changed. If there is an undue increased burden on either men or women, this could be discussed during community project meetings. Ways to address the problem can then be identified. T

Issues raised during discussions when the exercise is being carried out can be included in the project application document, as well as copies of the matrices or diagrams.

When evaluating project activities, the same exercise can be carried out and compared to the original baseline exercise. Perhaps one of the goals is to reduce the amount of time women spend collecting water., This exercise can be very valuable in helping to track that expected result over time. - WHO DOES IT?

The Gender Division of Labour exercise should be done by various members of the community so that different perspectives and issues are captured. Women, men, girls and boys can often have different roles and perspectives on how their time is spent. Also people of different social status and background may have their own perspectives, ideas and issues.

Literacy is not a requirement to participate in this exercise. Simple drawings and symbols can be used to illustrate the different tasks.

How DO YOU DO IT?

Identify the people who have an interest in or may be affected by the project such as women from a certain neighbourhood, or farmers from the same community.

Ask them if you can meet with them to gain their help in planning the project. Depending on the nature of the project, have them list the tasks associated with project activities, for example, collecting water for household use or taking animals for watering. Using this list, put two columns beside it, one for women and one for men (see example below). Additional columns for girls and boys can be added if needed.

Ask each individual to think about how the work is divided for each of these tasks in their household. Give each participant the same number of pebbles (e.g. beans, short sticks - whatever

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION I

is handy) per task and ask them to divide the pebbles according to how much time men +d women in their household spend on that task. Be sure that everyone is using the same n mber of pebbles per task. When everyone is finished, ask them what they noticed about the resu ts. Other questions to ask are: "How does this breakdown of work between men and women affe t the

addressed?"

I project?" "Will the project add extra workload for men or women?" "If so, how should this be

Another way to look at the gender division of labour according to time use is to have men and women in a group draw a circle. Use the circle as a "pie chart" of their day, and I

according to the activities that they take part in (again, see sample bebw). The 1

I

then examine this collection of individual pie charts, and discuss the patterns they see in how men and women use their time. This on what time of the day community members are available for project activities.

These exercises can work with men and women meeting in separate groups, or with household meeting together. It can be very effective to have men and women discuss to how the gender division of labour will affect a project.

Drawings that are not made on paper should be copied onto paper. You the community inembers if they want to keep their original copy for themselves. The and the information from the discussions can then be used in a community meeting together the findings for the next steps of planning. It also provides a useful evaluating how the gender division of labour changes during the life of a project.


The Present and Future exercise (also known as Force-Field Analysis) involves comdunity members in drawing what their current situation looks like and what they would like to future situation to look like, perhaps five years from now. They also identify what will get to their desired future situation, and what obstacles they will have to overcome.

WHY DO IT AND WHAT TO DO WITH THE RESULTS? ~ The Present and Future exercise can help build or validate a common vision, and ide ti@

issues to be addressed and resources to draw upon to realize that vision. n It may reveal that there are differing visions in the community of what people

see happen with a particular project. It is useful to recognize these differing what the common interests are and how the community can achieve these

The information in the drawings of the present can be used as baseline information project proposal. The information in the drawings of the future can be used as the visio project, and help define the specific goals the project is seeking. The information on help to achieve the desired future, and what the obstacles are to be overcome, can be defining the project strategy and activities.

Issues raised during the discussions when the exercise is being carried out, and are presenting their work, can provide important input into the planning of the project. information can be included in the project application document, along with copies drawings. ,

When evaluating project activities, the same exercise can be carried out. Communi members draw the situation at the beginning of the project and where they are at now ( id-way $ or at the end of a project), and identify and discuss what impact the project has had on t e community. They can then identify what helped the project to get where it is now, what some of the obstacles were and how they overcame them, and what the community still has to w rk on to achieve their vision. 1

The Present and Future exercise should be done by various members of the commu ity so that different perspectives and issues are captured. 1

Women, men and children may identify different issues in their current situation an vision of the future. Also, people of different social status and background may have perspectives, ideas and issues.

Literacy is not a requirement to participate in this exercise. Simple drawings and can be used to illustrate the current situation and the desired future.

HOW DO YOU DO IT?

Identify the people who have an interest in or may be affected by the project, for example, women from a certain neighbourhood, shopkeepers in the area, farmers from the same community, and children who play in the proposed project area.

Ask them if you can meet with them to gain their input into planning the project. U ing markers, pens and paper, or chalk or a stick on the ground, ask them to draw a picture o what :


their community looks like now. They can work as a group or as individuals -whatever is most appropriate. Ask them to think about what they would like their community to look like five years from now, or whatever time period is appropriate. Have thkm draw this picture next to their picture of the present while leaving a large gap between the two pictures.

Once they are satisfied with what the future should look like, ask them to start thinking about what will help them get there, and what might hold them back and what they will do about that. Ask them to note these in the gap between the two pictures.

1f they are drawing as a group, ensure that many markerslsticks are circulated so that everyone has a chance to add their perspective. The process should not be dominated by one person or a few individuals.

The idea is not to draw a perfect picture, but use the exercise as a chance to clarify and ,

discuss the current and desired future of the community, and to talk about how to make that happen. The goal is for the group to clarify a common vision, and to begin to plan how to get from where they are to where they want to be.

The discussions that take place as the exercise is being carried out are very important. After the drawings have been made, you can start asking questions relevant to the project, for example: "From what you have drawn, what is the most important change you would like to see in your community and why?" "In your vision of the future, you have women raising chickens. Why did you choose that activity?" "In your vision of the future you have a village tap for drinking water. Who would you see looking after the operation and maintenance of this tap?" "For the road to the market that you drew in your future vision, what resources exist already in the community to build such a road?" The discussion points can also get captured on the map or can be noted on a separate sheet.

Drawings that are not made on paper should be copied onto paper. You will also want to ask the community members if they want to keep their original copy for themselves. The drawings and the information from the discussions can then be used in a community meeting that brings together the findings for the next steps of planning.

ESMF TOOLKIT: PART C-- RESOURCES FOR ESMF PREPARATION

The Level of Satisfaction Matrix has community members rate their level of satisfaction about something in their community such as services from the health centre, quality of water, the road, and so on. The community members build the matrix themselves. They establish the various criteria they want to use, and then vote on their level of satisfaction according to these criteria. This can be done as a group, individually, by men or women separately, and also anonymously if desired.


The Level of Satisfaction Matrix is a tool that gives community members a chance to express their views on a service, activity, or issue in the community. The information from these matrices can be used for community discussions in planning a project. The criteria that the community selects for their matrix provides useful planning information about what is important to the community, and can identify planning issues that need to be taken into account.

The Level of Satisfaction Matrix can also contribute to evaluating what is currently available in the community. For example, how satisfied are they with waste disposal? It can be used to look at potential options when planning a project. For example, what is their level of satisfaction with choices between different water supply systems?

The matrices can be used in a project application document, and as a baseline record (e.g. community level of satisfaction with water quality) for checking on progress with aproject.

While a project is on-going, a matrix can be used to evaluate project activities and results, and as a discussion tool at community meetings to monitor and evaluate progress, and look at what is working well and what needs to be improved upon. This information can be fed directly into on-going project planning and improvement,

WHO DOES IT?

The Level of Satisfaction Matrix should be done by various members of the community so that different perspectives and issues are captured. .

Women, men and children may identify different criteria that they think are important to evaluate. Also, people of different social status and background may have their own perspectives, ideas and issues to contribute.

Literacy is not required to participate in this exercise. Simple drawings and symbols can be used to identify the criteria and the levels of satisfaction. However, they need to be accompanied by an explanation so that everyone uses the same matrix consistently.

HOW DO YOU DO IT?

Identify the people who have an interest in or may be affected by the project, and ask them if you can have their input into plahing the project.

Introduce what you would like their input about (e.g. waste disposal) and why (i.e. to develop a community project). Draw an empty matrix (see example below) and, down the left side, fill in the symbols for level of satisfaction -- a happy face, neutral face and sad face. The matrix can be drawn on a large sheet of paper on the ground with a stick. The matrix sill be completed with markers or stones as appropriate. Use whatever materials are easily available.


Ask the participants what the most important considerations are for them about issue. For example, for waste disposal, they might come up with some of the should be far away fiom living quarters, well maintained, not near water recycling system. These become the criteria that go at the top of the matrix columns.

Once the participants are satisfied with the criteria they have chosen (usually 4-5 is nough), and are clear about the meaning of each one, ask them to rate their level of satisfaction or each criteria. This can be done by passing around a marker and have each person take their , or by

markers or stones when they rate their level of satisfaction.

i each person getting as many stones as there are criteria and filling in the matrix with th ir stones. ei To see whether men and women have different opinions, they can be given different colour

Always ask the group if they would prefer to do this exercise anonymously. If so, t can be set up to the side away fiom the group and they can take turns providing their individually.

The discussions that take place as the exercise is being carried out, and afierwards group analyses the results together, are very important. Afier every member of the taken part in the exercise, you can start discussing the results together with does this matrix tell you? Why do you think most people are satisfied with think most people are dissatisfied with . . . .. ?" You can also ask questions criteria where chosen and how they should be considered in project planning.

If the Level of Satisfaction Matrix is being used for evaluation, you can ask the gro improvements can be made where there is dissatisfaction, and what accounted for a satisfaction when this is the case.

Matrices that are not made on paper should be copied onto paper. You will also the community members if they want to keep their original copy for themselves. and the information from the discussions can then be used in a community together the frndings for the next steps of planning.

ESMF TOOLKIT: PART C - RESOZrRCES FOR ESMF PREPARATION

The Ranking Matrix allows community members to decide on preferences, and make choices between various options, using criteria that they develop.


The ranking exercise could be useful when the community must make a choice together for something they will use in common, for example choosing between various water systems like hand-pump, foot-pump, and tap. A ranking matrix assists the community to take into account criteria that are important to them so that their choice can reflect their various needs.

A ranking matrix can be used in project planning to look at different options for project activities, purchases, decisions, and so on. It can be used in environmental analysis to determine which issues are important to address, and to compare different mitigation measures when they are necessary.

When the ranking exercise can be carried out with members of the community, the criteria chosen and the results provide important information for'project planning. Matrices and notes from the discussions can be included in a project application document.

WHO DOES IT?

The Ranking Matrix should be completed by various members of the community so that different perspectives and issues are captured.

Women, men and children may identify different criteria that they think are important to evaluate. Also, people of different social status and backgrounds may have differing perspectives, ideas and issues.

Literacy is not a requirement to participate in this exercise. Simple drawings and symbols can be used to identify the criteria and the items or issues being ranked (see example). However, - they need to be accompanied by an explanation that is consistent for all that use the same matrix.

How DO YOU DO IT?

A good time to use this exercise is when a community is faced with some choices or decisions regarding their project - for example, among different mitigation measures to go in their Environmental Management Plan.

Draw on the diverse group of community members that have an interest in or may be affected by the project. You may have been working on project identification with them, and perhaps they have already participated in a Present and Future exercise. Ask them if they can assist you with ranking some choices regarding the community project.

Introduce what you would like their input about, for example choices regarding reforestation options. Ask them to brainstorm a list of various options that have been raised in community exercises and discussions. It may also be helpful to invite a resource person with some technical expertise in the subject to join in the exercise. Draw an empty matrix (see example) and, down the left side, fill in the various options that the group has come up with. The matrix can be made using a large sheet of paper and markers, or by tracing it on the ground and using stones to fill it in.


Now ask them to list all the considerations they need to take account of when choo ing the

of the matrix columns.

s best option, for example low cost, low maintenance, and so on. List these criteria across the top

Once the participants are satisfied with the criteria they have chosen and are clear about the meaning of each one, ask them to rate each There are different ways of doing this. It can be done first as giving each choice a rating out of 5 for each criterion. Each then this is added up to give an overall rating. It can also be

when they do their ranking.

discusses each option and comes up with a group opinion whether the criteria is option (see example). Markers, pebbles or whatever is available can be used. men and women have different opinions, they can be given different colour

Always ask the group if they would prefer to do this exercise anonymously. If so, can be set up to the side away from the group and they can take turns providing their individually.

The discussions that take place as the exercise is being carried out, and afterwards the group analyses the results together, are very important. After every member of the gro p has taken part in the exercise, you can start discussing the results together with questions li e: "What does this matrix tell you? What is the choice that fills the most criteria?" You can also discuss

planning.

I why the criteria the group chose are so important, and how they should be considered i project n

Matrices that are not made on paper should be copied onto paper. You will also want to ask the community members if they want to keep their original copy for themselves. The m trices and the information from the discussions can then be used in a community meeting that brings together the findings for the next steps of planning. I


EXAMPLE RANKING MATRIX TO SELECT TREES FOR A COMMUNITY WATERSHED MANAGEMENT PROJECT

ESMF TOOLKIT: PART C -RESOURCES FOR ESMF PREPARATION 1 I

The Stakeholder Analysis Diagram is a tool that is particularly useful at the project to identify all potential stakeholders -the people who have an interest affected by a project -- and the relationships between them.

The exercise involves community members creating a visual potential stakeholders. Using the diagram, they also indicate the stakeholder groups and people. They discuss and analyze how these taken into account in the project, and how they can be included in decision-making, leadership, sponsorship).

WHY DO IT AND WHAT TO DO WITH THE RESULTS? I

Carrying out a stakeholder analysis is an important early step in planning a project 40 that all potential stakeholders are identified, and how th\ey will included in the project is discus ed. If only a few community members, representing only one or two groups are involved in t e project

held in the community, and that community ownership of the project will be minimal.

4 planning, there is a risk that the project will not take into account the diverse opinions a d ideas n When this exercise is done by a cross section of individuals and organizations, it is ossible

to develop a more complete idea of who the various stakeholders are and what the relati nships are between them. The exercise may reveal that there are different views of how strong or how important the relationships between the various stakeholders are. This will be importan information to consider and discuss during the planning and implementation of the proj ct. i

The stakeholder diagrams, and the analysis of the information in them, can be used planning meetings to clarify roles and relationships in the community.

In projects where improving relationships between stakeholders is important, initial stakeholder analysis diagrams are useful baseline information. They can be redone at of the project to see if there have been any changes in the relationships between the over the course of the project. ,

WHO DOES IT?

The stakeholder analysis exercise should be done by various members of the comm ensure that the whole range of potential stakeholders is included in the analysis, and different perspectives on their relationships are discussed.

Women, men, children and representatives from different organizatiops may identifii different ideas about who has an interest in or will be affected by the project, and the re1 between these people or groups. Also, people of different social status and backgrounds differing perspectives, ideas and issues.

Literacy is not a requirement to participate in this exercise. Simple drawings and sy/nbols can be used to illustrate the various stakeholders. ~ HOW DO YOU DO IT? 1

Identify an initial group of those that have an interest in or may be affected by the pr example, women from a certain neighbourhood, shopkeepers in the area, farmers from community, children who play in the proposed project area, and local officials.

ESMF TOOLKIT:P ART C - RESOURCES FOR ESMF PREPARATION

Ask if you can meet with them to gain their input into the project planning. Ask the group: • Who might be affected, positively or negatively, by the proposed project? Who are the

representatives of those who are likdy to be affected? • Who are the "voiceless" for whom special effort may be needed to ensure they are included

in project planning? • Who is likely to support the proposed project? Who is likely not to support it?

Using cut-out circles of various sizes, ask the group to choose a circle and mark down the names of these different groups, organizations or individuals on the circles. Ask them to choose the size of circle according to how important that gro~p,organization, or individ~al is in the community. \

On a large piece of paper, put the proposed project in the centre (see example). Ask the participants to arrange their circles wi~h the different stakeholders according to the amount of contact each has had with the proposed project so far, and with each other. This may mean that circles will overlap. The advantage of not directly drawing the circles onto the paper is that with cut-out circles, participants can move the stakeholders around as they discuss the relationships. After the discussion, the circles can be glued or taped down to finalize their diagram.

The participants may have different perspectives on how important the various stakeholders are and their amount of contact. These discussions can raise interesting points to be cons.idered in planning the project. You can also ask the participants: "Who needsto be included in the project planning?"

The same exercise should be repeated with other groups in the community, including the ones that emerge on the diagrams as the initial exercise is carried o,ut. This is to allow a more comprehensive analysis of who the project stakeholders are, and what their relationships are to each other, the community, and the project.

The idea is not to come up with one perfect diagram, but to encourage the community to think about who needs to be involved. Use the diagrams as a guide to who should be included in planning the project. .

Copies of the Stakeholder Analysis Diagram can be included in the project applicatipn document as a record of who will be involved in the project.

The stakeholder analysis can be a handy reference guide for who to. invite to various phllming activities. It may also be useful during Action Planning to look at all the various resource groups and people in the community who can assist with the project.

For evaluation purposes, the stakeholder diagrams can be reviewed mid-way through or at the end of the project by project participants to see if the relationships betweenthe different stakeholders have changed, or if new stakeholders are now involved inthe project.

8]une04 76

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARATION .

EXAMPLE STAKEHOLDER ANALYSIS DIAGRAM

8June04 77


C13.10:TRANSECT WALK

WHAT IS IT?

The Transect Walk is a tool that can be used at various stages of a project. Community members walk through their community and their project site (or proposed site when used at the planning stage), and collect information on issues related to the community and the project through direct observation and discussion with others in the community.

Transects usually involves asking questions, and pointing out and mapping what is being seen: different land use and vegetation zones, local markets, community service centres, schools, and so on. A transect is usually a straight cut through the community, and tries tocover as many of the ecological, production, and social groups of the community as possible. Often, several transects are carried out to get a complete picture of a community.

WHY DO IT AND .WHAT TO DO WITH THE RESULTS?

Often planning takes place in the confmes of a meeting place or room. The Transect Walk gives community members a chance to take· stock of the current physical, environmental, social and economic si~ation in their commul}ity, and how a particular project may affect the community, through direct obserVation and discussion.

This exercise may reveal that there are differing visions in the community of what people would like to see happen with a particular project. If so, it is useful to discuss what the common interests are, and how the community can achieve these through the project or other means.

Issues raised during the'discussiQns while on the transect walk, aIld when the group meets afterwards to discuss their findings, can provide important input into the planning of a project. This information may be useful to include in the proj~ct application document.

When evaluating the project activities later on, the same exercise can be carried out again. Community members walk through the community and project site observing, asking questions, and discussing how the project has affected the community - socially, environmentally, economically, and so on. They can then identify what helped the project to get where it is now, what obstacles remain and how they are being overcome, and what the community still has to work on to achieve their vision.

WHO DOES IT? .

A transect walk should be done by various members of the community so that different perspectives and issues are captured.

Women, men and children may observe different things, identify different issues, and raise different questions about a project. Also, people of different social status and backgrounds may

. have differing perspectives, ideas and issues.

How DO YOU DO IT?

Identify the people who have an interest in or may be affected by the project. For e;x:ample, women from a certain neighbourhood, shopkeepers in the area, farmers from the same community, children who play in the proposed project area, government officials.

. . . Ask them if you can meet with them to gain their input into planning the project, and to build

an understanding of the benefits and problems a project may bring to the community. Depending on the size of the community, a mixed group of 12-15 people at. a time works well.

8June04 78

ESMF TOOLKIT: PARTe - RESOURCES FOR ESMF PREPARATION

Have the group brainstorm on what they might want to learn more about on their transect walk - for exampl~, potential environmental effects of the project, who might be personally affected both positively and negatively, where is the best site for project works and activities, and why. The group should then be divided into smaller teams (e.g. 4 teams of 3-4 people) with as much diversity as possible on each team (e.g. a man, a woman, an elder, a youth) so that different perspectives are represented on each team.

Each team is then assigned to do their transect walk in a certain direction (e.g. north, south, east, west) so that each covers a different part of the community. Each team takes the brainstormed questions as their guide to whatthey are goingto look outfor, and collect information about, through observation and talking to people along the way. The teams can take pens and paper with them in case they want to record information or make maps or drawings. Transect records can take a variety offorms depending on the skills of the participants. For example, they may be just notes on specific locations, simple maps with notes on them, or more detailed 'cross sections' with different kinds of information noted for· each part of the transect (see example). Depending on the size of the area to be covered, the teams agree to meet back at a certain time (e.g. 2-3 hours later) to share what they learned on their transect walks.

The teams then meet as a group and share what they learned. This information can be mapped out on a large surface in order to get the full picture of what came out of the transect walks. Some information can be grouped together if certain themes start to emerge.

The reSUlting information will give the community more knowledge to work with in planning the project. For example, it can help with choosing a project site(s), identifying environmental concems,raising waste disposal issues,and identifying other issues that the project should focus on. After discussing the results of the transect walks, the community may decide they are ready to move on to another phase of project planning. They may decide that an environmental action plan is necessary, or thatthey are now ready to do a Present and Future exercise to start to build a common vision for the project.

8June04 79

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREP ARA TION

EXAMPLE TRANSECT WALK THROUGH MBUSYANI,KENYA

SOCU\L.~te ~

. fCOO CAof'5

&,CCISE.,.IJ&U N!.P s-.

~~IIUS> =M50 SClilllfoti>~""'" ~ .

Source: National Environment Secretariat. Participatory Rural Appraisal Handbook: Conducting PRAs in Kenya. 1991:21.


C13.11: PERFORMANCE MEASUREMENT

WHAT IS IT?

In managing a project,.a Performance Measurement Framework (PMF) can be used to systematically collect infomiation for performance monitoring, to learn from experience, and to report on results. The PMF will help you track the achievement of results.

To develop a PMF, community members identify indicators that tell them how they will know they have achieved the results they are looking for. The PMF records what these indicators are, what the data sources are for these indicators, what methods will be used to collect the data and how often, and who will be responsible.


It is important for a community and people involved in a project to "be able to assess whether or not their efforts are achieving the results they want. A 'PMF can be used in combination with the Pr.esent and Future and Action Planning exercises. The Present and Future exercise helps . identifY the long term vision for the project, and some of the medium and short term results the community is looking for. Based on these desired results, Action Planning helps to clarifY what activities need to take place, by wh()m and by when, and to' track progress of the activities.

The PMF builds on the action planning by including indicators for the various results in order to measure progress towards them and not just the completion of activities. As the project progresses, community members can record their results by measuring the indicators they have chosen.

The PMF becomes the common document that project stakeholders use to monitor results. It can be used at semi-annual meetings to discuss the results so far, to clarify what has been learned, and to decide on any changes that need to be made to improve progress. These meetings would differ from weekly or monthly.project meetings where the focus would more likely be on activities.

It may be helpful to invite a donor to the semi-annual meetings so that they can learn about the results the project is achieving. The results that the PMF tracks can also be shared in reports to donors.

WHO DOES IT?

A PMF should be developed by a group representing a cross-section of the community -people likely to be directly involved in implementing the action plan, people who will dir1ectly benefit from the project, and others in tbe community who may be affected by it.

Women, men and children may identify different ways to measure results. Also people with ·different social status and backgrounds may have differing perspectives, ideas and issues. They should all participate.

Literacy is useful in this exercise to best capture the details of the framework. Howe,rer, simple drawings and symbols can also be used to illustrate indicators, note who will measure them and when. In this way, the framework is also accessible to illiterate community members.

How DO YOUDO IT?

Building a PMF is best done once the community members have completed the Present arid Future and Action Planning exercises, or as part of the action planning.

8June04 81

I

I

I I .1

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREP ARA nON

Askmembers from the community if you can meet with them to gain their input into a project monitoring plan that will help you all keep track of what results you are a,chieving. Thegroup should include those mentioned above.

• • • •

•

•

. ,

Write the following headings of the PMF on different pieces qfpaper: Results: What will be achieved in the short, medium and long-tenn? Activities: What needs to be done to achieve the results? Reach: What group(s) are affected by or benefit from the results? Performance Indicators: What is the evidence that will help measure progress toward achieving each result? Data Sources and Collection Methods: Where to get the data for measuring the indicator,and what method will be used? . Frequency and Responsibility: How often will the information be collected, and who is responsible for collecting it? "

These headings are then posted on a wall or laid out on the floor.

The first step in building thePMF is to clarify and breakdown what results the group wants to 'achieve with the project. Often a 5-year time frame is used when planning projects, however this may vary according to ,circumstances. Going back to the Action Planning exercise, the group can use the "To" statement to. start from and determine: i) What isthe long-term result that they would like to see achieved in 4-5 years? ii) What is/are the medium-term result(s), or outcome(s), that need to'be achieved in the next 2-3

years in order to 'achieve the 10hg-term result? . iii) What are the short.:termresults, or outputs, that heed to be achieved in the, next 1-2 years in

order to achieve the medium term results and therefore contribute to the long-term result.

To simplify: the group may want to work with one long-term result, one or two medium-term results, and two or three short-term results. This can be modified according to the needs of the group. Each of these results can be recorded on aseparate piece of paper as the group starts to build the PMF.

The second step is to record the activities that need to take place in order to produce the shortterm results. These should already be identified in the action plan document, but the group may

. want to revi~e them if they have had more time to think about and discuss them. The activities' can also be recorded on pieces of paper and added to the framework they are building on the wall or floor. The group should also record the 'reach' of the project - that is, who are tl"\e groups affected by or benefiting from the tes!llts?

The third step is to identify indicators for each ofthe expected results. "An indicator is a pointer, measurement, a number, a fact, an opinion, or a perception that helps you to measure, progress towards achieving results."l

There are both quantitative and qualitative indicators. "Quantitative indicators are measures of quantity such as the number of women in decision-making positions, percentage of children ' attending primary school, or the level of income per year. Qualitative indicators are people's judgements and perceptions over a given situation or subject. Examples inclu~e: do poor women feel more empowered, quality of schooling, satisfaction with training or the perception of wellbeing by the local populatiori.,,2

Each indicator should be directly related to the result being measured. A maximum of three, indicators per result, ensuring both a quantitative imd qualitative indicator and one other, should

1 Guide to Gender Sen~itive Indicators, CIDA, 1996 2 The Basics ofRBM as Applied to the Six ODA Priorities, CIDA, 2000

8June04 82


be sufficient to measure progress. It is also important to make sure indicators take into account gender, class, and ethnicity. For example, in Latin America where there is a significant indigenous population, it may be. important to see how results. are affecting a given ethnic group as distinct from the rest of the population. By collecting data that is specific to gender and class, a community will be able to measure how their results are affecting a particular group.

Once indicators are decided upon, the next step is for the group to determine what are the sources of information (e.g., individuals or organizations) for these indicators, and how the information should be collected (e.g., from existing statistics, interviews, surveys, etc.). Once this is decided upon, the group can decide how often they need this information collected and who will be responsible. It will be important to do a first round of datacollection before the project starts so there will be a "baseline" to compare project results to.

When the exercise is complete, and the group is happy with the results, the information on the wall or floor is transcribed onto one or a series of sheets. This is the draft PMF.

To ensure that everyone is satisfied and committed tothe.PMF, it is important to consult with other community members who weren't able to attend the initial meeting. They may also be able to give ideas about indicators and data sources. The PMF can then be finalized, perhaps at another meeting. The final PMF can be prepared as a handout and distributed to everyone who took part. An example PMF for the Fiadanana livestock production case study is given on the next page.

Now, the PMF can be a used to track progress towards results, and as the basis for discussion and decision-making at semi-annual and annual meetings about the project. If the donor requires periodic reporting, the PMF, as it is filled in, will give up to date information on progress towards results.

8June04 83 .


EXAMPLE PERFORMANCE MEASUREMENT FRAMEWORK LIVESTOCK PRODUCTION IN FIADANANA

Results: Performance Indicators: Data Sources and Frequency and What will be achieved? What is the evidence that will help measure Collection Methods: Responsibility:

progress toward acltieving each result? Where to get the data How often will the Jor measuring the . information be indicator, and what collected, and who is method will be used? responsible for

collecting it? Long-term impact (4-5 years): • Family incomes

~

• Statistics • Beginning,

• A stronger and more diversified local • Number of youth finding employment in the collected by local middle and end of economy county council for taxation project by FCAC

• Fewer youth leaving for work in the .. purposes

city Medium-term outcomes (2-3 years): • Number of farmers using crop residue for • Survey of • Annual survey by

• Increased animal use of crop residue fodder - farmers in project Ministry of

• Increased use of neighbouring fallow • Number of hectares used for grazing area Agriculture

land for grazing purposes • Number of head of livestock per farmer • Land use survey • Annual mapping

• Increased number of farmers raising • Level of satisfaction of farmers with raising using community facilitated by

livestock livestock mapping FCAC

Short-term outputs (1-2 years): • Number of new water pumps • Survey of local • Annual survey

• New pumps at water sources • Number of drinking water sources protected community and community

• Expanded fencing to protect drinking by fencing • Community map map by FCAC

water sources • Number of complaints about drinking water

• Communal livestock sheds contamination

• Training for farmers and youth • Level of satisfaction with drinking water quality

• Level of satisfaction with training program Activities: What needs to be done to achieve the results? Reach: What group(s) are affected by or

benefitfrom the results?

• Farmer committees formed, needs identified, action plan developed and implemented • Farm families

• Youth committees formed, needs identified, action plan developed and implemented • Youth

• Establish credit program for community water pumps, fencing and livestock

• Establish training program on livestock and water management

8June04 ·84


C14: RESOURCES SHEETS

C14.l Small-Scale Animal Husbandry

C14.2 Small Dams and Reservoirs

C14.3 Small Irrigation Schemes

C14.4 Rural Water Supply and Sanitation

C14.S Rural Roads

C14.6 Solid Waste Management

C14.7 Community Forestry

C14.8 Small-Scale Aquaculture

C14.9 Leather Processing

C14.1 0 Food Processing

C14J 1 Community Healthcare Facilities

C14.l2 Structures and Buildings

C14.13,Small Scale Agriculture

30June04

CONTENTS:

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ESMF TOOLKIT: PART C - RESOURCES EOR ESMF PREPARATION

C14.1: SMALL-SCALE ANIMAL HUSBANDRY

. SCOPE OF PROJECTS

Small-scale animal husbandry can be on a coinm~rcial basis using intensive stall-fed operation~, extensive rangeland grazing, or a mixture of the tWo. It can also involve mixed farms, traditional pastoral systems or nomadic herding. A variety of animals may be included: cattle, sheep and goats for meat or milk; pigs, poultry and other farmyard animals; camels and draught animals. Land, a supply of feed and water, and often buildings and fencing are required. It can involve farming equipmentthat must be fueled, maintained and operated. Cultivating feed may entail the use of agro-chemicals (fertilizers, herbicides and pesticides), and drugs may be used in maintaining animal health. Products inclUde meat, milk and hides as well as manure and liquid waste. Manure, liquid waste and agro-chemicals may be washed into ground or surface waters.

ENVIRONMENTAL CONCERNS

Human Environment • Human settlements near the project • Existing landuses to be displaced/converted (e.g. forestry reserves, recreational areas) • Human health

Animal pests and diseases transmitted to humans in the water supply, insects, edible vegetation, and directly .

. Chicken, pigs and other animals close to households • Animal production using wastes (crop by-products and residues) • Sensitivity of local popUlation

Land tenure system Security of livelihoods Traditional livelihoods (e.g. tribal people) Cultural values . Gender division of hibour

Natural Environment • Forests and wilderness areas (areas relatively undisturbed by human development) proposed to be

cleared to create grazing land Habitats for indigenous animal species Number and variety of plant and animal species Important environmental services (e.g. control of erosion, recharge groundwater) Livelihood of indigenous peoples . Vulnerable to the pressures of population growth, landlessness and economic development SustainabiIity: cleared moist tropical lowland forest areas are likely unsustainable for animal production and susceptible to irreparable land degradation

• Vulnerability of arid and semi-arid (marginal) lands to overgrazing and soil erosion • Areas supporting critical habitats or rare, ecologically or commercially/domestically important plants

and animals . • Qther areas of special concern, officially designated or recognized nationally andiorirtternationally • Environments already significantly degraded • Soil structure and productivity

Vulnerable to inappropriate stocking, stocking densities or extended grazing periods Soil improvement with manure

30June04 86

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• Wildlife Competition for natural fodder Persecution and hunting of wildlife by farmers

• Waterbodies and hydrology Change in infiltration and runoff rates, overall volumes, and timing Degradation of water quality through erosion and release of agro-chemicals

\ POTENTIAL ENVIRONMENTAL EFFECTS

Human Environment • Human health hazards

Introduction of diseases to humans and contamination of water supplies for human use by animal manures and urine Pollution and environmental disruption from inappropriate use of agrochemicals

•. . Transformation of indigenous (sometimes communal) tenure systems and organizations

Soil and Vegetation • . Degradation of vegetation due to

Too many animals and overgrazing, possibly as a result of stock . improvement measures Excess harvesting of fodder and forage resources Decrease in favoured fodder species and increase in inedible weedy species

• Increased soil erosion due to Clearing and degradation of vegetation Trampling and loosening of soil Animal paths scarring hillsides and triggering erosion, sediment-laden runoff and, possibly, ,gully formation

• Increased rapid runoff due to

30June04

Vegetation clearing . . Soil compaction diminishing infiltration capacity

\ MITIGATION MEASURES

87

• Collect and store manure for composting and later application to fields .

• Keep manure and urine away from household areas and waterbodies

• Consider using a bio-gas system • Provide protective clothes to minimize

danger to field workers applying agrochemicals

• Avoid overuse of fertilizers • Apply herbicides and pesticides at

recommended times and doses • . Consider integrated pest management

• Comprehensive community participation and attention to rights and needs of all groups

• Limit animal numbers • Control length of grazing time and

succession of use on particular areas Rotational grazing Deyelopment of dry-season grazing areas

. and grazing reserves • Mix animal species to maximize use of

vegetation resources • Reseed and produce fodder •. Use cut-and-carry feedfrom elsewhere • Restrict animal access to unstable areas (e.g.

by defming,and fencing-off critical slopes) • Use soil erosion control measures (e.g.

reforestation, reseeding of grasses, land preparation, terracing)

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, I POTENTIAL ENVIRONMENTAL EFFECTS

- Deterioration of soil fertility and physical characteristics due to

Removal of vegetation Increased erosion Soil compaction

Water Points -Degradation or depletion of vegetation and

soil around water points - Too much use of surface andgroundwater

sources results in reductions in surface flow and the water table

- Lowering of the immediate water table and degradation of local vegetation through drilling wells and use of boreholes

- Aggravation of the effectof droughts through pOOl: planning, placement, management and control of water points

Water Quality - Increased muddiness of surface water

courses due to soil disturbances from grazing and increased soil erosion

- Contamination of surface and groundwaters ~- and negative effects on wildlife, vegetation, crop yields, aquatic ecology. and wildlife -- by agro~chemicals used to control pests and diseases

- Contamination of water supplies from leaching or runoff of animal urine and manures

Wildlife - Displacement or reduction of wildlife

populations by loss of habitat - Disruption of migratory stop-over points - Competition for food and water resources • Increased poaching and killing of wildlife

. considered as pests or predators to animals, or as human food sources

• Introduction of diseases to wildlife

. 30June04

I MITIGATION MEASURES

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- Place water points strategically to spread the effect

• Develop many small-capacity water sources • Control use of water points (animal numbers'

and time of year) • Fence off permanent water sources when

temporary pools and streams are available • Limit well capacity by choice of

technologies (e.g. handpumps or buckets instead of motor pumps)

- Use biological pest controls before .chemical controls to reduce adding toxic residues to the environment

- Choose agro-chemicals that are species- . specific, with short active period and low impact on other plants

-. Choose appropriate spraying measures and timing to minimize water pollution

• Fence offwaterbodies from grazing animals

• Plan and implement range management. strategies (choice of species, animal numbers, grazing areas) that minimize adverse effects on wildlife and avoid excessive competition

• Rehabilitate degraded-areas nearby as wildlife habitat

• Investigate management of wildlife ranching which will help protect wildlife resources

• Consider wildlife ranching, tourism and controlled hunting as alternatives to animal production


I POTENTIAL ENVIRONMENTAL EFFECTS

Animal Processing • Degradation of surface waters by effluents ,

. with high biochemical oxygen demand (BOD), chemicaloxygen·demand (COD), and suspended and dissolved solids

• Introduction of diseases to humans through bacteria in discharge effluent

• Land degradation through inappropriate disposal of solid wastes on- or off-site

• Damage to aquatic ecosystem and water supply quality from equipment washing detergents

• Human health· effects within the facility Unhygienic work conditions Spread of animal diseases to humans

• Attraction of predators and scavengers

I ENVIRONMENTAL STANDARDS

• . National environmental standards and controls concerning the use and application of agro-chemicals

• Alternatively, internationally recognized standards (e.g. World Health Organization)

Sources: EC sectoral Environmental Assessment Sourcebook (1993) World Bank Environmental Assessment Sourcebook (1991)


• Liquid and solid waste disposal or treatment to prevent contamination of water supplies by effluent from tanneries, abattoirs and other animal processing facilities

• Proper management of animal processing facilities to reduce health impacts

Institute hygienic work practices· Ensure adequate refrigeration Clean machinery Implement an operational health and safety programme Monitor for changes in human health and water quality

I ENVIRONMENTAL QUALITY INDICATORS

Pollution • Concentrations of pollutants in air and

surface and groundwaters • Concentrations of suspended sediments in

, surface waters • Noise levels

Environmental Health • Variety and numbers of plant, animal and

bird species (degree of biodiversity) • Extent of critical habitats

Human Wellbeing • Incidence of human arid animal illness or

disease • Poverty levels

Field Guidelinesfor EA of Rural Credit Loans in Viet Nam (2000)

30June04 89

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. ESMF TOOLKIT: PART C- RESOURCES FOR ESMF PREPARATION

C14.2: SMALL DAMS AND RESERVOIRS

SCOPE OF PROJECTS

Small dams and reservoirs can have many purposes, for example to provide water for irrigation, water supply and aquaculture, to control erosion or floods, and to generate micro-hydropower. They may involve relatively low structures (weirs) to divert water to other uses without creating a reservoir. Higher structures raise water levels. andfloodland upstream, and can significantly alter the timing and perhaps temperature of downstream flows. The latter may require resettlement of people, land clearing, and the relocation of roads. Structures that divert water to other uses reduce downstream flows with consequent effects on surface and groundwater hydrology, aquatic habitats, and watenusers. New roads to access dam and reservoir sites can have their own environmental effects (see RuralRoads resources sheet)

Even small dams can have complex and significant environmental effects. Planning and design need to be comprehensive and thorough, and will likely involve specialists in a variety offields (e.g. engineering, hydrology, aquatic ecology, soil and water conservation, sociology, economics);


Human Environment • Human settlements above, in. and below the dam and reservoir area:

flooding ·of homes, agricultural land, roads, and areas of traditional or cultural importance 10calliveIihoods downstream water uses. such as irrigation, water supply and aquaculture traditional or commercial fisheries

• Human health: creating habitats fOr disease carriers 'such as mosquitoes and snails increases in water-related diseases such as malaria, schistosomiasis (bilharzia), onchocerciasis (river blindness), dysenteries, fevers and worms

• Increases in farm animal diseases

Natural Environment • Aquatic environments:

Blockage offish migration and access to spawning areas; fish population decreases downstream . Altered timing, quantity, quality and temperature of downstream water flows, and thus the quantity and quality of aquatic habitats Reduced nutrient-rich sediments in the released water Altered rates and locations of bed and bank erosion and deposition downstream

• Reservoir area: Conversion of aquatic species from those that require flowing water to those that need still water, and effects on dependent fisheries . Siltation of reservoir if erosion rates in the upstream watershed are high Loss of important hab~tats and numbers and variety of aquatic species

• Terrestrial environments: Raised water table and lowered agricultural productivity beside the reservoir

30June04 90

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Human Environment • Loss of productive land (e.g. agriculture,

grazing, forestry) • Displacement of people and families • Loss of local livelihoods

• Reduction· of water available to downstream water users

Human Health • Creating habitats for disease carriers such

as mosquitoes and snails ' • Increases in water-related diseases such as

malaria, schistosomiasis (bilharzia), onchocerciasis (river blindness), . dysenteries, fevers and worms

Natural Environment (General) • Loss of natural areas, important habitats,

and number and variety of species (biodiversity) .

30June04


• Consider alternatives to a new dam and· reservoir, for example:

Upgrading and renovating existing water supply and irrigation systems . AlternateJocations and/or dispersed, smaller dams in less sensitive areas

. Watershed improvement program to enhance retention of precipitation in soils (see below)

• Compensate for taken land and structures, and resettlement (including re-housing" reestablishment of livelihood activities, water and sanitation, training)

• Avoid areas of significant economic or cultural value to local people

• Ensure that downstream water users (e.g. water supply, irrigation; livestock watering) are partners in planning the dam and mitigation! compensation measures

91

• . Assess the ecology of disease carriers in the watershed

• Employ suitable prevention and mitigation measures, including education of local people and construction workers, e.g.:

Ensure all construction sites, borrow pits and· quarries are properly drained Finish and manage reservoir margins for proper drainage V ary the reservoir water level Proper design and operation of dam spillways and gates (timing and volume of discharges)

• Monitor disease and public health indicators, . during and after construction, and take corrective measures (e.g. education, medical) as needed

• Avoid: Protected natural areas Critical habitats or areas with significant biodiversity (e.g. wetlands)

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I POTENTIAL ENVlRONl\'IENTAL EFF,ECTS

• Threatened water source(s) for the reservoir (e.g. siltation, evaporation losses)

Aquatic Environment - River/Stream • Reduced or altered timing, quantity,

quality and temperature of downstream water flows. ...

• Altered rates and locations of bed and bank erosion and deposition downstream

• Reduction in quantity and quality of aquatic habitats and fish production

• Reduction/loss of downstream subsistence or commercial fisheries

• Blockage of fish migration and, access to upstream spawning areas by dam; decreases in fish populations downstream

Aquatic Environment - Reservoir • Conversion of aquatic species in reservoir

from those that require flowing water to those that need still water, andresulting effects on fishing activities

• Deterioration of reservoir water quality

30June04


• Assess state of the watershed, and plan and implement appropriate water conservation program, perhaps including:

Watershed improvement measures (e.g. revegetation, reforestation, afforestation, controlled use) to reduce erosion and increase infiltration ofprecipitation Training to ensure effective tending of improvement measures (e.g. watering, protection from grazing) Agricultural methods that maximize soil moistme conservation (e.g. mulching, terracing, contour cropping, maintaining soil cover)

• Ensure thorough analysis and assessment of potential impacts to develop and plan, as part of the project, an acceptable combination of:

water releases required to sustain habitats and fish production habitat improvements to sustain production and fisheries development assistance to people dependent on reduced fisheries

• Consider .altemate dam locations and . possibility of fishway around dam

.. Assess fish production potential of reservoir, and implement feasible measures to enhance production (e.g. habitat design, stocking, aquaculture) .

92

•. Provide development assistance to local people to benefit from reservoir fisheries

• Provide areas for bathing, laundering, and animal watering away from reservoir

• Ensure local sanitation facilities do not release pollutants to sUrface or groundwaters reaching the reservoir

• Prevent livestockaccessto reservoir

I

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF P~PARATION

POTENTIAL ENVIRONMENTAL EFFECTS

• Deterioration of reservoir water from: Decomposition offlooded vegetation Nutrients in eroded soils and agricultural fertilizers

Terrestrial Environment • Raised' water table around the reservoir,

waterlogging and salinization of soils, and lowered agricultural productivity


• National legislation on protected areas (natural, cultural and built environments)

• National legislation on protecting natural resources (e.g. fish, wildlife, forest cover)

• International environmental conventions (e.g. heritage, wetlands)

• National water quality standards and controls

• National controls on use o(fertilizers, pesticides and herbicides

• Health and safety standards for construction activities

Sources:

I MInGA nON MEASURES

• Clear vegetation from reservoir area before flooding

• Train farmers in soil and water conservation, and in appropriate use of fertilizers

• . Project support to improve agricultural land drainage and production around reservoir

• Develop tolerant fodder and crop species around reservoir

I ENVIRONMEl'."'TAL QUALITYINDICA1'ORS

Pollution • Fish deaths • Concentrations of suspended sedirnents and

contaminants (e.g. pesticides)in surface waters and reservoir .

• Reservoir oxygen levels

Environmental Health • Degree of biodiversity (numbers of plant, fish,

animal, and bird species) in the watershed • Extent of critical habitats

Human WeI/being • Incidence of human and animal illness or

disease • . Poverty levels

Environmental Screening of NGO Development Projects for Small Dams 1 Reservoirs (CCIC 1990/91) EC Sectoral Environmental Assessment Sourcebook (1993) .

30June04 93

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C14.3: SMALL IRRIGATION SCHEMES

SCOPE OF PROJECTS

Small irrigation schemes can serve a few families or an entire community. They can. invo lve new irrigation.for existing rain-fed agriculture, the development of uncultivated areas, and change sor expansions to existing schemes. Water may be pumped from lakes, ponds or underground, or be diverted from streams or rivers I. Pipes, channels or ditches carry the water to farmers' fields where it is distributed to crops by gravity on the soil surface, by hand, or by other means .

. Irrigated agriculture involves .complex soil-water-plant relationships, and should not be undertaken. without thorough, informed planning, even at a small scale. While the benefits of irrigation can be obv.ious and. impressive, the adverse environmental effects can be significant, long-term, and perhaps permanent.

The most significant environmental issues with small irrigation schemes concern threats to human health anp soil productivity. Health effects arise from stagnant water in canals, ditches or fields that provide tiabitatsforwater-bornedisease carriers. Losses of soil productivity result from over-irrigatioIl or poor soil drainage. These lead to waterlogging and salinization of the soils, and a reduction or complete loss of their usefulness for cropping. Salinization is the build-up of mineral salts. in the soil as water evaporates from the soil· surface.

E~'VIRONMENTAL CONCERNS

Human Environment • Concerns about:

Community management relationships Land tenure system Sequrity of livelihoods Gender division of labour

• Health effects of water-borne diseases and infections, and agro-chemicals • Conflicting demands on surface or groundwater supplies

Natural Environment • Groundwater supply for other crops and vegetation • Quality of surface and groundwaters receiving excess irrigation water; or drainage carrying nutrients,

agro-chemicals, salts and minerals .

• Soils: Waterlogging

. Salinization Erosion

• Wetlands affected by irrigation or drainage, and threats to their environmental services, biodiversity, and ecological productivity .

1 For diversions, see Small Dams and Reservoirs resources sheet

30June04 94



Human Environment • Upsetting existing social all:d economic

community management relationships, land. tenure system,' security of livelihoods" and gender division of labour

• Conflicting demands on surface or groundwater supplies

Human Health • Creating habitats in canals and ditches for

disease carriers such as mosquitoes and snails responsible for spreading diseases such as malaria and schistosomiasis (bilharzia)

• Spreading infection and disease through the iriappropriate use of irrigation canals for water supply, bathing or human waste disposal

• Health effects from improper storage, handling, use or disposal of agro..,chemicals (pesticides, herbicides)

, 30June04


• Avoid sites that require: Resettlement Displacement of other important land uses, or Encroachment on historical, cultural, or traditional use areas

• Locate and size irrigation schemes: Where water supplies are adequate and the scheme will not conflictwith existing human, livestock, wildlife or aquatic water uses, especially during dry seasons ' So that withdrawals do not exceed "safe yield" from groundwater resources

• Encourage crops with lower water demands • Ensure effective community organization for

equitable distribution of water '

• Assess ecology of disease carriers in the project area, and employ suitable prevention and mitigation measures, e.g.:

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, Site and orient water works, fields and furrows to ensure adequate natural drainage of surface water '

'Use lined cani'lls and pipes to discourage vectors A void unsuitable gradients, and creating stagnant or slowly moving water Construct straight or only slightly curved canals Install gates at .canal ends to allow complete flushing Ensure adequate sub-surface drainage of fields ' Avoid over-irrigation Maintain water works, and clear sediment and weeds,·regularly

• '. Provide/ensure alternate facilities for domestic water' supply; bathing and human waste disposal

• Provide education and training for farmers and other commllnity members on:

Irrigation health risks Efficientuse of irrigation water Maintenance of irrigation and drainage works

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARA nON

I POTENTIAL El\'VIRONMENTAL EFFECTS

Soils • Waterlogging

• Salinization·

• Erosion

Water Bodies and Aquatic Ecosystems • . Loss or damage to wetlands and their

environmental services, biodiversity, and ecological productivity

• Reduced quality of surface and groundwaters receiving excess irrigation water or drainage (nutrients, agrochemicals, salts and minerals)

30June04

·1 MITIGA nON MEASURES Proper storage, handling, use and disposal of agro-chemicals Integrated pest management

• Monitor disease/infection occurrence and public health indicators, and take corrective measures (e.g. physical changes to irrigation scheme, ed¥cation, medical) as needed

• Thoroughly assess project soils and their management needs under irrigated agriculture

• Apply water efficiently. Consider drip or dawn/evening sprinkler irrigation.

• Install and maintain adequate surface and subsurface drainage

• Use lined canals or pipes to prevent seepage

• A void waterlogging (above) • Mulch exposed soil surfaces to reduce

evaporation • Flush irrigated land regularly • Cultivate cr~ps having high tolerance to

salinity

• Design and layout of furrows appropriately • Avoid unsuitable gradients • Avoid over-irrigation • Install sediment traps in fields and canals to

capture sedimentfor return to fields • Minimum tillage, contour cropping, terracing

and other methods of conserving soil moisture

• Avoid

96

Locating irrigation schemes on or near important wetlands Developing irrigation water sources that may reduce wetland water supply Draining irrigated fields into wetlands

• Follow Soils mitigation measures(above) to minimize risks of waterlogging and salinization

• Use agro-chemicals appropriately (see Human Health above)

• Prevent surface drainage of fields into nearby water bodies (streams, ponds, etc.)

ESMF TOOLKIT: PART C - RESOURCES FORESMF PREPARATION



• National·legislation on protecting natural resources (e.g. fish, wilqlife, forest cover)

• International environmental protection conventions (e.g. heritage, wetlands)


• National controls on storage, handling, use and disposal of agro-chernicals

Sources:


Pollution • . Water quality (nutrients, agro-chemicals,

salinity) in water supply and drainage canals, and wells

• Physical and chemical properties of irrigated soils

Environmental Health • Water table levels in project area • Rate of occurrence of disease carriers

Human Wellbeing • Incidence of human and animal illness or


Environmental Screening o/NGO Development Projects/or Irrigation (CCIC 1990/91) EC Sectoral Environmental Assessment Sourcebook (1993)

30June04 97


C14.4:RURAL WATER SUPPLY AND SANITATION

SCOPE OF, PROJECTS

Small rural water supply projects provide a safe, reliable and convenient water supply for several families or an entire village. To ensure maximum health benefits, such projects also need to include.any needed improvements to human waste disposal systems. Attention to sanitation as well as' water supply is vital to prevent the contamination of water sources and to minimize the spread of illness and disease.

Groundwater sources such as wells, infiltration galleries and springs usually provide the most reliable supply; They are the easiest to protect from contamination. Streams, rivers and lakes may be subject to competing water demands or uncontrollable contamination that make them less safe and reliable water sources. They also generally require small diversion structures or dams that create their own environmental problems. See the Small Dams and Reservoirs resources sheet if surface water sources are

,being considered.

Water is supplied to people at the source, or is piped (by gravity or pumped) or otherwise transported to public distribution points or users' homes. For human waste disposal, rural communities may depend on household latrines,collection tanks that are pumped out periodically, or septic tanks. Household wastewater tnay be simply dumped or drained into soak-away pits.

Larger and more sophisticated water supply and sanitation systems require much more planning, design, operation and maintenance than those described above. They are beyond the scope of this resources sheet.


Human Environment

• Community water management practices and relationships .• Human health concerns for water-borne diseases and infections • Conflicting demands on surface or groundwater supplies

Na:tural Environment • Surface aquatic environments; including wetlands, used as water supply sources • Groundwater supply for other uses. • Surface and groundwater quality


Human Environment • Negative social and economic effects on

existing community water management practices and relationships

30June04

I' MITIGATION MEASURES

.• Consider water conservation measures instead of or in addition to a new water supply project, for example:

98

Upgrade or renovate existing systems (e.g. deepen and clean existing welJs, reduce leakage, evaporation and seepage losses) Water recycling and reuse

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ESMF TOOLKIT: PART C - RESOURCES FORESMF PREPARATION


• Landuse conflicts

• Conflicting demands on surface or groundwater supplies

Human Health • Illness or disease due to:

poor source water quality contaminants entering water supply system

contaminated soils from disposalof inadequately decomposed waste waters poor maintenance, wrong use, or abandonment of supply or sanitation works

• . Creating habitats for disease carriers such as mosquitoes and snails, and increasing the occurrence of water-related diseases such as malaria and schistosomiasis (bilharzia)

30June04


• Avoid locating project works to require: Resettlement Displacement of other important land uses, or Encroachment on historical, cultural, or traditional use areas

• Ensure sufficient community participation and organization for effective planning and management of the water supply system, and. for equitable water distribution

• Develop supply sources: Where water quantities are adequate and the project will not conflict with existing human, livestock, wildlife or aquatic water uses, especially during dry seasons So that withdrawals do not exceed "safe yield" from groundwater resources

• Ensure water source is fit for drinking, and make regular testing a part of the project

• Assess present and future source! supply contaniination risks and minimize them (see Water Quality below) through:

Adequate planning, design and installation of water supply and sanitation works Community education, training and capacity building to properly operate and

. maintain project works,and to improve hygiene attitudes and behaviour

• Ensure planning, design and maintenance of supply, sanitation and wastewater works is appropriate to local:

Needs, traditions, culture and desires Soil and water table conditions

• Assess ecology of disease carriers .in the project area

• Employ suitable prevention and mitigation measures, including education oflocal people, e.g.:

99

Good drainage around water supply points Properly designed and maintained pit latrines


I POTENTIAL ENVIRONl\1ENTAL EFFECTS

Water Quality • Contamination of water source / supply

• Groundwater contamination

• " Surface water contamination

30June04

L-IMIT __ I_G_A TI.;;.........O....;N.....;.ME-"--'-A...;;,S.....;.U.;....RE....;.S __________ ----..JI • Monitor disease occurrence and other public

health indicators, and take corrective measures as needed (e.g. physical changes to water supply and sanitation works, education, medical)

• Protect groundwater sources from surface water runoff (ie. "rainwater, spillage "arotmd wells, wastewater from latrines or homes) that may enter as drainage from above or as seepage from below

• Locate source well away from latrines, septic systems, traditional defecating areas, and animal pens "

• Protect surface water sources from contamination from: - Runoff from nearby agricultural areas

(e.g. silt, agro-chemicals, animal waste) Other uses such as bathing, laundering, and animal watering Garbage and vegetative debris

• Maintain source works and pipes to prevent deterioration/damage that could allow entry of contaminants from people, animals, debris, runoff water and soil (especially common around springs, unlined wells and river banks)

• Ensure adequate design, installation and " maintenance of latrines, holding tanks, septic systems and wastewater soak-aways. Thi$ is especially important where the water table is high or soils have a high clay or sand content

• Ensure adequate spacing between latr~nes and soak-aways

• Locate latrines, septic systems and soakaways at least 30m from any waterbody (e.g. stream, river, lake, pond) .

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ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARA nON



• National legislation on protecting natural resources (e. g. fish, wildlife, forest cover)



• National controls on storage, handling, use and disposal of agro-chemicals .

Sources:


Pollution • . Quality (nutrien!s, agro-chemicals, salinity) of

water in supply sources and drainage canals, and wells

• Physical and chemical properties of irrigated soils .

Environmental Health • Water table levels in project area • Incidence of disease vectors

Human Wellbeing • Amount of human and animal·i1lness or


Environmental Screening of NGO Development Projects for Domestic Water Supply and Sanitation (CCIC J 990191) EC Sectoral Environmental Assessment Sourcebook (1993)

30June04 101

'*_V'III'I"""_ Itf!.,_. __ -... ___ "......,~ ___________ _

ESMF TOOLKIT: PART C- RESOURCES FOR ESMF PREPARATION

C14.5: RURAL ROADS

SCOPE OF PROJECTS

Rural ro.ads can have substantial eco.no.mic and social benefits. They can also have significant negative .and long-term impacts. Many ofthese impacts can be avoided o.r minimized thro.ughcareful and comprehensive planning and design. Roads that involve relo.cation of existing ro.utes, o.r new access into. previously inaccessible areas, can create particularly difficult impacts on communities and land use, both directly and indirectly. Indirect impacts include the econo.mic, social and enviro.nmental effects, whether planned or spontaneous, induced by the improved access and lo.wer transpo.rtatio.n costs a road creates. Such new ro.ads and relocations are large pro.jects beyond the sco.pe o.f this reso.urces sheet.

CIDA-supported rural roads generally invo.lve upgrading existing roads o.r tracks to impro.ve access to. markets, or to services such as health care o.r scho.ols. They are usually built with local labour, are unpaved, and are narro.wer and can have tighter curves and steeper grades than highway~. They may be all-weathero.r seasonal, and o.ften include fords o.r ferries rather than bridges. Close management of constructio.n work is important to avoiding most construction impacts. Adequate road maintenance is essential to avoid environmental problems, and is o.ften inadequate due to lack o.ffunds or well-trained personnel.

The most important direct impact o.f rural ro.ads is typically ero.sio.n --during constructio.n and then o.peration. Because traffic intensity is low, air and water po.llution and no.iseare generally no.t significant problems. Indirect impacts need to be considered, but are unlikely to be as significant as tho.se caused by new roads o.r relo.catio.ns.· .


Human Environment

• Human settlements near the ro.ad • Existing land uses (e.g. agriculture, grazing, fo.restry, recreation) • Sites cifcultural, religious o.r historical impo.rtance ., Sensitivity o.f lo.cal people to: ,

Induced develo.pment and reso.urce exploitatio.n alo.ng the ro.ad Public health co.nsequencesduring construction and use of the road (e.g. STDs, TB) Capacity o.flocal public infrastructure and services to. suppo.rt increased traffic, travelers and induced development . . Security of local and traditionalli"elihoo.ds, and cash inco.me generatio.n

Natural Environment • . Pro.tected areas (e.g. nature r(;lserves, )larks) • Areas suppo.rting:

Critical habitats for rare or eco.lo.gically important species, o.r significant bio.diversity (e.g. wetlands) . . . Co.mmercially or do.mestically impo.rtant species (e.g. fish, locally hunted wildlife)

• Wilderness are.as (habitats for indigeno.us animal species) • Soil structure, stability, susceptibility to. erosion

,. Surface water quality (e.g. rivers, po.nds)

30June04 102

ESMF TOOLKIT: PART C ..... RESOURCES FOR ESMF PREPARATION


Human Environment - Negative social and economic effects on

lotal people and communities, such as: Unplanned commercial development Demand for local public infrastructure and services increases beyond existing capacities Disruption ()ftraditionallifestyles

- Induced population movements and natural resource exploitation activities, due to iinprovedaccess (e.g. conversion offorest to pasture, or of sustainable land use to unsustainable, short-cycle cropping; illegal or unsustainable hunting)

Human Health .. Social disruption during construction (e.g.

enhanced transmission of STDs and TB)

- Creation of stagnant water. in construction borrow pits and quarries, and on road sides, that breed disease carriers

- Health risks during road use due to herbicides used to control road-side weeds

Soil and Vegetation - Loss of natural areas, important habitats,

biodiversity

- . Landslides, slumps and slips

-Increased soil erosion . leading to sediment in runoff and, possibly, gully formation from:

30June04

Construction activities such as grading, excavations, and borrowing/quarrying Inadequate design of culverts and


103

- Work with affected communities to anticipate and plan for enhanced access to and demand on local public infrastructure and services .

- Provide project funds to strengthen local public infrastructure and services {e.g. health clinics, markets, schools) .

- A void creating congested and unsafe road conditions at intersections, arid in villages

. and towns

.. Comprehensive community participation in construction planning and management

- Education on avoiding communicable dis~ases

- Assess ecology of disease carriers in road corridor, and employ suitable mitigation measures (e.g. proper drainage of

. constrUction areas.and road sides, effective road maintenance)

- Minimize use of road-side herbicides .

- A void infringing on: . Protected natural sites and wilderness areas Critical habitats or areas with significant biodiversity (e,g. wetlands)

- Avoid: . Areas of soil, slope or geological instability Unstable river crossing sites

- Design: . Use surface drainage controls and mulch on vulnerable surfaces and slopes Size and locate roadside drainage and

. culverts to handle maximum anticipated

I

ESMF TOOLKIT:P ART C - RESOURCES'FOR ESMF PREPARATION


drainage controls Inadequate maintenance of road surface, . ditches; borrow/quarry sites, and drainage and erosion control measures

Surface and Groundwater • Disruption of natural surface and subsoil

drainage patterns, especially in flood-prone or wetland areas

• Increased runoff from road surface

• Contamination by spills oil, fuels and lubricants from construction equipment

Aquatic Environments • Soil erosion leading to:

Increase in the turbidity of surfac~ water courses

Temporary or permanent covering of riverbed organiSms and habitats

• Watercourse and drainage blockages at culverts and bridges

• Erosion of embankments and roadside slopes

Animals and Wildlife • Blocked animal and wildlife movements • Animal/wildlife road kills

30June04


104

flows Line receiving surfaces with stones or concrete

- \.. Locate and design borrow/quarry sites for erosion control during road construction and future maintenance operations

• Construction: - Limit earth movement and soil exposure

to the dry season - Balance cut and fill for minimum

deposition of earth Provide sedimentation basins Resurface and revegetate exposed surfaces

• Ensure proper and timely maintenance of erosion control and drainage measures along the road and at borrow/quarry sites

• Minimize soil compaction and time that soil . surfaces are exposed

• Providead~quate surface drainage control for both construction and operation

• Size and place culverts and bridges correctly

• Collect and recycle used lubricantS •. Establish measures to avoid accidental spills,

and contain them if they do happen

• Follow Soil and Vegetation and Surface and Groundwater mitigation measures above

• Install culverts and bridges in dry season

• Ensure adequate maintenance of: Culverts and bridges Roadside slopes, drainage control measures and vegetation Road surface

• Avoid fencing across known animal and wildlife movement routes

• Animal/wildlife crossing warnings, nighttime speed limitations or perhaps closures

i





• National water quality standards and controls·

• Health and safety standards for road construction and use

Sources; EC Sectoral Environmental Assessment Sourcebook (1993) World Bank EA Sourcebook, Volume II (1991)

I ENVIROI'l"MENTAL QUALITY INDICATORS

Pollution • Concentrations of suspended sediments in

surface waters .

Environmental Health • Degree of biodiversity (numbers of plant,

fish, animal and bird species) in road vicinities

• Extent of critical habitats

Human Wellbeing • Occurrence of illness or disease • Frequency of traffic accidents involving

vehicles or pedestrians

• Poverty levels

CIDA Handbook on EA ofNGO Programs anil Projects, Rural Roads Checklist (1997) USAlD Envi~onmental Guidelines for Small-Scale Activities in Africa, 2nd Edition (Draft) (2001)

30June04 105


I ' C14.6:l

SOLID WASTE MANAGEMENT

SCOPE OF PROJECTS

Community-based solid waste management projects address the needs for collecting and safely disposing of solid waSte from households and home-based orsrriall-scaleenterprises.They can include reduction of wastes at source, compo sting, recycling, collection, landfill, and incineratIon.

In planning such projects, an important initial task is to determine the nature arid quantities of the wastes to be managed-- by category (e.g. organics, hazardous materials, burnables, recyclables, etc.). This information is vital to designing the waste management system to· deal with each waste category separately as required. It is alsoimportant togenetate increas.ed community awareness of the importance of a healthy environment, and of the values of waste reduction, recovery and recycling to reduce waste disposal requirements.

. , Waste management from small-scale healthcare activities (e.g. rural health posts and clinics,

mobile healthcare programs) is not covered in this resources sheet. Healthcare waste is dangerous .. If it is handled, treated or disposed of incorrectly, it can spread disease and poison people, animals and plants. Projects that may include healthcare waste management require special care and .treatrnent.2

.


Human Environment • Human settlements and land uses (e.g. agriculture, grazing, forestry, recreation)near project site(s) • Sites of cultural, religious or historical importance . • Public health • Disruption of local incomes derived from sorting, selling and reusing waste

Natural Environment •. Protected areas (e.g. nature reserves, parks) • Areas supporting:

- Critical habitats for rare or ecologically important species, or significant biodiversity (e.g. wetlands)

- Commercially or domestically important species (e.g; fish, locally hunted wildlife) • Wilderness areas (habitats for indigenous animal species) • Surface water (e.g. streams, rivers, ponds) and groundwater quality

1 POTENTIAL ENVIRONMENTAL EFFECTS

General Measures • Overall planning and design approaches

and measures can address a number of different potential environmental effects


• Determine the volumes of waste materials by category (e.g. organics, hazardous materials, bumables, recyclables, etc:), and design the management system to de!!.l with each waste category separately as required

2 See, for example, the healtbcare waste guidelines in USAID's Environmental Guidelines for Small-Scale Activities in Africa.

30June04 106

. . . ESMF TOOLKIT: PART C - RESOUJtCESFOR ESMF PREPARATION


Human Environment • Displaced land uses . • Disruption or destruction of sites 'of

cultural, religious or historical· importance • . Human settlements and land uses near

landfill, incineration and compo sting sites Wind-blown garbage, dust and smoke Increased traffic to/from the site Odours

30June04


• Consider a community awareness program on the importance of a healthy environment and on the principles and values of waste reduction. recovery and recycling to reduce waste disposal requirements and extend the life Of disposal site(s)

• Assess nature and quantity of hazardous wastes, and provide for separate collection and disposal

• Encourage home composting of organic wastes

• Where recycling is practicable, have households separate recyclables from other waste before collection

• Site selection is critical. Locate project site(s) (e.g. landfill, incinerator) with buffer zones from other land uses and waterbodies to minimize land and water resource impacts, aesthetic impacts, and health risks

.• Minimize handling of waste, and maximize containment

• Provide enclosed refuse collection vehicles, or tarpaulin covers for open vehicles

• Enclose vehicle unloading and refuse sorting (fotrecovery and recycling) areas, as well as good ventilation and dust suppression

• Involve community in: Locating project site(s) and access route(s) Developing practices and responsibilities for managing project activities and site(s)

• Ensure that site layout(s) and management practices, including worker training, are

.' adequate· .

• Landfills

107

Spread and compact incoming refuse,and cover with soil, daily Provide for safe ventilation of decomposition gases Prevent'access to site by domestic animals and wildlife to avoid spread of disease and contaminants .

- Pave access roads, or use water spraying, to reduce dust


I POTENTIAL ENVIRONMENTAL EFFECTS··

• Disruption of local incomes derived from sorting, selling and reusing waste

Human Health • Contamination of water sources

• Creation of stagnant water in project site(s) that breed disease carriers

. Terrestrial Environment • Loss of natural areas, important habitats,

biodiversity

• Soil erosion

, Water Quality • Contamination of surface and

groundwaters with landfill runoff and leachate

30June04


• Incinerators Install appropriate, effective incineration equipment for complete combustion and control of air pollution Locate away from and downwind of human settlements and sensitive land uses

• Design project to provide alternatives for affected individuals arid families (e.g. employment in project operation, training for alternate livelihoods)

• See Water Quality below

• Assess ecology \of disease carriers in project area, and employ suitable mitigation measures (e.g. proper drainage ofsite(s))

• Avoid infringing on: Protected natural sites and wilderness areas

. Critical habitats or areas with significant biodiversity (e~g. wetlands)

• During preparation oflandfill site Minimize time of exposure of areas cleared, graded or excavated Stabilize and revegetate disturbed areas

- Install adequate surface drainage control ".

measures • Maintain erosion and surface drainage control

measures during operations

• Protect water resources by locating landfills:

108

Where the underlying soils are relatively impermeable, and have a high capability for containing chemical contaminants (e.g. clays) So that the bottom of the landfill is above the water table Away and down gradient from surface waters, and groundwater recharge areas or sources, whose use could be affected by . contamination -- Unless the distance to the receiving 'Xateris adequate to dilute and disperse potential contamination

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. ESMF· TOOLKIT: PART C - RESOURCES FOR ESMF PRE PARA TION



• National standards and guidelines for the handling or toxic and other hazardous wastes, and for the design and operation of solid waste treatment facilities (e.g. landfills, incinerators, composting operations)

• National water quality standards and controls '

• Alternatively, internationally recognized standards (e.g. WHO, UNEP)

• International environmental protection conventions (e;g. heritage, wetlands)

Sources: EC Sectoral Environmental Assessment Sourcebook (1993)


• Use a landfill liner (e.g. clay, synthetic) if there is a risk ofleachate entering groundwater

• Collect surface runoff and discharge to safe area

• Install test welles) at landfill perimeter, and monitor water quality during operations, for early identification and mitigation of emerging adverse effects


Pollution • Concentrations of pollutants in air and surface

andgroundwaters around projectsite(s) • Noise and dust levels

. EnvironmentalHealth • Numbers of disease carriers ( e.g. mosquitoes)

Human Wellbeing • . Amount of human and animal illness or

disease

CIDA Handbook on EA of NGO 'programs and Projects, Waste Manal;ement Checklist (J 997)

30June04 109


L...-....., _______ C_l_4._7_: _C_O_MM __ U_N_I_TY_F_O_RE_S_T_R_Y_. ' ______ ---11 (

SCOPE OF PROJECTS

Community forestry projects may be undertaken fora variety of reasons including timber and fuelwood production, soil and water conservation, and micro-watershed protection. They may also include tree nurseries or elements of agro-forestry that yield forest products besides wood (e.g fruits, nuts). They typically involve afforestation and not existing forests. Reforestation, upgrading and management of existing forests and forestry operations are not considered in this resources ~heet.

Clearly, such projects can provide substantial economic and environmental benefits. At the same time, if they are not planned and carried out sensitively, they can also create environmental problems,

. partiCUlarly soil erosion and conflicts over land use and the distribution of project benefits.


Human Environment • Human settlements in or near project site • Existing land tenure and uses (legal or illegal}(e.g. agriculture, grazing, recreation) • Common lands • Sites of cultural, religious or historical importance • Security of local and traditional livelihoods, and cash income generation

Natural Environment • Protected species ~ Protected areas (e,g. watersheds or water basins, nature reserves, parks) • Areas supporting~

- Critical habitats for rare or ecologically important species, or significant biodiversity (e.g. wetlands)

- Commercially or domesti~al1y important species (e.g. fish, locally. hunted wildlife) • Wilderness areas (habitats for indigenous animal species) • Soil structure, stability, susceptibility to erosion • SUrface water quantity and quality (e.g. streams, rivers, ponds, lakes)


Human Environment • Displaced human settlements

• Conflicts over: - Land tenure and use (legal or illegal)

Security of local and traditional livelihoods, and cash income .generation

30June04


• Avoid areas that require significant or involuntary resettlement

• Provide compensation for resettled families and lost livelihood opportunities (e.g. cash, in

. kind, employment, training),

• Avoid existing land use areas that are economically productive or important for subsistence or traditional livelihoods

• Consider use of already cleared or barren

no


I POTENTIAL Et-IVIRONMENTAL EFFECTS

• Disruption of sites of cultural, religious or historical importance

Terrestrial Environment • Loss of natural areas, important habitats,

biodiversity

• ' Unsustainable forest production

30June04

I MITIGATION MEASURES lands for tree planting

• Consider sites currently used unsustainably (e.g. agriculture, grazing)

• Plan and operate the forest to ensure an equitable distribution of benefits to all community members, and to not exacerbate economic disparities within the community

',. Account for differing tree product needs between women and men

• Provide for intercropping, agro-forestry and other measures that will accelerate the flow of benefits to, and support of, a range of local people ,

• Train and use local labour in the development and operation of the forest

• A voidsuch sites, or incorporate themin the project sensitively and to local people's satisfaction

• Avoid infringing on: , Protected natural sites, watersheds and

wilderness areas Critical wildlife habitats or areas with significant biodiversity (e.g. wetlands)

• As much as possible, use a variety of multipurpose and fast-growing indigenous tree species to enhance:

Effective use of site micro-climates and soil conditions The diversity and flow of benefits to local people Soil and water conservation Resistance to significant outbreaks of disease and pests Wildlife habitat and species diversity

• 'Draw upon local cultural knowledge and values in planning and operating the forest

• Adapt imported technology (e.g. er6sion ' control, forest management and harvesting) to local conditions, rather just adopt it

• Use low impact equipment and methods for forest management and harvesting, and minimize skid trail distances

• Select sites where the benefits from the new forest can help reduce illegal or unsustainable

111



• Soil erosion

Water Quantity and Quality • Reductions in down-slope water supplies

.• Pollution of groundwater, and of surface waters and habitats

30June04

I MITIGATION MEASURES uses of nearby forests

• If a heavy reliance on cash crops is anticipated, ensure that a thorough market analysis is carried out during project planning

• Avoid areas offragile or unstable soils/slopes • Avoid any project activities within 20-40

metres of streams, ponds, etc. unless they are for rehabilitation and conservation of the riparian zones

• Leave existing grass/shrub cover on lands that· are very steep or have shallow soils

• Use techniques such as bunding to strengthen· control of surface water flows and erosion, and enhance infiltration

• Harvest trees in small, unconnected blocks to minimize exposed soils and enhance opportunities for natural regeneration from adjacent forest

• Road and track development (also see Rural Roads resources sheet):

Construct during the dry season .. Keep gradients low but sufficient for natural drainage Locate as far away from waterbodies as possible Leave vegetated strips along roadsides, and reseed disturbed areas Coordinate development schedule with overall plan for forest development and operation .

• Avoid watercourses • Retain existing tree and grass/shrub cover,

and harvest selectively, sustainablyand . carefully, where down-slope water supply is a criticalconcem

• Avoid overusing fertilizers, herbicides and pesticides

• Avoid any use near waterbodies

112


I ENVIROI\'MENTAL STANDARDS

• National and local planning regulations (e.g. land use, forestry, watersheds)

• National legislation on protected areas (natural, cultural and built environments) .


• International protection conventions (e.g. heritage, wetlands)


• . National controls on use of fertilizers, pesticides and herbicides

• Alternatively, internationally recognized standards (e.g. World Health Organization, United Nations Environment Programme)

Sources:


Pollution • Concentrations of susperided sediments and

contaminants (e.g. pesticides) in surface waters

Environmental Health • Degree of biodiversity, (numbers of plant, fish,

animal, andbird species) in the watershed • Extent of critical habitats

Human. Wellbeing • Poverty levels

ADB Environmental Guidelinesfor Selected Agricultural and Natural Resources Development Projects (1991) . EC Sectoral Envir0F::ental Assessment Sourcebook (1993) CIDA Handbook on EA of NGO Programs and Projects, Forestry Checklist (1997)

30June04 11'3

ESMF TOOLKIT: EART C - RESOURCES FOR ESMF EREPARATION,

C14.8: SMALL-SCALE AQUACULTURE

SCOEE OF PROJECTS

Aquaculture projects raise aquatic organisms in fresh, brackish or salt marine waters for part or .all of their life, and then harvest them for human consumption, The organisms may be fish (e.g. trout,salmon, carp, tilapia) , crustaceans (e.g. fresh water crayfish, shrimp, prawns), or molluscs (e.g. oysters, mussels, clams).

Culture methods vary considerably. Intensive methods raise high-value organisms in large numbers in man-made structures. With ponds, fresh or seawater is channelled or pumped in, and old water is discharged through ditches or canals. Use of groundwater may lower water tables. Artificially produced seed, specially made feed, antibiotics to control disease, chemicals to inhibit plaht growth, and high initial costs are typical. Waste. water and bottom sludge can become toxic and, if not properly treated and

. managed, can contaminate soil, water and marine resources.

At the other end of the scale are extensive methods that tend to use traditional, low-technology cultivation methods, wild seed stock and naturally available feed. Input and output levels, and start-up costs, are much lower than with intensive methods. Extensive aquaculture is frequently developed to satisfy local fish protein needs rather than commercial markets, and is the focus of this resources sheet. The products maybe distributed fresh or dr.ied.


Human ElfVironment • Existing or planned land uses (legal and illegal) . • Community water management practices and relationships • Conflicting demands on surface or groundwater supplies • Human health concerns for water-borne diseases and infections

Natural Environment • Quality of surface and groundwater supplies • Natural aquatic environments, especially wetlands and mangrove'forests

I EOTENTIAL ENVIRONMENTAL EFFECTS

Human Environment • Land use conflicts

30June04


• Avoid project sites that require: - Resettlement

Displacement of other important land' .. uses, or

- Encroachment on historical, cultural, or traditional use areas

• Encourage use of existing depressions, hollows andd.itches

• Limit areas converted to ponds • Good pond design, construction and

maintenance to avoid premature abandonment and digging of new ponds

114


!POTENTIAL ENVIRONMENTAL EFFECTS

• Water supply conflicts: Social and ecoriomic disruptions to existing cOmInunity water management practices and re lationships Conflicting demands on surface or groundwater supplies

Human Health • Illness or disease due to pollution of water

sources from aquaculture wastes

• Creating habitats for disease carriers such as mosquitoes and snal1s, and increasing the prevalence of water-related diseases such as malaria and s.chistosomiasis (bilharzia)

Terrestrial Environment • Loss of ground cover and erosion at project

site

• Depletion of local fuelwood to dry fish

JOJune04


• Ensure adequate community participation in the planning and operation ofthe projeyt

• Site ponds to avoid disrupting , existing/traditional uses of water (e.g. drinking, washing, animal watering)

• Develop ponds with other activities to combine water uses (e.g. pond water used for irrigation of crops)

• Develop supply sources: Where water quantities are adequate and the project will not conflict with existing human, livestock, wildlife or aquatic water uses, especially during dry seasons So that withdrawals do not exceed "safe yield" from groundwater resources

• See Water Quality below

• Assess ecology of disease carriers in the project area

• Employ suitable prevention and mitigation measures, including education of local people, e.g.:

Good surface drainage around project water supply, ponds and drainage works Use fish species that feed on disease carriers

• Monitor disease occurrence and public health indicators, and take corrective measures as needed (e.g. change project works, improve maintenance, education, medical)

• Restrict area cleared for ponds • Construct ponds during dry season • Stabilize exposed soil with grasses and other

ground cover • Ensure good drainage anderosion control

around ponds

• Careful projectplanning and management to ensure sustainable source offuelwood

• Consider the need for a small, complementary . forestry project (see Community Forestry resources sheet)

115

ESMF TOOLKIT: PART C '- RESOURCES FOR ESMF PREPARATION


Water Quality • Pollution of surface waters with

aquaculture wastes

Aquatic Environments • Deterioration of water quality from

aquaculture discharges causes contamination or decline of aquatic habitats and resident species

• . Loss of wetlands, especially mangrove forests

• Accidental or deliberate release of aquaculture stock leads to decline in wild species important for local food supply or . restocking and improvement of domestic stock· .

Effects of the Environment on the Project • Contamination of aquaculture operations,

and deterioration of culture environment, from poor source water quality due to: - Pollution (e.g. pesticides, heavy

metals) Suspended sediments from upstream erosion

- Nutrients from agricultural run-offand livestock, detergents, sewage

30June04


'It Keep fish densities at moderate levels to . reduce disease risk and need for antibiotics

• Pump air through the water to speed up decomposition

. • Release pond water into water .body with adequate dilution and dispersal capability

'It Dilute pond water prior to release • Time releases with period of high water levels

or flows . • Use shorter retention time of water in ponds -

i.e. more frequent exchange and flushing of pond water . ,

• Consider using pond bottom sludge as agricultur.a1 fertilizer if properly decomposed and non-toxic

• Ensure adequate pollution control (see Water Quality above) .

• Site project well away from wetlands • Design project features to prevent disturbing

water flows to and from wetlands (e.g. flow regulating works, access road crossings on trestles or pilings)

• Enhance or protect other nearby wetlands t6 offset losses at project site

.' USe local, wild species rather thanintrodJiced species as seed stock

• Ensure aquaculture stock is kept healthy

-

quality and threats • Careful location of the project within the

community and watershed

116

, 4







. Sources: UNEP Environmental Guidelines/or Fish Farming (1990) EC Sectoral Environmental Assessment Sourcebook (1993)


Pollution • Water quality (nutrients, chemicals, salinity)

in pond drainage .

Environmental Health • Surface water flows and groundwater table

levels in project area • Incidence of disease carriers

Human Wellbeing • Amount of human and animal illness or


. Field Guidelinesfor the Environmental Assessment o/Rural Credit Loans in Viet Nam(CIDA 2000)

30Juile04 117

I

ESMF TOOLKIT: ,P AR'r C - RESOURCES FOR ESMF PREPARATION

C14.9: LEATHER PROCESSING

SCOPE OF PROJECTS

The processing of hides (tanning) from domestic animals such as cattle, pigs and goats is often. associated with meat processing operations. Though it is often illegal, skins from wild animals may also

. be processed. .

Leather processing involves several steps from initial soaking of the raw hides through removing hair, chrome tanning and finishing. It can produce highly unpleasant odours. It also requires large amounts of water that becomes contaminated and perhaps toxic with high concentrations of chemicals and organic matter. If disposed of on land, liquid wastes can contaminate soils and groundwater. When released to . watercourses, the wastes can deplete oxygen levels, poison and disrupt aquatic ecosystems, and cause fish kills. They can also lead to serious health problems for workers and local people.

Tanneries can evidently place a quite heavy burden on the environment if not developed properly .. Sensitive plant location and effective management of water use and liquid and solid wastes are key to mitigating adverse environmental effects. Sound waste management and pollution control methods at tanneries can require strong technical knowledge not covered in this resources sheet'. The sheet does give direction on the kind of environmental effects that need' to be considered, and approaches to addressing them. .


''Human Environment • Existing or planned land uses (legal and illegal) • Community water management practices and relationships • Conflicting demands on surface or groundwater supplies • Worker sensitivities to chemicals • Human health sensitivities to:

Polluted water Odours Water-borne diseases and infections

Natural Environment • Quality of surface and groundwater supplies •. Natural aquatic environmentS

L..l P;;;..O.;...;;;..TE;;;..N;;;..T;....IA ........ L...;;;E;;;..N....;VI...;;;R_O....;N....;M ___ E_N_TA_L_E_F'_FE_C_T_s_..--,-.... I. I MITIGATION MEASURES

GeneralMeasures • Overall planning, design and management

approaches and measures can address a number of different potential .

. environmental effects. These include:

• Locate tannery well away from: Residential and commercial areas to minimize odour complaints Water courses to minimize water pollution risks

3 See, for example, UNIDO publications for information on cleaner production in tanneries

30June04 118

I

ESMF TOOLKIT: PART C - RESOU~CE,SFOR ESMF PREPARATION

I POTENTIAL EIII'VIRONMENT AL EFFECTS

30June04

Minimize water use (and processing costs)

Minimize odours, and solid and liquid wastes

Minimize chemical use (and processing costs)


• Reuse water from "cleaner" stages of the process in "dirtier" stages (e.g. use [mal rinse water for initial soaking or washing of next batch of raw hides)

• Turn off water between batches, or while transferring hides between baths

• Install nozzles on hoses to increase spraying efficiency . - .

• Prevent baths from overflowing (e.g. monitor levels closely, use automatic shut-offs)

• Use dry cleanup m~thods (cloth wipes,. brooms, shovels, etc.) before water rinsing

• Operate tannery within its design capacity . • Minimize water use (see above) • Separate liquid from solid waste • Screen liquids to remove coarse solids • Install grease traps and skim tanks • Drain liquid wastes into a settling tank. Air

dry sludge and dispose as solidI waste • Separate and sell uncontaminated wastes to

farmers as fertilizer' • Avoid dumping solid waste. Use a proper

landfill or bury it in a pit (away from water sources)

• Do not let sludge stagnate in or around tannery site. Collect, dry and dispose of as solid waste .

• Provide good drainage around the tannery to avoid standing pools of liquid (and potential habitat for disease carriers)

• If several tanneries are located close to each other, consider common treatment facilities for both solid and liquid wastes

• Processing methods that increase the efficient use of chemicals (e.g. higher bath temperatures, good measuring equipment)

• Good storage and handling to reduce waste and spills (e.g. sturdy and easily secured containers)

.• Consider alternative and less hazardous chemicals (e.g. vegetable-based chemicals and dyes)

• Filter and reuse chemical bath solutions • Train workers to use correct chemical

amounts, and provide measuring equipment

119


1 POTENTIAL ENVIRONMENTAL EFFECTS

Human Environment • Land use conflicts due to odours

• Water supply conflicts: Negative social and economic effects on existing community water management practices and relationships Conflicting demands on surface or groundwater supplies

Human Health • Illness or disease due to pollution of water

sources from tannery wastes

• Damaging worker health

Aquatic Environments • Deterioration and contamination of aquatic

habitats and resident species from tannery discharges

I El\'VIRONMENTAL STANDARDS

• NationaVlocal standards and regulations for the discharge of industrial wastewater to i) sewers and ii) streams and rivers


• Workplace health and safety regulations • Regulations on the storage, handling, use

and disposal of toxic chemicals

Sources:

! MITIGATION MEASURES

• Follow General Measures above to minimize potential for odours

• Minimize water. use (see General Measures above)

• Develop supply sources: - Where water q!lantities are adequate and

the project will not conflict with existing human, livestock, wildlife or aquatic water uses, especially during dry seasons

- So that withdrawals do not exceed "safe yield" from groundwater resources

• Follow General Measures above to minimize water use and provide good management of solid and liquid wastes

• Provide safety equipment (e.g. face masks, rubber gloves, boots) .

• Ventilate processing areas well • Train workers in safe chemical storage,

handling, use and disposal

., Ensure adequate pollution control (see General Measures above)


Pollution • Quality (nutrients, chemicals, salinity) of

tannery effluent and receiving waters

Environmental Health • Surface water flbwsand groundwater table

levels in project area

Human Wellbeing • Incidence of human illness or disease

Field Guidelinesfor the EnVironmental Assessment of Rural Credit Loans in Viet Nam (CIDA 2000) USAID EnVironmental. Guidelines for Small-Scale Activities in Africa, 2nd Edition (Draft) (2001)

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ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREP ARA. TION

C14.10: FOOD PROCESSING

SCOPE OF PROJECTS

Small-scale food processing may be home-based or small enterprises that use a wide variety of processes and technologies to convert animal and plant products into human food.

Food processing of all kinds can create environmental problems ifnot managed properly. Solid and/or liquid wastes can be highly polluting and create offensive odours. Water use can place excessive demands on local supplies. Wastewater containing organic and other wastes can degrade streams and .. rivers,and contaminate groundwater. Stagnant pools of polluted water can be highly odorous and provide breeding grounds for mosquitoes. .

ENVIRONMENTAL.CONCERNS

Human Environment • Existing or planned lillld uses (legal and illegal) • Community water management practices and relationships • Conflicting demands on surface orgroundwater supplies • Human health concerns sensitivities to:

Polluted water Odours Water-borne diseases and infections

• Worker health and safety due to: Dust Machinery noise and vibration Exposed wires c and overheating of electric equipment

Natural Environment • Quality of surface and groundwater supplies .. Natural aquatic environments .. '


General Measures • Good overall planning, design and

management can address a number of potential environmental effects4

: .

Minimize water use (and processing costs) .

I MITIGA nON MEASURES

• Use "dry cleanup" (e.g. sweeping, wiping down) of solid wastes before washing

• Regulate water flows (e.g. valves, high pressure nozzles)

• Reuse water

4 See also Rural Water Supply and Sanitation and Solid Waste Management reSOl.lI'ce sheets.

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I.POTENTIAL ENVIRONMENTAL EFFECTS

- Minimize liquid waste

- Minimize solid waste (and lost product)

Human Environment • Water supply conflicts:

- Negative social and economic effects· on existing community water management practices and relationships . Conflicting demands on surface or groundwater supplies

Human Health '. Illness or disease due to pollution of water

sources from food processing wastes

• Damaging worker health

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• Minimize water use (see above) • Separate fats, grease and other solids from

wastewater before reuse or disposal (e.g. use oil separators/traps)

• Drain stagnant pools of liquid or water from holding pens and working areas

• Consider treatment ponds to decompose waste and reduce disposal c.osts. Ensure ponds are large enough for effective decomposition and odour control

• Improve processing methods to recover more product and reduce waste (e.g.· better meat trimming and food cutting)

• Reuse organic wastes (e.g. as animal fodder or fuel)

• Compost organic waste for fertilizer • Air dry waste in controlled area then dispose

.in approved landfill or safe burial ' • Minimize·product spoilage by using secure,

screened, and well-ventilated storage areas

• Minimize water use (see above) • Develop supply sources:

Where water quantities are adequate and the project will not conflict with existing human, livestock, wildlife or aquatic water uses, especially during dry seasons So that withdrawals do not exceed "safe yield" from groundwater resources

• Follow General Measures above to minimize water use and provide good management of solid and liquid wastes

• Provide/strengthen health a,nd safety training, accident prevention and equipment (e.g. face masks, rubber gloves, boots, ear plugs, good' ventilation)

., Practice good housekeeping{e.g. clean floors regularly, install drip trays)

• Repair and maintain machinery for safe and quiet operation

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·\POTENTIAL ENVIRONMENTAL EFFECTS

Water Quality • Degradation of groundwater, streams and

rivers from solid and liquid wastes, and consequent

• Deterioration and contamination of aquatic habitats and resident species from waste discharges


• National/local standards and regulations for the discharge of industrial wastewater to i) sewers and ii) streams and rivers


• Workplace health and safety regulations

Sources:


•

• • •

•

Follow General Measures above to minimize water use and solid and liquid wastes Screen waste liquids to remove solids Install grease traps and skim tanks Locate waste disposal sites away from surface and groundwater sources, watercourses, housing and town centres Ensure receiving waters for liquid wastes are able to absorb and naturally decompose the effluent

• Ensure waste that is stbred before transport to treatment facility or landfill cannot leak into the ground


Pollution • Quality (nutrients, chemicals, salinity) of

liquid effluent and receiVing waters

Environmental Health • Surface water flows and groundwater table

levels in project area • Productivity of aquatic environments

receiving liquid waste

Human Wellbeing • Incidence of human illness or disease

Field Guidelines for the Environmental Assessment of Rural Credit Loans in Viet Nam (CIDA 2000) Environmental Sourcebookfor Micro-Finance Institutions (ClDA 1997) USAlD Environmental Guidelines for Small-Scale Activities in Africa, 2nd edition (Draft) (2001)

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ESMF TOOLKIT: PART C...;.. RESOURCES FOR ESMF PREPARATION

. C14.11: COMMUNITY HEAL THCARE FACILITIES

SCOPE OF PROJECTS

Community healthcare facilities can include small hospitals,health centres, clinics, surgeries, dentists,veterinary practices, laboratories and nursing/residential homes. These fl:).cilities can have the same environmental concerns as any strllcture or building (see Section C14.12). By far the most significant concern is the hazardoUs nature of manY types of health care waste, and this resource sheet focuses on this issue alone. Types of health waste can include: • Human tissue and blood; • Soiled· surgical dressings and swabs; • Discarded syringe needles; • Other contaminated sharp instruments; • Microbiological cultures and potentially infected wastes from laboratories; • Excretions; and • Drugs and other pharmaceutical products.

Radioactive wastes need to be managed and treated separately from other healthcare wastes, and are not covered here.

The many different potential sources and types of health care wastes make it important to carefully plan healthcare projects to improve waste management, and thus minimize human exposure to the wastes and risks to public health. In particular, the sources and types of waste need to be identified, and the current waste management methods identified and assessed. In most cases, the risks of hazardous . healthcare waste in communities can be greatly reduced through low-cost, affordable operational measures such as improved handling, segregation and safe storage. These measures I11inimize the risks of exposure. A key aspect of these measures is to carry out extensive training and awareness raising.


Human Environment • Worker and public health and safety • . Visual impacts of waste management transport, treatment and disposal practices • Odors from waste degradation • Human settlements and land uses (e.g. agriculture, grazing, forestry, recreation) near project site(s), as

well as sites of cultural, religious or historical importance

Natural Environment • Potential contamination ofsurface water (e.g. streams, rivers, ponds) and groundwater • Impacts of facilities on important natural environments

Smokeiairpollutantsand tg~icash residyes ·from open burning

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General Measures • Overall planning and design approaches

and measures can address a variety of environmental concerns

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• Determine the approximate volumes of waste materials by category (e.g. sharps, body tissues, dressings, pharmaceutical products, . non-hazardous healthcare wastes, etc. ),and design the management system to deal with each waste category separately as required

• Assess current practices and address the· priority gaps and risks, building on any successful aspects of the current system. All measures and facilities should be planned within an overall strategy for hazardous healthcare waste management. This overall strategy will ensure consistent and efficient· methods, and sharing of good practices.

• Provide~~specialized, clearly labeled containers for hazardous healthcare wastes to separate them at source, manage the risks of exposure, and secure the wastes before removal for treatment or storage.

• Plan, design, construct and operate a shared treatment facility (see below). Types of facilities include heat treatment disinfection, incineration, chemical and biological .

. treatment. • Until a shared treatment facility is established,

employ interim measures to ensure the safe and secure storage of wastes. In some cases, an appropriate interim measure will be to bury the waste in deep (e.g. >2n1) trenches in municipal disposal sites, and ensure the trenches are immediately covered with other municipal solid waste {MSW).

• Design and implement a training programme for health care workers so that they implement improved operational practices (e.g. identification of waste types, segregation, safe handling and storage). Provide printed guidance notes on procedures and methoqs to control health and safety risks. .

• Design and implement a wider community awareness program on the importance of safe management practices, particularly for

125

health care wastes. This program should also focus on reducing poor practices such as indiscriminate dumping in open spaces or near to water sources, open burning, etc.

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PllliPARATION

I POTENTIAL ENVIRONMENTAL EFFECTS·

Human Environment • Cuts and infections from used needles and

other sharp instruments in the facility or due to inadequate handling and disposal

• Environmental contamination and public health impacts from infected wastes such as human tissue and surgical dressings

• Polluted drinking water • Longer-term health impacts from exposure

to toxic substances • Odours from waste degradation • Smoke / air pollutants and toxic ash

residues from open burning • Visual impacts of waste management

transpprt, treatment and disposal practices

Water Quality • Potential contamination of surface water

(e.g. streams, rivers, ponds) and groundwater quality. '

Natural Environment • Impacts of the project on protected areas

(e.g. nature reserves, parks); critical habitats for rare or ecologically important species, .or significant biodiversity (e.g. wetlands); areas supporting commercially or domestically important species (e.g. fish, locally hunted wildlife); and . wilderness areas (habitats for indigenous animal species) ,

Shared Treatment Facilities • Contamination of surface and

'ground,waters • Air pollution • Adverse land use, health and visual

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• Provide containers and personnel protective equipment for workers, plus detailed training

. in operational procedures that minimize risks of exposure to hazardous wastes.

• Conduct a wider awareness program to a range of stakeholders on the potential risks and impacts of hazardous healthcare waste. (See General Measures above).

• Where interim measures are used, ensure worker training is. adequate. Store hazardous healthcare waste in containers and transport it to a municipal disposal site.

• Wider awareness programmes to a range of stakeholders to raise awareness of the potential risks and impacts of hazardous healthcare waste: These campaigns should also focus on reducing poor practices, such as dumping near to water sources.

• Ensure appropriate covering, drainage control and run-off management for storage areas to reduce contamination of\surface and ground water.

• Assess ecology of disease carriers in area of planned facility, and employ suitable mitigation measures (e.g. proper drainage of site)

• Wider awareness programmes (see General Measures above).

• Careful planning and selection of sites of new treatment /disposal facilities, with appropriate mitigation measures included in the design and operational plan, to minimize potential impacts on the natural environment.

• Involve community in: "

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LocatingJacility site(s) and access route(s) Developing practices and responsibilities for managing facility activities and site(s)

ESMF TOOLKIT: PART C - RESOURCES FOR ESMF PREPARA 'fION


impacts on nearby community as well as on sites of cultural, religious or historical importance


• National standards and guidelines for the handling of hazardous and non-hazardous health care wastes, and for the design and operation of health~are waste treatment and disposal facilities (e.g: landfills, incinerators, sterilization facilities, etc)

• National water and environment quality standards and controls

• Alternatively, internationally recognized standards (e.g. WHO, UNEP)


Sources:


• Locate away from, and downwind of, human settlements and sensitive land uses

• Site treatment facilities with buffer zones from other land uses and water bodies to minimize land and water resource impacts, aesthetic impacts, and health risks.

• A dedicated collection vehicle for hazardous healthcare waste is highly desirable.

• Install appropriate, effective equipment for complete combustion / sterilization and control of air pollution

• Dispose hazardous aSh from incineration in appropriate facility (see interim measures above)

• Ensure that operational practices, including detailed worker training, are adequate

• Ensure safe handling, segregation and storage into appropriate containers that are clearly labeled


Pollution • Concentrations of pollutants in air and surface

and ground waters around project site(s)

Environmental Health • Numbers of disease carriers (e.g. mosquitoes)

Humrm Wellbeing • Amount of human and animal illness or disease • Incidents of illegal dumping / number of illegal

dump sites. • Community complaints • Numbers (or proportion of workers)

participating in training courses

HSC (Health and Safety .commission) UK (J 999). Safe Disposal of Clinical Waste (Health Services Advisory Committee) ISBN 0 717624927' '. Institute of Waste Management. UK (JWM) (2000) HealthcareWaste Management and Minimisdtion. ISBNO 902944 568 WHO (World Health Organisation) (J 999) - Safo Management from Healthcare Activities. WHO Geneva ISBN 92 4 154525 9

WHO (World Health Organisation) (2000) - Starting Healthcare Waste Management in Medical Institutions A Practical . Approach (WHO Regional Office for Europe. Copenhtigen) (Ref EURIOO/5021817 00719)

Institute of Occupational Safety and Health, UK (.www.josh.co.uk) . Association ofSoci(ities forOccupationalSafoty and Health (.www.asosh.org) . WHO on waste management (health care waste) (.www.who.int/health topics/waste managementJ

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i , .

TO COME

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TO COME

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ESMF TOOLKIT: PART C - RESOURCES FOR ESMFPREPARA TION

C14.12:STRUCTURESA-ND BUILDINGS

C14.13: SMALL SCALE AGRICULTURE

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World Bank Document...B5.3 Cultural Property B5.4 Protected Areas, Natural Habitats and Forests LAND...

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Transcript of World Bank Document...B5.3 Cultural Property B5.4 Protected Areas, Natural Habitats and Forests LAND...