Environmental and Social Management Framework Regional Communications Infrastructure Program (RCIP)Phase 1 DRAFT REPORT 5 February 2007 Prepared by Environmental Resources Management Ltd 1001 ConnecticutAvenue, Suite 1115 Washington DC 20016 PUBLIC CONSULTATIONAND DISCLOSURE PROCESS 60 PROCESS FOR PUBLIC CONSULTATTONTHEESMF IN PROPOSED DISCLOSURE PLAN CAPACITYBUILDING RECOMMENDATIONS STRENGTHENING OFPROJECT CAPAC~TYFOR IMPLEMENTING THEESMF 62 PROPOSED BUDGET 64 ANNEX 1: IFC'S EHS GUIDELINESFOR TELECOMMUNlCATlONS 65 ANNEX 2: IFC'S GENERAL OCCUPATIONAL, HEALTHAND SAFETY GUIDELINES ANNEX 3: SCREENINGFORM ANNEX 4: WORLD BANK SAFEGUARDPOLICY OP 4.01 ANNEX 5: TERMS OFREFERENCEFOR ESIA 72 ANNEX 6: EXAMPLE OFENVIRONMENTAL CONTRACTCLAUSES 74 ANNEX 7: FORMAT OFANANNUAL ENVIRONMENTAL REPORT 78 ANNEX 8: TERMS OFREFERENCEFOR AN EMP ENVIRONMENTALRESOURCESMANAGEMENT 2 RCIP ESMF ABBREVIATIONS APL Adaptable Program Loan ARCT Agence de Regulation et de ContrBle des Telecommunications BPO BusinessProcess Outsourcing CAGR Compound Annual Growth Rate CBO Community Based Organisations CCK Communications Commission of Kenya CIP Communications Infrastructure Project CNSI National Committee for the Information Society DEC DistrictEnvironmental Committees EABs East Africa Backbone Operators Association EAP Environmental Action Plan EASSy Eastern Africa Submarine System EBRD European Bank for Reconstruction and Development EEP EnvironmentEngagement Program EEZ Exclusive Economic Zone EIA Environment Impact Assessment EMCA Environmental Management and Coordination Act EMF Electric and Magnetic Fields EMP Environmental Management Plan ESMF Environmental and SocialManagement Framework GOC Governance Oversight Committee HSGIC Heads of State and Government Implementation Committee ICNIRP International Commission on Non-Ionizing Radiation Protection ICT Information and Communication Technology IFC International FinanceCorporation IGEBU Burundi Geographic Institute IXPs Internet Exchange Points KCCT Kenya Collegeof Communications Technology Kenet Kenya Education Network KWS Kenya Wildlife Service MECIE Mise en Compatibilite des Investissements avec llEnvironnement MINATET Ministere de I'Amenagement du Territoire, de llEnvironnementet du Tourisme MoIC Ministry of Information and Communications MTPC Ministry of Transport, Posts and Communications MTPT Ministry of Transport, Posts and Telecommunications NEMA National Environmental Management Authority NEPAD New Partnership for Africa's Development NGO Non-governmental Organisation OHS Occupational, health and safety OMERT LtOfficeMalagasy dtEtudeset de Regulation des Telecommunications ONE Office National de llEnvironnement ONT National Tourism Institute OP Operational Policy PCK Postal Corporation of Kenya PPP Public Private Partnership RAP Resettlement Action Plan ROW Right-of-way RCIP RegionalCommunications Infrastructure Program RPF Resettlement Policy Framework RCIP ESMF SATA Southern Africa Telecommunications Association TCIP Transparency & Communications Infrastructure Project TCIP-SC TCIP Steering Committee ENVIRONMENTALRESOURCESMANAGEMENT 4 RCIP ESMF 1 PROJECT DESCRIPTION BACKGROUNDTO THEPROJECT The World Bank is embarking on a 10-year,multi-country Regional Communications Infrastructure Program (RCIP)to assist Eastern and Southern African countries to implement a strategy of effectiveconnectivity by (i)offering technical assistance to promote further sector liberalization and resolve market efficiency gaps, (ii)financing coordinated backbone deployment to avoid redundant infrastructure initiatives and focus on missing links, (iii)designing public private partnership (PPP)arrangements to leverage private sector investment, and (iv) supporting the development of e-government applications and content to complement the deployment of the regional infrastructure. The first Phase of Program, planned to start in mid-2007, includes country-specific projects in Kenya, Burundi and Madagascar, in the range of US$100m. The second Phase, planned for late 2007, may include Mozambique, Tanzania, Malawi, Zambia, Democratic Republic of Congo and Mauritius, depending on their readiness. It is also expected that other countries may request to join once the first tranche moves to implementation. Overall, the program is open to Angola, Botswana, Burundi, Comoros, Democratic Republic of Congo, Djibouti, Eritrea, Ethiopia, Kenya, Lesotho, Madagascar, Malawi, Mauritius, Mozambique, Namibia, Rwanda, Seychelles,Somalia, South Africa, Sudan, Swaziland, Tanzania, Uganda, Zambia, and Zimbabwe, provided these countries are eligible for World Bank financing. Description of the RClP Phase I The proposed program's first phase fits the eligibility criteria of the IDA14 regional program: The proposed operation involves three or more countries, Kenya, Burundi and Madagascar, all of which need to participate for the project's objectivesto be achievable. The benefits accrued in the targeted countries, i.e., increased access to quality and affordable Information and Communication Technology (ICT)services, spill over country boundaries: i) higher volumes increase the viability of the regional communications infrastructure network and ii) cross-border initiatives incentivize countries to develop missing infrastructure to increase ICT access. There is clear evidence of country and regional commitment (e.g.3 IDA support requests have been received from the respective Ministries of Finance of Kenya, Burundi and Madagascar; the Algiers Declaration from the Summit of the Heads of State and Government Implementation Committee (HSGIC)in November 2004 called on the World Bank Group to support regional connectivity efforts). The proposed Adaptable Program Loan (APL)structure will allow countries to be involved as they show commitment/readiness. ENVIRONMENTALRFSOURCESMANAGEMENT 5 RCIPESMF The proposed operation provides a platform for a high level of policy harmonization between countries fostering pro-competitive regional connectivity The program and its first phase are part of a well-developed and broadly supported regional strategy, potentially extending to 25 countries in East and Southern Africa. Since the project is a regional project, regional IDA funding can be used up to 2/3 of the full proposed IDA amount of the project, with country allocations covering '/3 of the project cost attributable to each individual country involved. The lending instrument will be an Adaptable Program Loan (APL). Program objective and phases The first Phase of the RCIP World Bank operation will take the form of Communications Infrastructure Projects 1,2and 3 (CIP1,2,3) with a combined IDA volume of around US$100m and expected to reach the Board lrst quarter of 2007. This will include Kenya (CIP1or Transparency & Communications Infrastructure Project - TCIP), Burundi (CIP2) and Madagascar (CIP3). Subsequent phases will reach the Board based on readiness of countries applying for support under the Program as well as availability of IDA/IBRD financing. Interested candidates include Malawi, Rwanda, Mozambique, Tanzania, Zambia, DRC and Mauritius (IBRD). It is also expected that other countries will accelerate their dialogue to use IDA funds once the first Phase moves to effectiveness. It is also expected that some RCIP-related ICT components will be included in national projects where scaling-up existing or pipeline country-specific project components makes sense or is found to be more efficient. By the end of the program, all capitals and major cities in East and Southern Africa should be linked to the global Information and Communications network through competitively priced high-bandwidth connectivity. Traffic in the region is expected to increase by at least 36%Compound Annual Growth Rate (CAGR),and bandwidth costs projected to start at around US$150/Mbit in 2008 at retail level and rapidly decline further. This in turn should lead to lower prices for telephone services and better access to the Internet that will significantly improve foreign and local private investment opportunities in the region, decrease the cost of doing business and increase the prospects for job creation and wealth generation while enabling countries to reap the benefits of ICT as a platform to deliver services to their citizens. PROJECTDEVELOPMENTOBJECTIVEAND KEYINDICATORS The RCIP Program, the CIP 1,2,3and following CIP Projects have two overarching development objectives (i)to support populations and businesses across the Eastern & Southern Africa region to have access to quality and affordable telecom services (the "connectivity development objective") and (ii)making use of affordable capacity, contribute to improved efficiency and transparency of selected government functions/entities through e-government applications (the "transparency development objective"). ENVIRONMENTALRESOURCESMANAGEMENT 6 RCIPESMF Project components The proposed 10-year,multi-phase APL will assist Eastern and Southern African countries to implement a strategy of effective connectivity by (i)offering technical assistance to promote further sector liberalization and resolve market efficiency gaps, (ii)financing coordinated backbone deployment to avoid redundant infrastructure initiatives and focus on missing links, (iii)designing public private partnership (PPP)arrangements to leverage private sector investment. To maximize flexibility and client-responsiveness in a multi-country environment, RCIP has been designed as a menu of options which individual Governments choose from in order to package their RCIP operation. The various country-specific operations within the RCIP umbrella program will include a number of specific components and subcomponents, drawn from the following menu of options, which have been grouped under three broad headings or components. Component 1: Enabling Environment, including Monitoring 6 Evaluation capacity- building. This will include the following subcomponents: (a)technical assistance to promote further sector liberalization and regulatory reforms so as to maximize the benefits of the regional infrastructure, from access to capacity (cost-modeling, tariff regulation, interconnection, essential facility regulation, competition policy and regulation, spectrum and other scarce resource management); (b) capacity building and training in the implementation of regulatory reforms; (c)accelerating the establishment of the legal and regulatory framework for the information society, in particular, on security of e-transactions, privacy and data protection, intellectual property rights, etc.; (d)supporting continued sector reform to maximize the impact of the connectivity component and strengthening the Public Private Partnership (PPP)framework to provide a sound basis for both the connectivity and eGovernment component; and (e)building monitoring and evaluation capacity. While it is expected that not all countries will require the same level of support in all these areas, this enabling environment component is eminently regional in nature, as it will support the further opening of the sector in the participating countries, with important spillover effects due to increased traffic in the regional network and a consequent reduction in the overall costs. In addition, common areas of technical assistance and capacity building initiatives (in particular training courses) can be implemented as multi-country activities. Component 2: Connectivity. This will include the following subcomponents: (a) supportfor the financing of an Eastern Africa Submarine System (EASSy)landing station or virtual landing station (for landlocked countries), which is expected to be essentially a passive infrastructure project with limited multiplex and switching equipment aimed at guaranteeing fair and unfettered physical access by all operators to the backhaul and EASSy network, as well as support for the creation of a national Internet Exchange Point (IXP),run by an association of operators or a private third party venture, with regional connections to other Internet Exchange Points (IXPs);(b)support to finance pre-purchase of capacity on the EASSy cable, backhaul and national backbone networks, as well as in rural areas, for targeted users (schools,universities, hospitals, eGovernment use as well as targeted user ENVIRONMENTAL RESOURCESMANAGEMENT 7 RCIP ESMF groups) with discounted capacity prices; (c)supportfor the deployment of regional backhaul links across the borders with neighboring countries to reach the EASSy landing point, together with support for the deployment of the national backbones, on the basis of PPPs, leveraging private sector investment; (d)support to finance the establishment of a government virtual private network (GovNet) to cater to all the government communications needs (both data and voice/video); and (e)support to extend ICT in rural areas and/or community-driven ICT development on the basis of PPPs with competitive award of subsidies. These sub-components should also be seen in the larger context of RCIP as they are key elements to ensure the viability of the regional communications infrastructure supported under RCIP. For instance, without the potential increased traffic made possible by an acceleration of national infrastructure roll-out and application building, the regional infrastructure may not be viable and therefore may not materialize. Conversely, without cross-border initiatives such as the EASSy project or other complementary cross-cross-border projects, the individual countries may not be in a position to achieve low-cost broadband access and therefore may not be in a position to advance their growth agenda and overall global competitiveness. Landlocked countries in Eastern and Southern Africa are especially disadvantaged as they need to interconnect with incumbents or national long distance operators in intermediary countries to backhaul traffic to the landing point and often pay exorbitant prices in the process. Effective cross-border links and supporting regulatory frameworks are therefore critical for the region as a whole. Component 3: Transparency - eGovemment Applications. This component will target five to six major government applications amongst the government services which are candidates for transition to eGovernment delivery. The government services will be prioritized as follows: (a)implement eGovernment in quick win areas where there is a change champion, where private sector participation can be leveraged, and where the impact would be greatest in terms of transparency and accountability (e.g.,customs, inland revenue services, pensions, drivers license/vehicle registration departments, utilities payments, etc.);and (b)introduce transaction based e-Procurement in selected departments based on high amounts but low volumes of transactions (transport), or in departments with low amounts but high volumes of transactions (health). This component will also support, where required, the establishment of a scalable transaction-enabled Government portal on which to anchor key eGoverment interventions and real time monitoring and evaluation. Application development will also be critical in ensuring the viability of the regional communications infrastructure, as it will ensure increased demand for access, increased traffic and therefore the viability of the low cost high volume business model of EASSy, and related cross-border infrastructure links which the RCIP supports. ENVIRONMENTALRESOURCESMANAGEMENT 8 R a p ESMF 1.3 ANTICIPATED SUBPROJECT TYPES AND LOCATIONS The project aims to finance structures such as the building of national terrestrial backbones, rollout of rural networks, and of the landing stations. Under the new design, financing of submarine cables is not envisaged. At this pre-appraisal stage, it is not clear in which locations the activities will be targeted. However, it is highly likely that the networks will be following existing right of ways of current installations. The two main World Bank safeguard policies triggered are the OP 4.01for Environmental Assessment and OP 4.12 for Involuntary Resettlement,as explained below. Yes If applicable, how might it apply? [x ] En7lironnlerztnl Assessnici~t(OP/BP/GP 4.01) The project aims to finance structures such as the construction of ducts for laying the fiber optic networks or from the construction of ancillary infrastructure, notably access roads, associated with towers for microwave links and rural wireless systems. Under the new design, financing of submarine cables is not envisaged. The risks associated with this kind of infrastructure are generally low, and the project is therefore assigned to environmental category B under OP 4.01.An Environmental and SocialManagement Framework (ESMF)will be prepared for the overall program. Specificcosted Environmental Management Plans (EMP)be prepared as necessary for the terrestrial facilities during project implementation, in line with the ESMF, once the exact locations of those facilitieshave been identified. The ESMF will be submitted for Bank review and publicly disclosed in the affected countries and InfoShop prior to appraisal. [I Natural Habitats (OP/RP4.04) [] Pest Management (OP4.09) [I Cultural Property (OP 4.11) [x] lnuoluntay Resettlement (OPfiP 4.12) Land acquisition for terrestrial facilities will likely trigger OP 4.12 Involuntary Resettlement considerations. A Resettlement Policy Framework (RPF)will be prepared for the overall program. Specificcosted Resettlement Action Plans (RAPS)will be prepared as necessary for the terrestrial facilitiesduring project implementation, in line with the RPF, once the exact locations of those facilities have been identified. The RPF will be submitted for Bank review and publicly disclosed in the affected countries and InfoShop prior to appraisal. [ 1 Indigenous Peoples (OP4.10) [ I Forests (C)P/AP 4.36) [] Safety of Dams (OIJ/U134.37) [ 1 Projects in Disputed Areas (0J4?lJ/GIJ7.60) [ 1 Projects on International Waterways (OP/BP/GP 7.50) ENVIRONMENTAL RESOURCESMANAGEMENT 9 RCIP ESMF OBJECTIVETHEESMF OF The main objective of this study is to develop options for the implementation of an Environmentaland SocialManagementFramework (ESMF)and a Resettlement Policy Framework (RPF)to be used for the environmental and socialscreeningand assessment of backbone and rural telecommunicationsinfrastructure project components to be funded within the framework of the Regional Communications Infrastructure Program for East & Southern Africa (RCIP). The Frameworkswill provide guidelines for the development of country- and project-specific EnvironmentalManagementPlans (EMP)and Resettlement Action Plans (RAPS),which will include criteria for the selection of sites for the construction activities related to the implementation of the projects under the Program, and for the design of environmental and social impact mitigation measures. ENVIRONMENTAL RESOURCESMANAGEMENT 10 RCIP ESMF RCIP IMPLEMENTATION ARRANGEMENTS REGIONAL COORDINATION The overall connectivity initiatives in East and Southern Africa needs to be managed and coordinated both at national and regional levels. They also need to be coordinated with regards to activities financed by the World Bank Group as well as with activities privately funded, directly funded by Governments or funded by other Development Partners. The regional coordination is particularly relevant to ensure seamless connectivity, harmonized policy frameworks and increased scale economies. The ultimate objectiveof the World Bank Group and its development partners is to support several projects aimed at linking East and Southern African countries to one another and to the rest of the world by 2010. In this context, it is important to manage and keep track of on-going national and cross-border infrastructure roll-outs, and the harmonization of policy frameworks so that national policy frameworks converge towards a harmonized policy framework. Considerable work has already been done in getting different governments to coordinate national programs, with some activities being financed by the World Bank Group and other donors as noted in earlier discussions. It is also likely that existing convening frameworks will continue to be used. These include: government policy forums under the African Union sponsorship: policy forums are regularly convened for the ICT sectors at the Ministerial level for policy decisions or at the technical level for policy development. This also includes activities carried out by the NEPAD eAfrica Commission (based in South Africa) which has tabled the NEPAD ICT Broadband Network Protocol which should be undergoing revisions following inputs by the industry. operators forums under the EASSy, East Africa Backboneoperators association (EABs)and Southern Africa Telecommunications Association (SATA): the EASSy and EABs initiatives have led to regular discussion and coordination amongst operators driven by the desire to accelerate infrastructure roll-out. This is now being mirrored in the context of SATA. all-stakeholders meetings and the joint Government/Operators/Development Financial Institutions Task Force. With the exception of the NEPAD eAfrica Commission meetings, most of the above convening/coordinating activities have been carried out without the need for donor financing and we expect this to continue. NEPAD eAfrica Commission activities have been supported with various grants including from PPIAF. Other donors are currently contributing to its financing. Any additional World Bank Group-related trust funds may be subject to increased efforts by the Commission to broaden the consensus (including with telecom operators) around its regional ICT infrastructure-related activities. It is expected that these convening frameworks will continue to be used for overall coordination, monitoring of progress in policy harmonization, monitoring of progress in the roll-out of cross-border infrastructure. ENVIRONMENTALRESOURCESMANAGEMENT 11 RCIP ESMF Kenya - National Coordination The Kenya Transparency & Communications Infrastructure Project (TCIP)will be anchored at the Ministry of Information and Communications (MoIC). This is consistent with (a)identification of the MoIC as a champion for change and improved governance and (b)the MoIC team track record of consistently delivering over the last 15months on challenging sector reform issues which are critical for this project notably the push to leverage private sector participation with the actual liberalization of the market (over ten international gateway licences delivered over the last 8 months), the engagement of Telkom Kenya restructuring and privatization (an on-going IFC Advisory Services mandate), and the commitment to national and cross-border infrastructure open access defended by MoIC. Implementation Agency: the ICT Board An independent agency created in the MoIC, the Information & Communications Technology Board (the "ICT Board) will be in charge of marketing Kenya ICT business process outsourcing (BPO)opportunities both abroad and in Kenya. Given the scope of the project and the responsibilities of relevant government agencies in implementing the components of this project, the MoIC decided to house the TCIP implementation unit in charge of the coordination, overall monitoring and reporting of the project's activities in the ICT Board. The TCIP-related staff would include an ICT Board Deputy-Managing Director (or the "TCIP-DMD), with a role equivalent to that of a project manager/coordinator and day-to-day management, as well as a financial management specialist, a procurement officer, a technical manager, a M&E specialist and a Governance officer (who will report directly to the Board of Directors of the ICT Board). The Government is particularly keen in having built-in governance mechanisms to ensure the ICT Board is results-oriented and delivers in line with a set of targets to be agreed upon. In this context, and as part of the measures to strengthen the governance framework, the following features are being proposed: Governance Oversinht Committee:the Board of directors overseeing the ICT Board will act as an independent Governance Oversight Committee (GOC)in charge of overall strategic guidance and direction during implementation, have fiduciary and governance oversight of the main disbursement areas for TCIP, and be responsible for monitoring the implementation of the monitoring and evaluation (M&E) framework, the risk management framework, and of relevant performance agreements. It is proposed that the GOC would have a mixed representation from public and private sector (ex-officioPermanent Secretaries from MoIC, Finance and the Attorney General's Office, as well as 5 members from the private sector chosen by professional bodies). It is also proposed by the Government that due consideration should be given to gender representation and age profile for GOC membership. The GOC will meet every 2 months. Risk mananement: It is also proposed that an institutional risk management framework be established based on consultation and that a risk-based internal audit approach be adopted. ENVIRONMENTALRESOURCES MANAGEMENT 12 RCIP ESMF Monitoring & Evaluation and disclosure ofinformation:To monitor and evaluate the implementation progress, specificmilestones and performance indicators have been set in place. During implementation, project performance, including the achievement of project outputs, progress toward the attaininment of development objectives,and implementation timeline will be monitored through the use of semi- annual progress reports and impact studies prepared by the different implementing agencies. that the monitoring & evaluation related to project funding and implementation progress and inpact will be carried out by the eGovernment Directorate (which has M&E capability) in the Office of the President. Each implementing agency will be responsible for the M&E at their subproject level and will report regularly to the eGovernment Directorate. The eGovernment directorate will consolidate the evaluation results from the different implementation agencies, identify common lessons learned and disseminate knowledge produced through the evaluation to the ICT Board. Performanceageements: Activity performance agreements will be signed between the - ICT Board and line ministries/agencies/entities that are benefiting from this project. Annual performance contracts between the Board of directors of the ICT Board and its key staff (ManagingDirector and deputy Managing Directors). On- going monitoring of the activity performance agreements and annual performance contracts will be carried out by the Governance officer. Communicationstratem: A far reaching communication strategy will be developed and implemented at the ICT Board in close consultation with implementing agencies, key stakeholders and substantive working partnerships with private sector participants. It is also proposed that the compensation package for the Managing Director and the TCIP-DMD be inclusive of a TCIP project performance-related component. The award of this compensation component would have to be validated by the GOC only if targets have been achieved. Other executing agencies under the oversight of the ICT Board The eGovernment Directorate in the Office of the President will be tasked with the implementation of the eGovernment applications component (except e- procurement) in coordination with the entities to implement components under this project. The eGovernment Directorate will also be responsible for the overall project M&E arrangements. The newly created Public Procurement Oversight Authority will be tasked with implementation of the e-procurement activities. Kenet (Kenya Education Network) will be tasked with implementing the capacity pre-purchase scheme for the universities and technical college [this may require a subsidiary agreement]. ENVIRONMENTALRESOURCESMANAGEMENT 13 RCIP ESMF The BPO Industry Association will be tasked with implementing the capacity pre- purchase scheme for the BPO industry [this may require a subsidiary agreement]. Burundi - National Coordination The Ministry of Transport, Posts and Telecommunications (MTIT)will assume overall responsibility for coordination and implementation of the project including procurement, disbursement and financial management. The implementation arrangements of MTPT involve two organizational levels: (i)the Steering Committee will be responsible for guidelines and advice regarding overall policy direction, general project oversight and implementation (ii)the executive secretariat will be responsible for project general coordination and fiduciary management. The Steering Committee will have representatives from MTPT, the 2nd Vice Presidency, and the regulator Agence de Regulation et de ContrBle des Telecommunications (ARCT). The draft ICT policy letter for Burundi proposes the establishment of a National Committee for the Information Society (CNSI)at the level of the 2nd Vice Presidency or the sector ministry, MTPT. CNSI could play the role of the project SteeringCommittee. Day to day implementation of the project will be done through an Executive Secretariat. This secretariatwill assure procurement and financial management expertise and project implementation. This secretariat is proposed to be housed in MTPT to facilitate knowledge transfer. In a second phase, if possible (toreassess at midterm) the role of secretariatwill be assumed by the ministry. The proposed arrangements have been discussed with the Government and the Country Team in the view of the Client's limited capacity for implementation. Madagascar -National Coordination The implementation arrangements proposed for Madagascar for coordination at national level are similar to those proposed for Burundi. The Ministry of Transport, Posts and Communications (MTPC)will assume overall responsibility for coordination and implementation of the project including procurement, disbursement and financial management. The implementation arrangements of MTPC involve two organizational levels: (i)the Steering Committee will be responsible for guidelines and advice regarding overall policy direction, general project oversight and implementation (ii)the executive secretariat will be responsible for project general coordination and fiduciary management. The Steering Committee will have representatives from MTPC, the regulator (currently OMERT (TheMalagasy Officefor Studies and Regulation of Telecommunications) and in the future ARTC ) as well as representatives from other ministries and from the Presidency. Day to day implementation of the project will be done through an Executive Secretariat. This secretariat will assure procurement and financial management ENVIRONMENTALRESOURCESMANAGEMENT 14 RCIP ESMF expertise and project implementation. This secretariat is proposed to be housed in MTPC to facilitate knowledge transfer. In a second phase, if possible (to reassess at midterm) the role of secretariat will be assumed by the ministry. The proposed arrangements have been discussed with the Government and the Country Team in the view of the Client's limited capacity for implementation. - RCIP ESMF 3 LEGISLATIVE, REGULATORY AND INSTITUTIONAL FRAMEWORK 3.1 LEGISLA~VEREQUIREMENTS ENVIRONMENTALMANAGEMENT FOR This section provides a general overview of the applicable legal frameworks in the countries included in Phase I including the laws and regulations for environmental management and related sector laws and requirements for environmental impact assessment studies. Law no. 90-033, dated October 21" 1990,pertaining to the Charter of Malagasy Environment The Charter of the Malagasy Environment includes the general principles of the national environmental policy, and measures for making them operational within the overall development framework of Madagascar. The starting point of the Charter is the environmental permanent data of Madagascar: humans, land and sub-soil, ecosystems, endemism. The Charter defines the major lines of the National Environmental Policy and presents the main directions. This policy defines all the measures that determine the orientations of the environmental protection actions. This policy should be able to evolve. It is translates into operations in the framework of the Environmental Action Plan (EAP)as defined within the major challenges of the state: decentralization, divestment, liberalization. The Programs of the EAP are in compliance with a strategy defined at all the levels, including the development of priority projects, called Environmental Projects.Finally, environmental actions cannot be separated from actions for a sustainable economic and social development. The basic principles are: The Environment is priority concern of the state Protection and respect of the environment are everybody's concern. Everybody has a duty to save the setting in which we live. The institutional framework includes: A National Institutional Entity for Environment An advisory entity: the National Commission of Conservation for Development An operational entity:The National Office for Environment (Officenational de l'Environnement - ONE) Several bodies for managing the operations. If the state is to provide impetus and general setting, the major operational responsibilities should be assumed by decentralized communities, associations and citizens groups, or the private sector. ENVIRONMENTALRESOURCESMANAGEMENT 16 RCIP ESMF The Charter defines environment as including all the elements that determine and condition human activity, including: Biological surroundings: humans, flora, fauna; Physical surroundings: biological balance, natural resources, climate, soil; Socio-cultural surroundings: physical or cultural property, created by nature or by men, social organization; Interaction of all the above. In the Charter, Environmental degradation designates: Any action which entails an abusive use of renewable natural resources as compared to their regeneration capacity; Any direct or indirect growth resulting from an abusive use of the environment; Any activity that, without harming directly the environment, could over time become a threat or a danger. In the Charter, safeguarding actions designate works or actions to preserve structures, property or infrastructures, or at least to keep them in their present condition. Prevention, protection or defense actions are safeguarding actions. Finally, in the Charter rehabilitation designates works or actions which will bring back structures, property or infrastructures to their original status. It can also cover socio-cultural aspects like mentality, endeavor, beauty, standards, etc. The charter defines sectoral strategies: Development of education, training and awareness Soil conservation Protection and management of native biodiversity Development of ecotourism Sanitation of the setting of urban and rural life Implementing tools for managing, protecting and continuous monitoring of the environment. The charter defines also regional strategies: High lands in the Center of the country Eastern Coast Western Intermediate Zone Western Coastal area Northern area Southern area. The Charter mandates that an impact study be made on public or private investment projects that could harm the environment, which will consider the technical magnitude of these projects and the sensitiveness of the implementing area. Moreover, operators implementing activities with a detrimental impact on the environment will be liable to compensate the environment or to pay penalties to the State. ENVIRONMENTAL RESOURCESMANAGEMENT 17 RCIP ESMF In conclusion, the Charter should provide: A coherent set of general rules, principles, orientations which would inspire all the environmental legislation; Organizational texts, laws, regulations and instructions or recommendations pertaining to the environment; Laws or regulations with a direct or indirect link to protecting natural resources, and linked to the general concept of environment and development; a Ethics whose main purpose should be to create an ever renewing mentality of rational conservation and promotion of the environment; a A declaration of mission: future generations would inherit a fertile land, renewed resources and better life conditions; A flexibletext which can be changed and improved while programs proceed, techniques get more sophisticated and awareness develops at every level. Decree 99-954 to ensure that investments will be compatible with the environment (known as decree MECIE) Passing the law pertaining to the Malagasy Environment Charter and promulgating the Mise en Compatibilite des Investissements avec ltEnvironnement(MECIE) decree imply that public or private investment projects that could harm the environment would be subjected to an Environment Impact Assessment (EIA)or an Environment Engagement Program (EEP),depending on the technical nature and the magnitude of the projects and the sensitiveness of the location where they will be implemented. The decree aims at fixing rules and procedures to ensure that investments are compatible with the environment, and at clarifying the nature, the duties and the level of authority of institutions or entities designated to enforcing these rules and procedures. In its annexes I and 11, the decree defines the types of projects to get an EIA or an EEP. Projects that should get an EIA are: Land development, construction of structures and works which could affect sensitive areas Plans, programs or policies that could change the natural environment or the use of natural resources, and/or the quality of human environment in urban and/or rural setting. a Use or transfer of technology that could harm the environment Regular, frequent or ad hoc transport by road, rail or air of hazardous materials (corrosive, toxic, contagious, radioactive, etc.) Population displacement involving more than 500 people Land development, structures and works which, depending on their technical aspects, their magnitude and the sensitiveness of their implementation location could have a harming impact on the environment. Among these activities: o Road construction and development, surfaced or not o Excavation and shoulders of more than 20,000 cubic meters ENVIRONMENTALRESOURCESMANAGEMENT 18 RCIPESMF o Water pumping at a rate higher than 30 cubic meters per hour o Units of piling, disposal or treatment of domestic or industrialwaste and other hazardous waste. o Stockpiling hazardous products. Projects that should get an EEP: Any maintenance project of surfaced road of 20 km or more Any maintenance project of non surfaced road of 30 km or more Any utilization or deviation of a classified permanent waterway, exceeding 50 percent of its flow rate in low season Any project of mechanized material extraction in a quarry. The decree quotes the content of the EIA which is detailed in an instruction given by the ONE: A document certifying the legal status of the project's location; A description of the investment project; An analysis of the environmental system affected or which could be affected by the project; A prospective analysis of possible impact of the planned interventions on the above described system; A Project Environmental Management Plan (EMP); A non technical summary written in Malagasy and in French. The EIA can be written in Malagasy or in French. According to the MECIE directive, the project will have to prove that it will comply with the relevant environment standards. If there are no national standards, the developer will follow established standards, which are recognized or recommended by international bodies affiliatedto the United Nations. In case there are several sets of standards, the criteria for selecting one specificset should be included in the study. The ONE, in cooperation with the Ministry in charge of the environment and the technical ministries directly concerned will provide all information and useful data on these standards to the developers. The EIA are handed over to the ONE which is responsible to forward them to the relevant bodies. The EIA are assessed by a Technical Evaluation Committee ad hoe, according to a procedure described in the decree, which includes a public consultation. The committee decides whether or not to give the environmental permit which should be included in any request for authorizing the works, the construction and the development. The request entails the payment of a contribution to the cost of the assessment of the EIA, which is calculated based upon the amount of the investment. EEPs are evaluated by the environmentcell of the technical ministry directly concerned which will write and send the relevant reports to the ministry responsible for the environment with a copy to the ONE. ENVIRONMENTALRESOURCES MANAGEMENT 19 RCIP ESMF The steps mandated by the Project Environment Management Plan should be implemented during all the life of the project; they should be monitored, controlled and if necessary reoriented. If an environmental disruption occurs, the developer will implement all necessary corrective measure. For projects under an EIA, the monitoring and the control should be done by the ministry responsible for the environment, the ministry responsible for that specificactivity and the ONE. For projects under EEPs, the monitoring and the control should be implemented by the environment cells at the relevant ministries which will send their reports to the ministry responsible for the environment and to the ONE. Local governments will participate to the monitoring and control, as well as the relevant environmental bodies for the projects. Ministerial Decree no. 4355/97 pertaining to the definition and delimitation of sensitive areas This ministerial decree aims to implement the decree enforcing the compatibility of investments with the environment. Its goal is the definition and delimitation of areas particularly sensitive as per the articles of this decree. An area is considered as sensitive if it involves one or several elements (in the areas of biology, economy, climate, physics and chemistry, culture, socio-economy)which have a specificvalue and are sensitive to human activities and natural events which could change these elements and/or harm or even destroy that area. From the generic point of view, these areas include: Coral reefs, Mangroves, Islets, Tropical forests, Areas prone to erosion, Arid or semi-arid zones prone to desertification, Swamps, Natural conservation zones (including zones sheltering protected and/or disappearing species), Protective perimeters for drinking mineral or underground water, Areas of paleontology, archaeology, or historical value as well as their protective perimeters. Each sensitive area is specificallydefined and delimited in the annex of the ministerial decree. It is important to note that, according to the MECIE decree, any project which could affect a sensitive area should be evaluated under an EIA. ENVIRONMENTAL RWURCES MANAGEMENT 20 RCIPESMF 3.2.4 Act no. 98-029 pertaining to the Water Code, December 1998 This Code deals with the following: Water as a public property; Management, conservation and development of water resources; Drinking water and sanitation as a utility; Collection of domestic waste water; Water policy ; Financing Water and Sanitation sector; Organization of the Water and Sanitation sector. The Water Code stipulates that water is a public property which can be taken only under the conditions of the current civil law in Madagascar. Any take or spill is under supervision of the administration. Any work and/or take on surface or underground water must be authorized (besideslimited take for personal use) by the National Water and Sanitation Authority. Any person or organized body, public or private who practices a polluting activity or an activity which contains a risk for the water resources or for the hygienic status of the environment shall take any step to stop or prevent the danger. The law complies with the principle that the polluting person is the one who pays. Waste control shall comply with the environmental requests linked to the law 90-003 on the Environment Charter. Any person or organized body who produces or keeps waste which could be hazardous for the natural environment or public health is responsible for its disposal or treatment by ways which protect the environment. The Water Code deals also with sanitation which aims at making unhealthy conditions disappear: sanitation of towns and disposal or treatment of used waters. Before any development, construction of structures or other works are implemented, a public survey and an Environmental Impact Assessment should be performed, when these works could affectthe environment and disrupt the ecosystem. Any dumping on a watershed of unhealthy material or which could harm the water's quality is forbidden.The law deals also with enforcing regulatory documents for protecting the plant cover of watersheds and forests near waterways. Law no. 99-021 pertaining to the policy of control and management of industrial pollutions This law defines the general framework for the rational management and control of industrial pollutions. The law stipulates that, in case harmful impact of pollutions could be generated by industrial activities, appropriate steps and prevention measures will be taken, as well as the overall management and rational control of the industrial environment. Any industrial operator is obligated to safeguard the environment with a cleaner production, and the reduction, valorization, treatment and disposal of industrial waste. ENVIRONMENTALRESOURCESMANAGEMENT 21 RCIP ESMF The law defines the institutional, legislative and regulatory framework. This framework refers to the Constitution in which the environment protection is a basic principle, and refers to the Environment Charter. The management and control of pollutions is as first priority the responsibility of the Ministry in charge of Industries, in cooperation with the Ministry of the Environment. The private sector and all the citizens participate also to the implementation of this policy, everyone at his own level. Kenyan Acts of Parliament which mention the environment and/or natural resources are numerous. But some are more direct than others, and thus indicate certain critical areas of legal intervention in the management of natural resources and the environment. A prominent feature of Kenya's environmental legislation is its diffuse nature with provisions being contained in about 77 statues. Most of the statutes are sectoral, either by natural resources such as fisheries, water, forestry and wildlife, or by the functional sectors such as public health, agriculture, factories, mining, shipping or chiefs' authority. 3.3.1 Requirements ofthe Environmental Management and CoordinationAct (EMCA) 1999 EMCA 1999was enacted in 2000 to harmonize environmental legislation previously scattered among 77national laws. As the principal environmental legislation in Kenya, EMCA sets the legal framework for environmental management. Its core elements are as follows. Creation of a National Environmental Management Authority (NEMA) EMCA 1999allows for formation of the National Environmental Management Authority (NEMA)as the body charged with the overall coordination of environmental protection in Kenya, mainly through setting and harmonizing standards for environmental quality. NEMA was established in 2001, and is headed by a Director General appointed by the President. The Director General is assisted by several directors in charge of Enforcement, Education, and Policy, who in turn are assisted by Assistant Directors and Senior Officers.To facilitate coordination of environmental matters at a District level, EMCA 1999allows for the creation of District Environmental Committees (DEC)chaired by respective District Commissioners, and the appointment of a District Environmental Officer who oversees environmental coordination and is also secretary to the DEC. Environmental Assessments Section 58of EMCA requires that an Environmental Impact Assessment precedes all development activities proposed to be implemented in Kenya. This requirement was operationalised by NEMA through its publication of the Guidelines for the Conduct of EIAs and Environmental Audits (Kenya Gazette SupplementNo. 56 of 13thJune 2003). ENVIRONMENTALRESOURCESMANAGEMENT 22 RCIPESMF The framework for environmental assessment in Kenya and a description of types of development that should be subjected to environmental impact assessment are outlined in Legal Notice 101and the Second Schedule of EMCA respectively. Legal Notice 101is silent on the minimum size threshold for projects triggering EIA requirements. However Section lO(2)(Part 11)of Legal Notice 101allows for the approval of proposed projects at the 'Project Report' Stage. This Section is used by NEMA to grant Environmental Licensesto small projects without the requirement for a full-scale EIA. Environmental Audits Under Sections 68 and 69, EMCA requires that all ongoing projects be subjected to annual environmental audits as further expounded in Regulation 35 (1)and (2)of Legal Notice 101of June 2003. Part V of the Legal Notice 101defines the focus and scope of Environmental Audit studies as including an appraisal of all the project activities, within the perspective of environmental regulatory frameworks, environmental health and safety measures and sustainable use of natural resources. Sectoral Coordinationin Environmental Protection Among other functions, EMCA mandates NEMA to regularly review and gazette standards and regulations for environmental quality as a way of guiding activity in all sectors. Further, in recognition that EMCA is an umbrella law coordinating diverse sectoral statutes, all of which are still in force, the Legal Notice 101of EMCA requires that the respective sectors be consulted as 'Lead Agencies' in making decisions pertaining to environmental assessment for projects in respective sectors. Therefore to ensure that NEMA does not approve projects that contradict sector policies and legislation, all EIA reports are subjected to review by the relevant sector in their capacity as Lead Agency. Their opinions have a strong bearing on the final decision arrived at by NEMA. Preparation of a State of the Environment Report State of the Environment Reports are issued annually for the entire country and also for each individual district. They are tools for environmental monitoring, and outline progress made in environmental management via existing policy goals and strategies and through the publication of emergent environmental concerns, especially those pertaining to unsustainable utilization of natural resources. 3.3.2 Environmental Protection through Sectoral Laws Since the advent of EMCA, all sectoral laws require that EIAs be undertaken for all major projects touching on the sectors. Through the process of public disclosure demanded for all EIA reports, all proposed developments are subjected to public debate which facilitates development of a public position. ENVIRONMENTAL REX)URCESMANAGEMENT 23 RCIP ESMF Some specificsectoral laws have important requirements for environmental / natural resource protection as follows. (a) Legislation Relevant to Water Resources Water resources are dealt with under several sectoral statues and it is not practical to bring all those statutes under one heading. The Agricultural Act (Cap318),for instances has several provisions on water resources especially in relation to catchment conservation, because agriculture depends on water supply and security. But the Agriculture Act provides that where any provision there is inconsistent with a provision of the Water Act, the provisions of the latter shall prevail. This part is therefore restricted to an overview of the Water Act No. 8 of 2002. The additional instruments in Kenya's law are the National Water Conservation and Pipeline Corporation Order of 1988issues as Legal Notice No. 270 in 1988.Other legislation that have a bearing on the management of water resources include; the Forests Act (Cap 385),the Irrigation Act (Cap 347),the Malaria Prevention Act (Cap 246), the Fisheries Act (Cap378),the Lakes and Rivers Act (Cap 409), the River Basin Development Authorities Act (Cap 443), the Maritime Zone Act (Cap371) and all the land tenure and land use legislations. The purpose of the Water Act according to its title is to provide for the management, conservation, use and control of water resources and for the acquisition and regulation of rights to use water, to provide for the regulation and management of water supply and sewerage services. Except for waters that are wholly situated in a private landowner's domain, the Act vests the rights over all surface and ground water in the state. This is only subject to the rights which users may acquire under license from time to time. The overall power for the control of every body of water is exercised by the Minister. He has the duty to promote the investigation, conservation and proper use of water resources throughout Kenya. The Act provides for a Water Resource Management Authority whose functions include, inter alia, develop principles and procedures for allocation of water resources, monitor national water resource management strategy, determine applications for permits for water use, regulate and protect water resources quality from adverse impacts, manage and protect water catchments, etc. In addition, under the Water (Catchment Board) Rules promulgated by the Minister, the country is divided into six Catchment Boards, vis- a-vis Tana Catchment Board, Rift Valley Catchment Board, Athi Catchment Board, Ewaso Nyiro Catchment Board, Lake Victoria (North)Catchment Board, and Lake Victoria (South) Catchment Boards. But these boundaries are subject to variation depending on available hydrological information. Under the Act, the Minister may declare an area to be a conservation area and direct that special measures be taken for the conservation of ground water therein. Every person who has been using ground water in an area declared to be a conservation area and who desires to continue with the use must obtain permit within six months of the order. It is an offence to disobey such an order. Protection of water supply is clearly a critical issue under the Act. Once the Minister has appointed a water undertaker to be responsible for control and distribution in a given area, there is a corresponding commitment to ensure the security of the supply. Accordingly, whenever the Minister is satisfied that special measures are necessary for the protection of a catchment area from which water is obtained; he may declare such an area to be protected area. By order, the Minister may regulate or prohibit activities within that area which may be contrite to the requisite conservation goals. As in-depth analysis of the new Water Act reveals that the Act has created an integrated water resources management framework in Kenya. (b) Environmental Health The health of the environment is a broad issue that should apply to any activity occasioning environmental degradation. However, what we have in Kenya is construed rather narrowly to apply only to environmental problems which affect the human body, but not including diseases. For brief analytical purposes, it is handled in four subsections, namely: Public Health The Working Environment Radiation Control The Management of Hazardous Wastes Public Health Under this section the review is confined to the provision of the Public Health Act (Cap 242), the Traffic Act (Cap403), the Local Government Act (Cap 265), the Penal Code (Cap63) and the Factories Act (Cap.514).Within the Public Health Act, the sections on housing and prevention of mosquitoes are directly pertinent. On sanitation the Act borrows from the common law doctrine of nuisance which makes it an offence for any landowner or occupier to allow nuisance or any other condition liable to be injurious or dangerous to health to prevail on his land. A medical health officer, once satisfied of the danger, may issue an order requiring the owner or occupier of the land to remove the nuisance. In addition, the Minister on the advice of the Central Board of Health may make rules and confer powers and impose duties for the carrying out of environmental health matters. Such matters may include inspection of building for their sanitary condition, construction standards and ventilation for buildings, drainage of land, keeping of animals etc. Fighting malaria is also a critical environmental task dealt under the Act. Part XI1 makes it an offenceto leave on one's land or premises, any collection of water, sewage, rubbish, well, pool, gutter, channel cesspit, latrine, urinal or dung pit where mosquitoes may breed. Such a situation constitutes a nuisance. Any person who fails to clear such a nuisance is guilty of an offenceunder the Act. ENVIRONMENTAL RESOURCES MANAGEMENT 25 RCIP ESMF Environmental health requirements are also provided for under the general powers and duties of the local authorities in the Local Government Act (Cap 265). Municipal Councils are required to provide and maintain sanitary services, sewage and drainage facilities,take measures for the control, destruction of rats, vermin, insects and pests, control or prohibit industries, factories and businesses which emit smoke, fumes, chemicals, gases, dust, smell, noise vibrations, discomfort or annoyance to the neighborhood, and to prohibit or control work or trade of disinfect ion or fumigation by cyanide or other means. The Penal Code (Cap 65)carries the offenceof common nuisance identical to that in the Public Health Act. The offenceunder the Penal Code is a misdemeanor punishable by imprisonment for one year. This however is distinct from that in the Public Health Act which may require the offender to abate the offence. Air pollution is dealt with by the Traffic Act (Cap403) and the Factories (Amendment)Act of 1990.The Factories Act specificallyprohibits factories from emitting any dust, fumes or impurities into the atmosphere without undergoing appropriate treatment to prevent air pollution or other ill effectsto life and property. The amendment further prohibits the use of any stationary internal combustion engine, discharging exhaust gas into the atmosphere without treatment. The Traffic Act prohibits air pollution through Section 51which requires that motor vehicle use proper fuels. The Rules promulgated under the Act provide that every vehicle be so constructed, painted and used as not to emit any smoke, or visible vapor. Air pollution as a manifestation of nuisance is also prohibited under the Mining Act (Cap306).Section 26 requires that a holder of prospecting or mining license who causes a nuisance or damage to a landowner or lawful occupier to pay reasonable compensation for such nuisance or damage. The Working Environment The two statues relevant to this subject are the Factories Act (Cap 514)and the Mining Act (Cap 306). The primary environmental requirements under the Factories Act are that each factory must observe as high standards of cleanliness as are possible for the respective operations; avoid overcrowding, construct and maintain adequate ventilation, provide and maintain suitable natural or artificial lighting, as appropriate, provide drainage of floors and construct and maintain clean sanitary conveniences. The Minister for Labor may make rules specifying the requirements for these standards. All the standards prescribed and the rules promulgated by the Minister are however to be enforced by the local authority with thejurisdiction over the area in question. The Act also establishes the National Advisory Committee on Occupational Health and Safetychaired by the Chief Inspector of factories who is responsible to the Minister for Labor. ENVIRONMENTAL RFXJURCESMANAGEMENT 26 RQP ESMF The Mining Act (Cap306) consolidatesthe law relating to exploitationof natural resources; however it empowers the Minister to promulgate regulation for purpose inter alia of the safety and health of persons employed in the mines in a safe, proper sanitary and effectual manner. Radiation Control Since 1982,Kenya decided to join in the global movement for the use of nuclear energy for peaceful purposes, a movement lead by the International Atomic Energy Agency (IAEA). Most of such uses are in the fieldsof medicine, agriculture, energy and environmental monitoring.The dangers of injury to the public prompted the adoption of the Radiation Protection Act (Cap243)in November 1984to provide according to its citation,protection of the public and radiation workers from the dangers arising from the use of devices or materials capableof producing ionizing radiation and for connected purpose. The Act prohibits the unauthorized manufacture, production, possession or use, sale, disposal, lease, loan or dealership, import, export of any irradiating device or radioactive material.All authorized buyers, sellers, users, of such device must be properly licensed. The Act is administered by the Chief Radiation Protection Officer assisted by a RadiationProtection Board, Mananernent ofHazardous Waste In the foregoingsection, we see that radiation protection focuses largely on protection of human beings against injury by such wastes or radiations. The Public Health Act also is concernedwith the protection of human health. Section75 of the Constitutions whose purpose is protection from the deprivation of property, empowers the government to acquire property " in circumstanceswhere it is necessary to do so because property is in a dangerous state or injurious to the health of human beings or animals or plants." This is the closet reference to the protection of the environment. To date, Kenya does not have a statute that deals with the management of hazardous waste (includingdisposal)as such. And despite the numerous international conventionsand protocols that deal with hazardous waste such as the London Convention,the Base1Convention and the Bamako Convention,it still remains for Kenya to develop and adopt national legislation on the management of hazardous waste. The current Environmental Management and Co-ordinationAct in Kenya, only provides for framework law for the management of hazardous wastes. Currently, the National Environment Management Authority is in the process of developing regulations that will prescribefor the management of waste.These Regulations will have to be gazetted by the Minister of Environment and Natural Resourcesbefore they can be enforced as law. ENVIRONMENTALRESOURCESMANAGEMENT 27 RCIP ESMF (c) Legislation on Fisheries Fisheries resources of Kenya fall into two categories: marine and inland. As far as marine fisheries are concerned,the Fisheries Act No. 5 of 1989and the Maritime Zones Act No. 6of 1989are complimentary.But the Fisheries Act stands alone on the island fisheries so it applies to both categories uniformly. The purpose of the Fisheries Act as stated in its citationis to provide for the development, management, exploitation,utilization and conservationof fisheries and for connected purposes. The Act requires that for any vessels to fish in Kenyan waters they must be registered by the Director of Fisheries. Pollution as it affects fisheries is dealt with in the Regulationsmade thereunder. However, there is no mention of the subjectin the principal Act. The Kenyan fishery waters are declared to be pollution prevention zones, presumably to mean an area within which discharge of pollutants including oil or oily wastes is strictly controlled. (d) Legislation applicable to the marine environment The provisions of the FisheriesAct apply to a great extent to the marine environment even though inland waters are also covered.Other statutesrelevant to the marine environment are:The Maritime Zones Act No. 6 of 1989,the Wildlife (Conservationand Management)Act Cap 376, the MerchantShipping Act (Cap389) the Petroleum (Explorationand Production)Act Cap 308 and the Public Health Act (Cap242). The Maritime Zones Act of 1989sets out a prerequisite to the rational conservation and management of the Kenyan marine resources and the environment by prescribing the limits of nationaljurisdiction. It specifies the territorial wastes of Kenya extend outwards to 12nautical miles, from the baseline. The Exclusive Economic Zone (EEZ)on the other hand extends 200 nautical miles from the same baseline. This statute brings Kenyan claims in line with the provision of the Montego Bay Conventionwhose regime specifiestoo, that within the EEZ, the coastal state has sovereignrights and exclusivejurisdiction for the purposes of exploration and exploitationof the living and non-living resources, regulations and preservation of the marine environment, establishmentand use of artificial islands, terminal and the controland authorization of scientificresearch.The statute also empowers the Minister to make regulation for the protection of the marine environment and regulation of exploitationand explorationof marine resources. (e) Legislation on specifically protected areas These are areas which through gazettement by the government are designates as protected by law. Applicable statutes are the Forest Act Cap 385, the Wildlife (Conservationand Management)Act Cap 376. Under the Forest Act, the Minister of Environment and Natural Resourcesmay from time to time declareunalienated Government land to be a forestare or part thereof ENVIRONMENTALRESOURCESMANAGEMENT 28 RCIPESMF to be a "nature reserve" whereby strict preservation of flora and fauna are undertaken. The principal legislation dealing with the management of wildlife resources is the Wildlife (Conservationand Management) Act of 1989.Wildlife in Kenya is classified as a national heritage held in trust for the benefit of the public. The administrative agency charged with the control and management of national parks and management of wildlife in general is the Kenya Wildlife Service (KWS).This regulatory regime requires that the Minister can declare that a given area is a national park, nature reserves or a sanctuary by gazette notice. The Act also provides for various offences and penalties thereof for those who enter and reside, hunt, collect products of bees or animals or their trophy, introduction of alien species, disturbing or quarrying animals, damaging geological, pre-historic, archeological or marine and other scientificobjects or structures lawfully places in the parks, sanctuaries or reserves. In addition Cap 376 also provides for the regulation of the movement of tourists through the parks, as well as licenses for access thereto. However, the statute does not make specificprovision for the conduct of tourists which degrades the territorial or aquatic environment. In Burundi environmental management is governed by legal documents, some of which were designed long before the Environmental Ministry was established.The Law n. 1/010 of 30 June 2000 establishes the Environmental Code for Burundi, with the view to clarlfy and harmonize the environmental legal framework of Burundi. Law no2/010 of 30 June2000 establishing the Environmental Code in Burundi The code introduces the Environment Impact Assessment (EIA)for any development project. The code envisions the promulgation of by-laws to complement a list of activities for which EIA is compulsory (Art.24).An additional text will also define the national guidelines for further EIAs.The code already mandates that it will be mandatory for the Impact study to include the following points: The analysis of the initial condition of the site and its environment; The evaluation of the predictable consequences of implementing the project on the site and its human and natural environment; A list and description or steps planned by the applicant in order to suppress or reduce and if possible to compensate for the harmful consequences of the project on the environment and an estimate of the related expenses; The presentation of other alternative potential solutions and according to which rationale, from the environment protection point of view, the version of the project which was presented was selected. ENVIRONMENTALRESOURCESMANAGEMENT 29 RCIPESMF / I The Environment Code covers all the natural and artificial elements,as well as economic,socialand cultural factors which determine the existence,the transformation and the development of that environment, entities and human activities. The Environment Code prepares prescriptions for: The protection and development of natural resources: soil and sub-soil,water, air, forests,all the protected areas and the biodiversity; The protection and development of the human environment:protection of the cultural values, development of land and human settlements Pollution and nuisance control,among them:facilitiesclassified for protecting the environment, waste, chemicalswhether toxic of dangerous. The Government defines the policy and the national strategy for the environment upon proposal by the Minister in charge of the environment. This last is responsible for implementation, in coordinationwith other relevant ministries,if necessary. Article 161of the Environment Code specifies that all measures included in the various codes or legal and regulatory documents which could interfere directlyor indirectly with the dispositions of that codewill be harmonized with the content and the orientations of the same law, within five years. 3.4.2 Relevant decrees and legislative requirements The major legal documents include: The Decree-Law dated July 17, 1976, on the Mining and Petroleum Code of the Republic of Burundi. In its Article 10, its stipulates that all products from quarries, including peat belong to the state, and Article 146of the same Law stipulates that all the land where quarries are exploited,including peat quarries are State-Ownedproperty, in which survey, research, exploitationand management are under the same Mining Code, and under the authority of the Minister responsiblefor mines.These dispositions rule that swamps, which include a peat site considered as important, become state owned property the day the state decides to exploit it. Government Decree n01/6 of 3 March 1980 creating national parks and natural resemes. The decree indicates the legal status of protected areas, especially with regard to the banning of concession and transfer, specialmeasures for conservingflora and fauna, banning of installation of communitiesin the vicinity of national parks and natural reserves, as well as visits to the inner parts of the area. Law n01/02 of 25 March 1985 establishing the Forest Code. The law provides a set of specialregulations governing the administration, land use, development, monitoring and forest law enforcement.It includes a lot of clauses guiding the conservation and sustainable land use of forestry resources as well as other clauses aimed at facilitatingforestry system integrity. Forestry Code governed by the Government Decree n01/008 of 1st September 1986, establishing theforest code. It aims at determining regulations that are applicableor ENVIRONMENTALRESOURCESMANAGEMENT 30 RCIP ESMF likely to be applicable overall the national territory, as well as any additional related or incorporated aspects, either natural or artificial. Government Decree n10/40 of 18 December 1991 modibing regulations governing the technical and administrative management of quarries in Burundi. The decree modifies Law no1/138of 17July 1976establishing the mining and oil code in the Republic of Burundi, especially in Article 206. Technical departments of the Ministry of Energy and Mining are consulted to decide on the closing of any irrational development activities of a quarry. Government Decree n01/41of 26 November 1992 establishing and organizing the hydraulic public domain.The law (Article1)aims at the following: protection of aquatic environment, preservation of the "water"common resource, definition of water utilization in the interest of every user. The Decree 100/241dated December 31sf,1992,which regulates the disposal of waste water in urban areas. Government Decree n01/032 of 30 June 1993 defining the production and marketing of plant seeds in Burundi. A framework that allows contributing to the strengthening of the seed sector is established in order to produce high-quality disease-resistant agricultural seeds in sufficient quantity. To this end, the decree edicts a series of strict measures aimed at seed protection, multiplication and conservation as well as marketing of certified seeds. Government Decree n01/033of 30 June 1993establishing plant protection in Burundi. The objectiveof the decree is to ensure health protection of plants and products to be multiplied, through prevention and control of plant enemies at the level of their spreading over the national territory and dissemination and extension of plant protection techniques. The decree bans the detention and transport over the national territory of any plant enemy, at either development stage, and submits them to strict control of their export or import. The Ordinance 52/l60 dated November 16, 1995, which regulatesfisheries in the lakes. The Environmental Action Plan, adopted in 1997, which aims at implementing the Agenda 21 adopted at the Rio Summit. LEGISLATIVE REQUIREMENTS TELECOMMUNICATION FOR SECTOR This section provides a general overview of the applicable legal frameworks in the countries included in Phase I for regulation of the telecommunication industry. ENVIRONMENTAL RWURCE MANAGEMENT 31 RCIP ESMF Act # 96-034 dated January 27,1997 Act # 96-034 dated January27,1997, on institutional reform of the telecommunicationssector, and related documents for implementation.The following decrees apply to the telecommunicationssector: Box 3.1 Applicable decrees regarding telecommunication sector in Madagascar Le decret no98-658du 26 AoQt1998, relatif hl'interconnexion dam le secteur des t~l~communications ; Le decret n099-143du 24 fevrier 1999,portant modalites d'encadrement des tarifs des services de t~l~communication ; Le decret no99-144du 24 fevrier 1999,modifiant l'article 8 du decret no97-1155et portant sur le nouveau taux happliquer pour la fixation ainsi que les nouvelles modalites de paiement de la taxe de regulation; Le decret no99-191du 10mars 1999,portant modalites de mise en ceuvre et de financement de l'acces aux services de t~l~communication ; Le decret no99-227du 24 mars 1999,definissant les procedures et mesures a appliquer par I'OMERTpour la reglementation du secteur des telecommunications; Le decret no99-228du 24 mars 1999,portant reglementation et gestion des frequences et des bandes de frequences radioelectriques. Le decret n02001-128du 14fevrier 2001, fixant les modalites d'octroi de licences A TELECOM MALAGASY S.A dans le cadre du desengagement de 1'Etat. Le decret no2003-1068du 04 novembre 2003, portant extension de l'objet du fonds de developpement des T6lecommunications. Le decret no2004-329du 16mars 2004, modifiant les dispositions de l'article premier du Decret no2003-1068du 04 novembre 2003portant extension de l'objet du fonds de developpement des T616communications. Le decret no2004-559du 25 mai 2004, modifiant l'article4.8 du decret n097-1155du 19 septembre 1997,portant reglementation des reseaux et services de t~l~communicationdans le cadre de la loi no96-034du 27janvier 1997. Le decret no2004-560du 25 mai 2004, modifiant les articles 4 et 5 du decret n098-658du 26 aoQt1998relatif hl'interconnexion dans le secteur des t~l~communications. Le dkcret no2004-561du 25 mai 2004, modifiant et completant l'article 8 du decret n097-1155 du 19septembre 1997modifie par le decret no99-144du 24 fevrier 1999,portant reglementation des reseaux et services de tel~communicationdans le cadre de la loi n096- 034 du 27 janvier 1997. Le decret no2004-568du 01juin 2004, completant les dispositions de l'article 28 du decret no99-227du 24 mars 1999defirussant les procedures et mesures appliquer par I'OMERT pour la reglementation du secteur des t~l~commu~cationsdans le cadre de la loi 96-034 du 27janvier 1997. Le decret no2004-569du 01 juin 2004, accordant une derogation a la Vice-Primature en application des dispositions de l'article 28 du decret no99-227du 24 mars 1999, complete par le decret no2004-568du 01juin 2004. Le decret n02005-152du 22 mars 2005, accordant une derogation au Secretariat d'Etat charge de la securite publique en application des dispositions de l'article 28 du decret n099- 227 du 24 mars 1999, complete par le decret no2004-568du 01juin 2004. Le decret no2005-236du 10mai 2005, modifiant et completant les dispositions de l'article 77 du decret no99-228du 24 mars 1999portant reglementation et gestion des frequences et des bandes de frequences. ENVIRONMENTALRESOURCESMANAGEMENT 32 RCIP ESMF 3.6.2 Act # 2005-023, dated October 17,2005 Act # 2005-023, dated October 17,2005 was just published in the "Journal 0fficiel"l. This act gives a framework which will enable investors of all sectors and in all decentralized communities in Madagascar to accessprogressively to the same services as advanced countries in Information and Communications Technologies (ICT).It lobbies in favor of a total liberalization of the sector and to open it to globalization. The Kenya Communications Act (No.2 of 1998)provides the framework for the regulating the communications sector in Kenya. Enacted by Parliament in 1998,the Act was a deliberate attempt by the August House to give legislative teeth to the Postal and Telecommunications Sector Policy Statement (the Policy Statement), which had been issued by the then Ministry of Transport and Communications in January 1997. The Kenya Communications Regulations 2001 clarlfy and expound on the said Act. The Policy Statement defines the policy backdrop within which the telecommunications, radio communication and postal services would be operated and provides a framework for the introduction of certain structural changes in the sector. The Policy Statement was set out against a deliberate move by the government to optimize the sector's contribution to the development of the economy as a whole by ensuring the availability of efficient,reliable and affordable communication services throughout the country. A copy of the Kenya Communications Regulations 2001be found on Irttr~://zzc~zuzo.cch.~o.k~~/docslkcm conrni~inicntioilsrep~llntioirs2001.prIf The telecommunications' operational institutional framework was set up in 1997, by Presidential Decree No 100/182. The key institution is the telecommunications regulation and control agency, ARCT, overlooked by the Ministry of Transport, Posts and Telecommunications. The Ministry of Transport, Posts and telecommunications is the main Ministry in charge of the Telecommunications sector. It defines and ensures the implementation of telecommunications sector policies and enforces sector regulations. (1)1 In French speakingcountriesthe "Journalofficiel"or JOis a governmentpublicationwhich lists new acts, laws,etc.The JOhas officiallegal value (e.g.in Court,etc.) RUP ESMF 3.8.1 National Strategy for developing Information and Communications Technologies (ICT) The National Strategyfor developing ICTs in Burundi was adopted in 2002.This strategy includes an action plan for the years 2002-2004 for the sectors deemed to be the most sensitive.The strategy aims at: Modernizing and expanding the telecommunicationsnetwork; Rehabilitatingthe administration and improving access to information and public services; Developingan economy based upon knowledge; Modernizing the health system and enabling a better access to informationon health: Strengthening the agricultural information system; Developingtrade and industry; Enacting a legislation to offer incentives and promote new informationand communicationtechnologies. INSTITUT~ONALROLESAND RESPONSIBILITIESTHE TELECOMMUNICATIONS FOR AND ENWRONMENTAL SECTOR IN PHASE1 COUNTRIES This section identifiesthe national organizations involved in the telecommunicationssector and in the protection of the environment, natural habitats, and the natural and cultural resources, as well as agencies in charge of the application,enforcementand effectivecontrol of the regulations and norms in these thematic areas. RCIP ESMF Table 3.3.1 Role and responsibilities of i~zstitiitionsand regtilatoy agencies in Madagascarfor RCIP Institution/regulatoy agency Role OfficeNational de l'environnment The Office National de I'Environnement (National Office of the Environment) is totally (ONE)(National Office of the integrated in the environment's institutional landscape in Madagascar and its history takes us Environment) through the various steps of its evolution.But the basic referenceis still the decree which created the ONE. The ONE'S mission is to ensure that economicand development activities will not be accomplished in ways which will be detrimental to the environment. This includes: Elaboration of periodic environmental strategies, Set up of management procedures for application of the decree MECIE, Administrative, technical and financial management of periodic action programs, Environmental action programs and related projects management, Set up of investment and environmental compatibility. Ministry of Culture, Information and The Ministry if responsible for overall policy and decisionmaking regarding information, Communication communication policies and cultural agendas. L'OfficeMalagasy d'Etudes et de OMERT is the regulatory body for the telecommunication sector in Madagascar. It was created Regulation des Telecommunications by the Act # 96-034of January 27,1997 as a public industrial and commercial entity with its own (OMERT) (The Malagasy Office for corporate name and financialautonomy, and was implemented by the decree # 97-1077dated Studies and Regulation of August 28,1997. Telecommunications) This office's mandate is to be the helper and arbiter for the operators and is responsible for enforcing the regulations and the rights of the users. It looks after the industry to operate using proper practices and enforcesthe free competition policy of the Government. Table 3.2 Role and responsibilities of institutions and regulatory agencies in Kenya for RCIP Znstitution/regulatoy agency Role National Environmental Management NEMA is the institution with the legal authority to exercise general supervision and co- Agency (NEMA) ordination over all matters relating to the environment, and is the principal instrument of the Government charged with the implementation of all policies relating to the environment. NEMA's functions, which determine its scope of activities,are more particularly set out in Section 9 (2)of the Act. They include co-ordination the various environmental management activities being undertaken by the lead agencies and promoting the integration of environmental consideration into development policies, plans, programs and projects; undertake in co-operation with relevant lead agencies programs intended to enhance environmental education and public awareness about the need for sound environmental management, publish and disseminate manuals, codes or guidelines relating to environmental management, prepare and issue an annual report on the state of the environment in Kenya and in this regard may directed any lead agency to prepare and submit to it a report on the state of the sector of the environment under the administration of the lead agency establishing and reviewing, in consultation with relevant lead agencies,land use guidelines; advising the Government on legislative and other measures for the management of the environment or the implementation of relevant international conventions, treaties and agreements in the field of environment; advising the Government on regional and international environmental conventions, treaties and agreements to which Kenya is a party, mobilizing and monitoring the use of financial and human resources for environmental management; and rendering advice and technical support where possible to entities engaged in national resources management and environmental protection so as to enable them to carry out their responsibilities satisfactorily. Znstitution/regulato y agency Role Standards and Enforcement Committee Another statutory committee is the Standards and Enforcement Review Committee established under Section 70 of the Act and chaired by the Permanent Secretary under the Minister responsible for environmental matters. The functions of the Committee includes advising NEMA on how to establish criteria and procedures for the measurement of water quality, recommending to NEMA minimum water quality standards for all waters of Kenya, analysing and submitting to the Director General conditions for discharge of effluents into the environment, and documenting the analytical methods by which water quality and pollution control standards can be determined and appointing laboratories for the analytical services required. Other statutory functions of the committee are advising NEMA on how to establish criteria and procedures for the measurement of air quality (Section78), the issue of regulations and guidelines and the prescription and submission to NEMA of draft standards on pesticides and toxic substances (Section94), recommending to the Authority standards for emissions of noise and vibration pollution into the environment (Section101),the establishment of standards for ionising and other radiation (Section104).In this respect the Act confers on the Standards and Enforcement Committee rulemaking powers. This is important in the light of the fact tat regulations and rules are required to implement the framework provisions of the Act. In practice, the draft regulations and standards are adopted by the Board of Management for ownership and then forwarded to the Minister for promulgation and gazettement. The Committee therefore acts as the technical arm of NEMA in setting these standards. Institution/refllatow azency Role The National Environment Council The NEC is established by Section4 of the Environmental Management and Coordination Act (NEC) no. 8 of 1999. The Council held its 7th meeting on 12th August 2003 at which it reviewed and gave directions, on among other things, the formulation of environmental regulations and standards and multilateral environmental agreements. The Council considered and adopted reports from the Public Complaints Committee and the National Environmental Tribunal. Section 5 of the Act says the Council shall: be responsible for policy formulation and direction for the purposes of the Act; set national goals and objectives and determine policies and priorities for the protection of the environment; promote cooperation among public departments, local authorities, private sector, non- governmental organizations and such other organizations engaged in environmental protection programmes; perform such other functions as are assigned under the Act. Ministry of Information and Its role is to license and regulate telecommunications. This includes regulation of: Communications Information and Broadcasting Policy. Film Development, Licencing and Censorship. Kenya Broadcasting Corporation. Kenya News Agency. Kenya Institute of Mass Communication. Communications Commission of Kenya (CCK). Telkom Kenya. Postal Corporation of Kenya (PCK). National Communications Secretariat. Kenya College of Communications Technology (KCCT) The Communications Commission of CCK is the independent regulatory authority for the communications industry in Kenya. It is Kenya (CCK) responsible for developing and co-coordinating the policies and strategies with respect to development and operation of telecommunications services in Kenya. In this regard, the Commission licenses telecommunications operators and service providers, and monitors their performance on a continuous basis to ensure that they discharge the obligations as stipulated in their licenses, and in keeping with the provisions of the Kenya Communications Act 1998and the Kenya Communications Regulations 2001. Institution/ regulatoy agency Role The Commission's mandate in regard to the sector involves the following: Telecommunicationslicensing Preparation of procedures and regulations on licensing of operators who include; vendors, Contractors, Engineers, Resellers, Network Operators, Service Providers, etc Telecomrnunications licensing enforcement Enforces all telecommunications license conditions and regulations that have been agreed upon Industy and consumer aflairs Tariff Regulation Develops pricing guidelines for service providers in order to ensure service affordability regarding various aspects of licenses and service provision, including complaints Universal Sewice Obligations Develops mechanisms to ensure the availability of telecommunications services to handling and dispute resolution Tariff regulation Develops pricing guidelines for service providers in order to ensure service affordability Market Analysis Reviews the sector on a continuous basis to ensure that competition is fostered and to guard against anti-competitive behavior by licensed operators Attends to all enquiries and complaints from customers-both licensees and consumers Table 3.3 Role and responsibilities of institutions and regulatoy agencies in Burundi for RCIP Institzition/reguIatoy agency Role Ministere de YAmenagement du The duties assigned to this ministry are, among others, planning, coordination, implementation Territoire, de I'Environnement et du and monitoring all the actions pertaining to the environment. Tourisme (MINATET)(Ministry of Urban Planning, Environment, and The MINATET includes a General Directorate for Land Development and Environment, which Tourism) is divided into four directorates: Directorate of Forests, Directorate of Environment, Directorate of Rural Engineering and State-Owned land and the Directorate of Land Development and Land Registry. Also under the Ministry's umbrella are some institutes under autonomous management: - The National Institute forEnvironment and Nature Conservation (INECN)which is involved mostly with the management or national parks and protected areas and which promotes managing the environment through environmental education. - The Burundi Geographic Institute (IGEBU)which produces the tools for managing the environment like maps, monitoring and management of meteorology and hydrology ,and supports stations aerial navigation; - The National Tourism Institute (ONT) in charge of promoting tourism. Ministry of Transport, Posts and The Ministry of Transport, Posts and Telecommunications is the main Ministry in charge of the Telecommunications Telecommunications sector. It also overlooks the Agence de Regulation et de ContrBle des telecommunications (Regulatory Agency for Control of Telecommunications). Agence de Regulation et de ContrBle L'ARCT is in charge of regulating the telecommunications sector. des telecommunications (ARCT) (Regulatory Agency for Control of Telecommunicatiosn). 3.10 GAPASSESSMENTLEGISLAT~VE OF STRUCTURE AND RECOMMENDATIONS In order to ensure that the ESMF will be effectivelyimplemented in the RCIP Phase 1countries, it is important to determine whether the legislative structures are adequate for effectiveenvironmental management, and that these legislative structure would support the World Bank's safeguard policies. Based on the comparison table below, it seems clear that the legislation in all three countries provides sufficient basis for EIAs and EMPs to be completed for proposed activities under the RCIP, and the relevant institutions are in place to ensure effective implementation and monitoring of the required environmental measures, in compliance with national law and World Bank safeguard policies. The World Bank requires that all projects comply with national law, but where there is conflict,the World Bank policies take precedence, expect in cases where national standards are more stringent, for example for air emissions or effluents. Where gaps exist, the World Bank / IFC safeguard requirements must be applied. Table 3.4 Gap assessment and comparison of legislation in RCIP Phase 1 countries Issue Madagascar Kenya Burundi WB/ IFC safeguard requirements An EIA is required EIA is Section 58 of EIA is Under the OP 4.12, a for proposed compulsory EMCA compulsory full EIA is required infrastructure Decree No99 -954 requires that under Art.24 of for all projects which activities (MECIE) an EIA the Code of are screened as precedes all Environment Category A. For development Category B projects, activities some form of proposed environmental assessment is required, usually less rigorous than a full EIA, and often taking the form of an Environmental Management Plan ( E M 0 Environmental Permits are NEMA is Permits are OP 4.01 requires the authority must required by the responsible for required by approval and provide an ONE granting MINATET disclosure of EIAs by environmental Environmental the relevant permit for projects Licenses government authority prior to appraisal ENVIRONMENTALRESOURCESMANAGEMENT 41 RCIP ESMF Issue Madagascar Kenya Burundi WB/ IFC safeguard requirements National The ONE will OHS It is not clear The guidelines for guidelines and provide guidelines are whether OHS OHS provided under standards exist for Proponents with outlined in the guidelines the IFC Occupational, OHS copies of the Public Health exist; if such Health and Safety standards and Act (Cap 242) norms are not Guidelines should be norms for OHS. If and the available applied f or all such norms do FactoriesAct under the infrastructure projects not exist, the (Cap 514). Code of Proponent must Environment, adhere to then the international Project must standards and apply the best practice international guidelines. standards and norms. ENVIRONMENTAL RESOURCESMANAGEMENT 42 RCIPESMF IMPACT ASESSMENT AND MITIGATION MEASURES This section describes the potential positive and negative environmental and social impacts of the project based on the understanding of the types of activitiesto be financedunder the Program, as described in Chapter 1. These impacts will be more clearly defined in the EMPs to be developed for each subproject once the Program is implemented. Chapter 5, which follows, describes the process for screeningproposed activitiesand the measures necessary for preparing Environmental Management Plans (EMPs)to address potential environmental and social impacts/issues likely to arise from Project activities. POSI77VE ENVIRONMENTALIMPACTSAND SOCIO-ECONOMICBENEFITS Telecommunication plays a major role in economic,socialand cultural growth and development. The main socio-economic benefits of improved telecommunicationservices include: Shared towers allowsprice and service advantages to consumer through competition,unlike many other public utilities; Greatly extends geographicand socio-economic range of user/consumers; Greatly extends geographicand socio-economic range of non-voice or data services; Provides employment to smallscale entrepreneurs who can afford their own service and provide 'per call' service to those who can't. Moreover, integration of environmental enhancements in the design of the Project can also result in environmental benefits. Potential enhancementsmay include: recycling of waste materials; investment in new technology which does not contain hazardous materials; environmental awareness regarding the use of local supply of materialsin a sustainable manner. ENVIRONMENTALRWURCES MANAGEMENT 43 RCIP ESMF Table 4.1 outlines the potential environmental and social impacts associated with the telecommunicationsindustry. These are based on IFC's EHS guidelinesfor telecommunications and EBRD's Sub-sectoral Environmental Guidelinesfor Telecommunications. A copy IFC's EHS guidelinesfor Telecommunications (draft version of November 2006) and of IFC's General Environmental, Occupational,Health and Safety Guidelines is attached as Annex 1and 2 and should be used as guidance notes when preparing the impact assessmentand mitigation plans for the subproject-specificEMPs. Occupationalhealth and safety risks or hazards in telecommunications projects generally include the following: Electrical safety Electromagneticfields (occupational) Opticalfiber safety Elevated and overhead work Falls Confined space entry Motor vehicle safety Occupationalhealth and safetyhazards may also arise during construction are common to other types of constructionsites. Measures to address these issues at a subprojectlevel are discussed in Chapter 6. The IFC guidelines attached in Annex 1and 2 provide detailed guidance on the OHS measures that should be put in place during constructionand operation of the Program. Environmentalmonitoring programs for this sector should be implemented to address all activitiesthat have been identified to have potentially significant impacts on the environment during normal operations and upset conditions. Environmentalmonitoring activities should be based on direct or indirect indicators of emissions, effluents, and resource use applicableto the particular project. Monitoringfrequencyshould be sufficient to provide representative data for the parameter being monitored. Monitoringshould be conducted by trained individuals following monitoring and record-keepingprocedures and using properly calibrated and maintained equipment. Monitoring data should be analyzed and reviewed at regular intervals and compared with the operating standards so that any necessary correctiveactions can be taken (IFC, 2006). ENVIRONMENTAL RESOURCI?~MANAGEMENT 45 RCIP ESMF Table 4.1 Potential environmental and social impacts and proposed mitigation measures Issue Potential Impacts Mitigation measures Terrestrial Terrestrial and aquatic habitats may be altered primarily Recommended measures to prevent and control impacts to habitat alterationduring the construction of communications terrestrial habitats during construction of the right-of-way infrastructure depending on the type of infrastructure include: component and proposed location. Potential impacts to Site fixed line infrastructure (e.g.fiber optic cable) and other habitat may be more significant during construction and types of linear infrastructure rights-of-way, access roads, lines, installation of linear infrastructure, such as long and towers to avoid critical habitat through use of existing utility distance fixed line cables, as well as access roads to and transport corridors, whenever possible; other types of infrastructure along previously Avoidance of construction activities during the breeding season undeveloped land. and other sensitive seasons or times of day; Revegetation of disturbed areas with native plant species Management of construction site activities as described in relevant sections of IFC's General EHS Guidelines. Aviation The height of some television and radio transmission Recommended prevention and control measures to minimize collisions towers can pose potentially fatal risk to birds mainly avian collisions include: through collisions. The likelihood of avian collisions is Siting towers to avoid critical habitats such as nesting grounds, thought to increase with the height and design of the heronries, rookeries, foraging corridors, and migration corridors; communications tower (e.g.guyed towers represent a Avoiding the cumulative impact of towers by collocating higher potential for collisions), the presence of tower antennae on existing towers or other fixed structures (especially lighting (which attracts some species of birds at night or cellular telephone communication antennae), designing new during low light conditions), and, most importantly, the towers structurally and electrically to accommodate future users, tower location with regard to flyways or migration and removing towers no longer in use; corridors. To the extent feasible, limiting the tower height and giving preferenceto non-guyed tower construction designs while (e.g. using lattice structures or monopoles); If guy wired towers are located near critical bird habitats or migratory routes, installing visibility enhancement objects such as marker balls, bird deterrents, or diverters on the guy wires; Limiting the placement and intensity of tower lighting systems to those required to address aviation safety. Issue Potential Impacts Mitigation measures Aquatic habitatsDepending on their location, the installation of fixed line Recommended measures to prevent and control impacts to components, including shore approaches for long aquatic habitats include: distance fiber optic cables, and access roads to Site power transmission towers and substations to avoid critical transmission towers and other fixed infrastructure, may aquatic habitat such as watercourses, wetlands, and riparian require construction of corridors crossing aquatic areas, as well as fish spawning habitat, and critical fish over habitats with the potential to disrupt watercourses, wintering habitat, whenever possible; wetlands, coral reefs, and riparian vegetation. Maintaining fish access when road crossings of watercourses are unavoidable by utilizing clearspan bridges, open-bottom culverts, or other approved methods; Minimizing clearing and disruption to riparian vegetation; Management of construction site activities as described in the relevant sections of IFC's General EHS Guidelines. Visual impacts The visual impacts from tower and antennae equipment Recommendations to prevent, minimize and control the visual may depend on the perception of the local community impacts include: as well as the aesthetic value assigned to the scenery Minimizing construction of additional towers through (e.g.scenic and tourism areas). collocation of proposed antennae in existing towers or existing structures such as buildings or power transmission towers; a Use of tower and antennae camouflaging or disguising alternatives such as masts or towers designed to look as trees; Taking into account public perception about aesthetic issues by consulting with the local community during the siting process of antenna towers. Issue Potential Impacts Mitigation measures Hazardous Telecommunicationsprocesses do not normally require Recommended hazardous materials management actions materials and the use of significant amounts of hazardous materials. include: waste However, the operation of certain types of switching Implenlenting fuel delivery procedures and spill prevention and and transmitting equipment may require the use control plans applicable to the delivery and storage of fuel for backup power systems consisting of a combination of backup electric power systems, preferably providing secondary batteries (typicallylead-acid batteries) and diesel fuelled containment and overfillprevention for fuel storagetanks; electricitybackup generators. Operations and Implementing procedures for the management and disposal of maintenance activities may also result in the generation lead acid batteries, including temporary storage, transport and of electronicwastes such as nickel cadmium batteries final disposal. Lead-acid batteries should be managed as a and printed circuit boards from computer and other hazardous waste as described in IFC's General EHS Guidelines; electronicequipment as well as backup power batteries. Purchasing electronicequipment that meets international phase out requirements for hazardous materials contents and implementing procedures for the management of waste from existing equipment according to the hazardous waste guidance in IFC's General EHS Guidelines. - Emissions to air Emissionsfrom telecommunications projects may be Recommended management actions to minimize emissions include: primarily associated with the operation of vehicle fleets, Implementation of vehiclefleet and power generator emissions the use of backup power generators, and the use of management strategies as described in IFC's EHS Guidelines and coolingand fire suppression systems. avoiding the use of backup power generators as a permanent power source, if feasible. Noise The principal source of noise in telecommunications Recommended noise management action include the use of facilities is associated with the operation of backup noise suppression shields and mufflers as well as the location of power generators. noise generating sources away from residential or other noise sensitive receptors to meet the noise emission levels provided in 1FC'sGeneral EHS Guidelines. Issue IPotential Impacts I Mitigationmeasures I 1 Electric and Electric and magnetic fields (EMF)are invisible lines of Recommendations applicable to the management of EMF magnetic fields force emitted by and surrounding any electricaldevice, exposures include: such as power lines and electrical equipment. Electric Evaluating potential exposure to the public against the reference fields are produced by voltage and increase in strength levels developed by the International Commission on Non- as the voltage increases.Magnetic fields result from the Ionizing Radiation Protection (ICNIRP). flow of electriccurrent and increase in strength as the Average and peak exposure levels should remain below the current increases. ICNIRPrecommendation for General Public Exposure; Limiting public access to antennae tower locations Radio waves and microwavesemitted by transmitting Following good engineering practice in the siting and installation antennas are one form of electromagneticenergy. Radio of directional links (e.g.microwave links),to avoid building wave strength is generally much greater from radio and structures; television broadcast stations than fromcellular phone Taking into account public perception about EMF issues by communication base transceiver stations. Microwave consulting with the local community during the siting process of and satellite system antennas transmit and receive antenna towers. highly concentrated directional beams at even higher power levels. Although there is public and scientific concern over the potential health effects associated with exposure to EMF (notonly high-voltage power lines and substations or radio frequency transmissions systems, but also from everyday household uses of electricity), there is no empirical data demonstrating adverse health effects from exposure to typical EMF levels from power transmissions lines and equipment. However, while the evidence of adverse health risks is weak, it is still sufficient to warrant limited concern. 5 SUBPROJECTSCREENING, REVIEWANDAPPROVAL This section outlines the screening, review and approval process for activities to be financed under the Project.As the locations for the subprojects are not clearly identified at this stage, it is important to have the appropriate tools in place to assist the Project implementing agencies in screening these activities for potential impacts and to provide guidelines for implementing measures to effectively address them. In addition, as the first phase of the Project covers three countries, all which function under different legislative and institutional structures, the following section provides a "harmonized" approach to the screening and appraisal process for subprojects.Once the subprojects have been identified and locations selected, the Project should use this section as the guidelines to screening subprojects and implementing the appropriate measures while ensuring that all respective legislative requirements for screening and EIAs are adhered to. As the RCIP Phase 1will cover three countries, there are three main executing bodies under the Project that will have a responsibility in ensuring that the proposed screening and impact mitigation mechanisms are implemented. It is advised that an Environmental Specialist be assigned to each of the following: Kenya:Ministry of Information and Communications (TCIP Unit) Burundi: Executive Secretariat of the MTPT Madagascar:Ministry of Transport,Posts and Communication (MTPC) SCREENING AND REV~EWPROCESS The following diagram Figure 5.1illustrates the process for screening and review of subprojects in each country. (a) Screeningof subproject activities Once the subproject activity is defined and the location has been selected, a screening form will need to be filled out by the Proponent. The form will allow for identification of the potential environmental and social impacts associated with the proposed activity. As the ESMF and RPF should be utilized in tandem, the screening form will also allow for the identification and assessment of impacts related to potential land acquisition and involuntary resettlement. A template for screening is provided in Annex 3. ENVIRONMENTAL RESOURCES MANAGEMENT 51 RCIP ESMF Figure 5.1 Proposed Screening, Review and Appraisal Process Subproject Appraisal Process Corresponding Safeguard Requirements Application for subproject by Step 1: Identification of subproject Proponent *-. Subproject Screening determination (low or high risk) Screening I 1 Step 2: 1 Low risk 1 Medlum rlsk 1 High risk Impact I I Subproject Appraisal assessment Develop generic = Develop and Carry out a mitigation and implement an subproject monitoring EMP for each specific EA measures for subproject study subproject Apply Develop . sectors environmental subproject Apply conditions in specific EMPs environmental contract (and RAPSif . conditions In agreements applicable) contract Apply agreements environmental condltlons in Y contract agreements -- Step 3: EMPs (and RAPS)reviewed by local Environmental Environmental and Social Specialists (or technical service providers Subproject Approval and social e.g. NGOs) review Subproject approved on the basis of environmental and social review findings I I 1 Step 4: Implement mitigation measures under the EMP (and Subproject RAP) for subprojects implementation Training of project staff, local govt officers, and Subproject Implementation 4 communities in EMP (and RAP) implementation I 7 + Step 5: Monitor environmental and social compliance, Environmental Subproject Monitoring pollution abatement, and EMP (and RAP) 4 ' and social implementation monitoring Carry out annual environmental and social audits for subprojects ENVIRONMENTAL RESOURCESMANAGEMENT 52 RCIP ESMF (b)Scoping and field appraisal Based on the informationprovided in the screeningform, the reviewer (i.e.the relevant environmental ministry official/authority) will make a decision as to whether or not the subprojectwill require a more detailed investigation of the impacts through a field appraisal. Informationcollectionwill be achieved through observation and use of professional expertiseand in some cases, interviews with the local people could provide information regarding human use values and/or environmental significance. As part of the field appraisal, the Proponent shall identify the major stakeholders/community groups within the affected area that are likely to be impacted. A list of potentially affected groups shall be compiled and appended to the appraisal report. (c)Assessment and classification of impacts Based on the screeningform and field appraisal (whenrequired), the impacts are classified based on their risk category,and a decision is made as to whether the subprojectwill: a) require an EIA study and/or RAP sincethe impacts qualify as being high risk and significantand may result in land acquisitionand/or involuntary resettlement; b) require only an EMP since the impacts are not significantand can be easily addressed through the implementation of a mitigation and management plan during construction and operation of the subproject;or c) not require any safeguard measures as the impacts are considered minimal. The followingtable outlines the risk categories, based on the World Bank OP 4.01 environmental categories (A, B, and C) and IFC's EHS Guidelines.A copy of the World Bank's OP 4.01is attached as Annex 4. Types of activity High Medium Low (CategoryA) (CategoryB) (CategoryC) Installation of masts and towers % Installation of fixed line cables and X connectors Construction of landing stations 1 Equipment housing (e.g.shelters, cabinets, X auxiliary power units) Construction of access roads and ROWSon X greenfield sites Maintenance of access roads or other x existing linear infrastructure which does not require ROW expansion ENVIRONMENTALRESOURCESMANAGEMENT 53 RCIP ESMF (d)Identifying alternatives to subproject design For subprojectswhich are deemed high risk, as they may result in significant impacts, the Proponent will re-assess the location and design of the subprojectto ensure that there are no alternativeswhich may minimize or avoid these potential environmental and socialimpacts.If an alternative is not feasible,then the Proponent must prepare an EIA and/or RAP. (e) Appraisal and Approval Environmental permitting requirements For Catenow - - A subproiects requiringan EIA: The Proponent will submit a copy of the EIA to the relevant authority for review (refer to Tables 3.1-3.3). This should include all relevant information (asoutlined in the country's legislative requirements - refer to Chapter3),namely an EMP, a set of environmental contractclauses and a summary of public consultationscarried out. Annex 5 provides the Terms of Reference for preparation of an EIA. For subprojectswhich may result in involuntary resettlement or displacement,the Proponent is also required to submit a RAP to the relevant Resettlement Office/ authority for approval. This is explained in more detail in the Project's Resettlement Policy Framework. For Categorv B subprojects which require an EMP: The Proponent will submit a copy of the EMP to the relevant authorities (refer to Tables 3.1- 3.3). The objective of the EMP is to cater to the environmental and socialneeds of the project in a simple,responsive and cost effectivemanner that will not unnecessarilyoverload or impede the project cycle.The EMP should outline the measures needed to address the issues identified during the EA study. Moreover, a good EMP should demonstrate that proposed monitoring activities will encompass all major impacts and identify how they will be integrated into project supervision. The EMP should be a simple two to four page document that outlines the following: o Main environmental and socialmitigation measures; o Environmentaltraining and capacity program; and ENVIRONMENTALRESOURCESMANAGEMENT 54 RCIP ESMF o Environmental and social monitoring program This should include the following: Box 5.1 Contents of an EMP Potential environmental and social impactsrelated to siting,construction and operationof the subproject Mitigationand monitoring measures to address potentialimpacts Responsibilities for monitoringEMP requirements Training and capacity buildingrequirements for project officers and communities Estimated budget for implementation and training The following Secfion6 provides detailed guidance on the implementation of EMPs under the RCIP. The Proponent is required to include environmental contract clauses in the Technical Specifications and account for these measures in the subproject implementation budget. Annex 6 provides a set of recommended contract clauses to include in contractor agreements. (b) Criteriafor Approval For those EIAs which meet the country's EIA requirements and World Bank OP 4.01, an environmental permit can be granted. For those EIAs which do not meet the country's EIA requirements and World Bank OP 4.01, an environmental permit is rejected and the relevant environmental authority (i.e.Ministry of Environment or Environmental Council) may want to carry out an audit. The Proponent will be asked to re- submit the EIA based on recommendations of the audit. As emphasized in the World Bank's guidelines, a subproject should not be approved and funded until such reports are received, approved and disclosed. (f)Disclosure of Subproject Information In compliance with World Bank guidelines and in the EIA decrees of all three Phase 1countries, before a subproject is approved, the applicable documents (EIA, EMP and/or RAP) must be made available for public review at a place accessible to local people (e.g. at a district council office, at the Ministry of Environment), and in a form, manner, and language they can understand. ENVIRONMENTAL RESOURCESMANAGEMENT 55 RClPESMF (g) AnnualMonitoring Reports Compliancemonitoring compriseson site-inspectionof construction activities to verify that measures identified in the EMP and/ or RAP and included in the clauses for contractors are being implemented. This type of monitoring is similar to the normal tasks of a supervising engineer whose task is to ensure that the Contractor is achievingthe required standards and quality of work. Once implementation of the subprojecthas started, regular supervision missions should be carried out (bythe EnvironmentalSpecialistor contracted out to a Consultant) and an annual monitoring report must be submitted to the executing agenciesfor each country (refer to Section5.1) and World Bank for review. The purpose of these reports is to provide: A record of Project and subprojecttransactions; A record of experience and issues running from year-to-year throughout the Project that can be used for identifyingdifficulties and improving performance; and Practical informationfor undertaking an annual review (seebelow). Annex 7provides a recommended format for the Annual Report. 6 ACTION PLAN FOR IMPLEMEAJTATlON OF EMPS As it is more likely that the RCIP investments will result in the need for EMPs and not EIAs (sincethe impacts are expected to be in the CategoryB),the following sectionprovides more detailed guidelines for preparation and implementation of EMPs. A similar section for RAPSis discussed in the RCIP Resettlement Policy Framework. IMPLEMENTATlON GUIDELINES AN EMPFOR As discussed, any projects classified as CategoryBwill require the preparation of an EMP to be approved and disclosed prior to the subprojectbeing implemented. A Terms of Reference for preparation of the EMP is provided in Annex 8. It is important to keep in mind that the content of the EMP will depend strongly on the nature of risk associated with the subprojectbeing proposed. The impacts associatedwith digging a trench along an existingroad to installcable lines can be easily addressed through mitigation and monitoring measures applied in the civil works and supervision contractswithout much if any site-specificenvironmental analysis.Whereas, building a tower in an area where it is necessary to construct an access road and clear vegetation require more rigor and a site reconnaissance and EMP that is specificto that subprojectlocation is required. The guidelines for an ESIA and EMP attached as annexes provide a good reference for this. Institutional/third party roles and responsibilities TheEMP should be prepared by the Proponent, either through a Consultant or EnvironmentalSpecialistwith sufficient knowledge of the environmental and socialissues related to the telecommunicationssector. Ideally, the Consultant should have a strong understanding of the legislative structure of the country that the subprojectEMP will be prepared for. 6.1.2 Implementation and monitoring schedule The Project Implementation Unit should agree with the Proponent (i.e.the relevant government authority in each RCIP country) on the supervision of the EMP within the overall plan for the project.Accordingly, the supervision arrangements for the EMP should summarize key areas on which supervision will focus-critical risks to implementation of the EMP, how such risks will be monitored during implementation and agreements reached with the Proponent. Supervision of the EMP, along with other aspects of the project, covers monitoring, evaluative review and reporting and is designed to: ENVIRONMENTAL RESOURCESMANAGEMENT 57 RCIPESMF t, determine whether the Proponent is carrying out the project in conformity with environmental safeguards and legal agreements; identify problems as they arise during implementation and recommend to the Proponent means to resolve them; recommend changes in project concept/design, as appropriate, as the project evolvesor circumstanceschange; and identify the key risks to project sustainabilityand recommend appropriate risk management strategiesto the Proponent. It is vital that an appropriate environmental supervision plan is developed with clear objectivesto ensure the successful implementation of an EMP. 6.1.3 Budget The EMP for each subprojectwill outline the appropriate budget required to implement measures for mitigation and monitoring. It will also indicate the costs of training and capacity building required (seeSection 6.1.4 below). Costs should be calculatedbased on estimates provided by Contractorsfor any mitigative measures required during the civilworks. For example: Costs of ensuring the appropriate dust suppression mechanisms are in place during excavation works must be calculatedand included in the tender documents; Costs of installing erosion controlmeasures should be estimated as part of the engineeringcosts; Training of staff on environmental and OHSissues should be outlined in detail (see Table 6.1); Costs of monitoring noise during constructionshould be calculatedbased on the frequency of monitoring and cost of equipment. The EMP table provided in Annex 8 provides guidance on how to outline these costs. 6.1.4 Capacity building and technical assistance requirements As part of best practice, and in order to comply with international standards for OHS, contractors and supervision consultants should be provided with awareness raising and environmental and OHStraining on site. These should focus not only on the construction phase but also operational phase of the Project. A proposed format for a 2 -day training is provided in the following Table 6.1. ENVIRONMENTALRESOURCESMANAGEMENT 58 RCIPESMF Table 6.1 Awareness raising and trainingfor civil work contractors and supervision consultants Topic Input Awareness raising 1day Environmental awareness and the importance of effective mitigation Practice mitigation measures and environmentally sound construction techniques Compliance with international standards (based on Chapter 6) on OHS for the telecommunication sector Compliance with local legislation on OHS, EIA and EMP requirements Technical training 1day Implementation of the EMP (contract clauses) Monitoring of EMPs (and RAPS) Preparation of budgets Total 2 davs ENVIRONMENTAL~ U R C EMANAGEMENT R S 59 RCIP ESMF -n PUBLIC CONSULTATION AND DISCLOSURE PROCESS PROCESS FOR PUBLICCONSULTATIONTHE ESMFIN During the course of the Project, consultations should be carried out with all significant stakeholder groups (see table below). Table 7.7.1 Key stakeholdergroups in the RCIP Governmentand regulatory agencies the agenciesoutlined in Tables 3.1 - 3.3, as well as other relevant governmentand public sector agencies Public and private sector operators lead private sector companies,such as major telecommunicationoperatorsin each country Non-governmentorganizations internationaland local stakeholder groups, includingenvironmentalNGOs Local stakeholders Community based organizations(CBOs), Municipal and district level committees, unions and other local groups Academic and research institutions Environmentalresearch groups, universitiesand technicalinstitutes PROPOSEDDISCLOSUREPLAN For projects such as the RCIP, the World Bank procedures require that an ESMF (and RPF) is prepared and publicly disclosed prior to project appraisal. This allows the public and other stakeholders to comment on the possible environmental and social impacts of the project, and for the Appraisal Team to strengthen as necessary the frameworks, particularly measures and plans to prevent or mitigate any adverse environmental and social impacts. Towards this end, this document will be publicly released through the World Bank's Infoshop, and in public locations in Kenya, Madagascar and Burundi prior to project appraisal. The documents should be made available in both English and French, in compliance with the World Bank's Public Consultation and Disclosure Policy. ENVIRONMENTALRESOURCESMANAGEMENT 60 RQP ESMF 7.2.1 Disclosureof subprojectEMPs EMPs prepared for subprojectsunder the RCIP will also need to be disclosed to the public. Copies of the EMPs should be made availableto communitiesand interested parties in accessible locations, through the local government authorities, i.e. localcouncils, district offices,etc. Copies of the EMPs should also be provided to the implementing agencies in each of the RCIP countries and submitted to the World Bank. This will ensure record keeping of all activities implemented under the ESMF, and ensure that the third-party audits have the adequate information required when undertaking the annual environmental audits. ENVIRONMENTAL RFSOURCES MANAGEMENT 61 RCIP ESMF 8 CAPACITY BUILDING RECOMMENDATIONS 8.1 STRENGTHENING OF PROJECTCAPACITYFOR IMPLEMENTINGTHE ESMF 8.1.1 Appointing an Environmental Specialist to the executing agencies As the different agencies will be responsiblefor the overall coordination of the Project in each country, it is important that an Environmental Specialist be part of the team to provide overallsupport in supervising the implementation of the ESMF and RPF guidelines and coordinating with the relevant stakeholders involved in the Project. TheSpecialistwill contribute to the objectives of the Projectwhich include: the preparation, together with the implementing entities,of annual work programs and budgets; monitoring project progress as it relates to compliancewith the ESMF guidelines, resolving implementation bottlenecks, and ensuring overallthat project implementation proceeds smoothly; collecting and managing information relevant to the project and accounts(i.e. environmental monitoring and audit reports); and ensuring that the implementing bodies are supported adequately and that they adhere to the principles of the project, specificto compliancewith ESMF guidelines. The Specialistshould be hired on a full-time basis and will report to the main bodies responsiblefor execution of the Project. 8.1.2 Training of the Environmental Specialists It is also highly recommended that the assigned EnvironmentalSpecialistsbe provided with a two-day training on implementation of the ESMF. This will ensure that the specialistsare equipped with the know-how on how to manage and monitor the environmental and social aspectsrelated to the Project. It is advised to hold a one-workshop in one of the RCIP Phase 1countries,which all three specialistscan attend. The workshop can be conducted by an external consultant with knowledge on the environmental management requirements for all three countries, including substantial knowledge on the World Bank safeguard policies and requirements including OHSstandards. An outline for the training is provided in Table 8.1 ENVIRONMENTAL RESOURCESMANAGEMENT 62 RCIP ESMF Table 8.1 Proposed trainingformatfor ESMF implementation Module Duration Day 1 Introduction 1 Objectiveof the ESMF Key stakeholderswith a role in the ESMF Relevant legislative and regulatory acts and World Bank safeguard policies Structure and role of relevant environmental authorities as relates to the RCIP Day 2 Summary of guidelines for the subprojects Screening Appraisal and approval Disclosure Annual Review Annual Reporting Capacity building requirements Budgeting for the RCIP country annual workplans Total 2 days ENVIRONMENTAL RESOURCES MANAGEMENT 63 RCIPESMF 9 PROPOSED BUDGET The proposed budget for implementation of the measures and recommendations outlined in the ESMF for the Project is US $315,500. As the subprojects and their locations have not been identified as this stage, a lumpsum amount has been designated to address the potential number of EIAs and EMPs that may be produced over the lifespan of the first phase as well as the monitoring requirements for the ESMF.This is an estimate and will need to be updated once the project design has been finalized. Table 9.1 Proposed budgetfor implementation of the ESMF Item Unit Cost Budgetfor implementation Lumpsum of EIAs and EMPs Nine 2-day trainingfor contractors and consultants in each RCIP country 3workshopsper country (1 $3000per workshop $13,500 in each country for the first 3 years) One 2-day trainingfor EnvironmentalSpecialists $2000per workshop $2,000 (tobe held in one of the RCIP Phase 1countries) Budgetfor annual Lumpsum $100,000 monitoring and reporting on EMP implementation Total $315,500 ENVIRONMENTAL RESOURCESMANAGEMENT 64 RClPESMF ANNEX 1: IFC'S EHS GUIDELINES FOR TELECOMMUNICA7TONS ENVIRONMENTAL RESOURCESMANAGEMENT 65 RCIP ESMF II E1FC Environmental, Health, and Safety Guidelines TELECOMMUNICATIONS lntwnational Rnanco Carparatian DRAFT * c3 % - ** Environmental,Health, and Safety Guidelines for Telecommunications Introduction The EHS Guidelinescontainthe performancelevelsand measuresthat are generallyconsideredto be achievablein The Environmental,Health, and Safety (EHS) Guidelinesare new facilities by existing technology, at reasonablecosts. referencedocumentsdesignedto provide project developers, Application of the EHS Guidelinesto existing facilities may financiers, facilitymanagers,and other decision makerswith involvethe establishmentof sitespecific targets, with an relevant industry backgroundand technical information.This appropriatetimetablefor achievingthem.The applicabilityof information supportsactions aimed at avoiding, minimizing, the EHS Guidelinesmay needto be establishedfor each and controlling EHS impactsduring the construction, projecton the basisof the results of an environmental operation, and decommissioningphasesof a projector assessmentin which sitespecific variables, such as host facility.* country context, assimilativecapacity of the environment,and other projectfactors, are taken into account.The applicability How to Use This Document of specifictechnical recommendationsshould be based on the The EHS Guidelinesfor Telecommunicationsprovide professionalopinion of qualified and experiencedpersons. informationthat is specificto facilities in this industrysector. Applicability They are organized accordingto the following sections. The EHSGuidelinesfor Telecommunicationsare applicable to telecommunicationsinfrastructuresuch as fixed line and Section2.0 -Performance Indicatorsand Monitoring wireless voice and data transmission infrastructure,including Section3.0 -References long distance terrestrial and submarine cables (e.g, fiber optic Annex A-General Descriptionof IndustryActivities cables), as well as radio and television broadcasting,and associatedtelecommunicationsand broadcasting installations and equipment.! They are designed to bejointly used with the General EHS Guidelines document, which providesthe userwith guidance on common EHS issues potentiallyapplicableto all industry sectors. On complex projects,multiple industry-sector guidelinesmay be useful.A complete list of industry-sector guidelines can be found at: www.ifc.orqiifcexffenviro.nsf1ContenffEnvironmentalGuidelines Associated installationsand equipment includecellular, micro wave, and other radiobased systems; satellite receivers;wire line and wireless receiving,transmitting,and switchingstations, and relatedequipmentsuch as masts and towers, cables and connectors,equipmenthousingsuch as * Note:Attributionof all references,includingverification forcompleteness sheltersand cabinets,backup batteries,and auxiliarypower units and accuracy,to be completedfor final draft. (generators). NOVEMBER 7,2006 1 DRAFTDOCUMENT Environmental, Health, and Safety Guidelines TELECOMMUNICATIONS lntwnatlional DRAFT 1.0 Industry-Specific Impacts Site fixed line infrastructure (e.g.fiber optic cable) and and Management other types of linear infrastructure riihtsofway, access roads, lines, and towers to avoid criticalhabitatthrough The following section provides a summary of EHS issues use of existing utility and transport corridors,whenever associatedwith telecommunicationsprojects and infrastructure possible; which occur during the construction and operational Wase, Avoidanceof construction activities duringthe breeding alongwith recommendationsfor their management. season and other sensitiveseasons or times of day; Revegetationof disturbedareas with nativeplant General guidance applicableto construction and species; decommissioningactivities is provided in the General EHS Managementof constructionsite activities as described Guidelines. in relevant sections of the General EHS Guidelines. 1.1 Environment Avian Collisions Environmentalissues in telecommunicationsprojects primarily The heightof some television and radio transmissiontowers indude the following: can pose potentially fatal risk to birds mainlythrough collisions?The likelihoodof avian collisions is thought to Terrestrial habitat alteration increasewith the height and design of the communbations Aquatic habitatalteration tower (e.g,guyedtowers represent a higher potentialfor Visual impacts collisions),the presenceof tower lighting (which attractssome Electricand magnetic fields species of birds at night or during low lightconditions),and, Hazardousmaterialsand waste most importantly,the tower locationwith regardto flyways or Emissionsto air migrationcorridors.3 Noise Recommendedpreventionand control measuresto minimize Terrestrial HabitatAlteration avian collisions include? Terrestrial and aquatic habitats may be altered primarily during the construction of communicationsinfrastructure Siting towers to avoid criticalhabitats such as nesting dependingon the type of infrastructurecomponent and grounds, heronries,rookeries,foraging corridors, and proposedlocation. Potentialimpactsto habitat may be more migrationcorridors; significant during constructionand installationof linear Avoiding the cumulativeimpactof towers by collocating infrastructure, such as long distancefixed line cables, as well antennaeon existing towers or other fixed structures as access roadsto other types of infrastructurealong (especiallycellular telephonecommunicationantennae), previouslyundevelopedland. designingnew towers structurallyand electricallyto Recommendedmeasuresto prevent and controlimpactsto 2Manville(2205) Bird Strikes and Electrocutionsat Power Lines, CommunicationTowers, and Wind Turbines: Stale of the Art and State of the terrestrial habitatsduring constructionof the right-of-way Science -Next Steps Toward Mitigation. include: 31w. Furtherinformationis available from the UnitedStates (US) Departmentof Interior,Fish and Wildlife Service, Service Guidance on the Sting, Construction, Operation and Decommissioningof CommunicationsTowrs (2M)O). NOVEMBER 7,2006 2 DRAFTDOCUMENT Environmental, Health, and Safety Guidelines MIFC TELECOMMUNICATIONS ktwnatiunal Rn*nco Corporatiam DRAFT .* i 1, * I I accommodatefuture users, and removingtowers no Marine HabitatAlteration longer in use; Long distance telecommunicationscables such as fiber optic To the extentfeasible, limitingthe tower heightand cablesmay reach acrossoceanstretches. Cablesare giving preferenceto nonguyed tower construction typically installedusinga cable-laying vessel and a remotely designswhile (e.g. using lattice structuresor operated, underwatervehicle. Issuesassociatedwith marine monopoles); habitatalteration includedisruptionto intertidalvegetationand If guy wired towers are located near criticalbird habitats marine life, includingmarinemammals, and sedimentation or migratoryroutes, installingvisibility enhancement resulting in turbidity and reductions in water quality. objects such as marker balls, bird deterrents, or diverters Recommendedmeasures to preventand control impacts to on the guy wires; marinehabitatsinclude: Limitingthe placementand intensity of tower lighting systemsto those requiredto address aviation safety. Locating andsiting cable routes, and shore access, to avoid critical marine habitats, such as breedinggrounds, Aquatic HabitatAlteration whenever possible; Dependingon their location,the installationof fixed line Buryingsubmarinecables when traversing sensitive components, includingshore approaches for long distance intertidalhabitat; fiber optic cables, and access roadsto transmissiontowers Monitoringcable laying pathfor presenceof marine and other fixed infrastructure, may requireconstruction of mammals; corridors crossingaquatic habitatswith the potentialto disrupt watercourses,wetlands, coral reefs, and riparianvegetation. Avoiding layingof submarinecableduring fish and marine mammals breedingperiods,calving periods,and Recommendedmeasuresto preventand controlimpactsto spawning seasons. aquatic habitats include: Visual Impacts Site powertransmission towers and substationsto avoid The visual impactsfrom tower and antennaeequipmentmay critical aquatic habitatsuch as watercourses,wetlands, depend on the perceptionof the localcommunityas well as and riparian areas, as well as fish spawning habitat,and the aestheticvalue assigned to the scenery (e.g. scenic and criticalfish over-wintering habitat,whenever possible; tourism areas). Maintainingfish access when road crossings of watercourses are unavoidableby utilizing clearspan Recommendationsto prevent, minimizeand control the visual bridges,open-bottomculverts,or other approved impacts include: methods; Minimizingconstructionof additionaltowers through Minimizingclearing and disruption to riparianvegetation; collocationof proposedantennae in existing towers or Managementof constructionsite activities as described existing structures such as buildingsor power in the relevantsections of the General EHS Guidelines. transmissiontowers; Use of tower and antennaecamouflagingor disguising alternativessuch as mastsor towers designed to look as trees; NOVEMBER 7,2006 3 DRAFTDOCUMENT Environmental, Health, and Safety Guidelines TELECOMMUNICATIONS Interna(iona1 DRAFT Taking into accountpublic perceptionabout aesthetic back programfor consumer equipmentsuch as cellular issues by consultingwith the local community during the telephonesand their batteries. siting processof antennatowers. Electric and Magnetic Fields Hazardous Materials and Waste Electricand magnetic fields (EMF) are invisible linesof force Telecommunicationsprocessesdo not normally requirethe emitted by and surroundingany electrical device, such as use of significant mounts of hazardousmaterials.However, power lines and electrical equipment. Electricfields are the operation of certain types of switching and transmitting producedby voltage and increase in strength as the voltage equipment may require the use backup power systems increases.Magneticfields resultfrom the flow of electric consisting of a combination of batteries (typically lead-acid current and increasein strength as the current increases. batteries) and diesel fueled electricity backupgenerators. Radiowaves and microwavesemitted by transmitting Operationsand maintenanceactivities may also result in the antennas are one brm of electromagneticenergy. Radio generation of electronicwastes such as nickekadmium wave strength is generally much greaterfrom radio and batteries and printedcircuitboardsfrom computerand other television broadcaststations than from cellular phone electronic equipmentas well as backup power batteries. communicationbase transceiver stations Microwaveand satellite system antennastransmit and receive highly Recommendedhazardousmaterialsmanagementactions concentrateddirectional beams at even higher power levels. include: Althoughthere is publicand scientific concernover the Implementingfuel delivery procedures and spill potentialhealtheffects associatedwith exposureto EMF (not prevention and control plans applicableto the delivery only highvoltage power linesand substationsor radio and storage of fuel for backup electric power systems, frequencytransmissions systems, but also from everyday preferably providingsecondarycontainmentand overfill household usesof electricity), there is no empirical data preventionfor fuel storage tanks; demonstratingadverse healtheffects from exposureto typical Implementingproceduresfor the managementand EMF levelsfrom powertransmissionslines and equipment." disposal of lead acid batteries, including temporary However,while the evidence of adverse health risks is weak, storage,transport and final disposal. Lead-acidbatteries it is still sufficientto warrant limitedconcem.7 should be managed as a hazardouswaste as described in the General EHSGuidelines; Recommendationsapplicableto the managementof EMF Purchasingelectronic equipmentthat meetsinternational exposures include: phaseout requirementsfor hazardous materialscontents Evaluatingpotential exposureto the public againstthe and implementingproceduresfor the managementof reference levels developed by the International waste from existing equipment accordingto the Commissionon Non-IonizingRadiation Protection hazardouswaste guidance in the General EHS Guidelines5 Considering the implementationof atake- InternationalCommissionon NortlonizingRadiationProtection(lCNIRP) (2001); InternationalAgency for Research on Cancer (2002); US National Instituteof Health(2002);Advisoly Group to the United Kingdom Nationd s The use of lead, mercury,cadmtum, chromium(CrVI), polybrominated RadiationProtectionBoard(2001),and US Nationallnstituteof biphenyls,and polybrominateddiphenyl ethers should be restrictedor phased EnvironmentalHealth Sciences (1999). out as described in European Union Directives(2003a and 2003b). 'US Nationallnstituteof EnvironmentalHealth Sciences (2002) NOVEMBER 7,2006 Environmental, Health, and Safety Guidelines TELECOMMUNICATIONS international DRAFT (ICNIRP).@Average and peak exposure levels should Noise remain below the ICNIRPrecommendationfor General The principalsourceof noise in telecommunicationsfacilities Public Exposurelo; is associatedwith the operation of backuppowergenerators. Limiting public access to antennaetower locations(see Recommendednoise managementaction includethe useof also 'Community Healthand Safety' of this document, noisesuppressionshields and mufflers as well as the location below); of noise generatingsources away from residentialor other Followinggood engineering practice in the siting and noisesensitive receptorsto meetthe noise emissionlevels installationof directionallinks (e.g. microwavelinks), to providedinthe General EHSGuidelines. avoid building structures; Taking into account public perceptionabout EMF issues 1.2 Occupational Health and Safety by consulting with the local communityduring the siting Occupationalhealth and safety hazards in process of antennatowers. telecanmunicationsprojectsprimarily includethe following: Emissionsto Air Electricalsafety Emissionsfrom telecommunicationsprojects may be primarily Electromagneticfields (occupational) associatedwith the operation of vehiclefleets, the useof Opticalfiber safety backup power generators,and the useof cooling and fire Elevatedand overheadwork suppression systems.Recommendedmanagementactions to Fall protection minimizeemissions include: Confinedspace entry Motor vehicle safety Implementationof vehicle fleet and power generator emissions managementstrategies as described in the General EHS Guidelines and avoidingthe use of Occupationalhealth and safety hazards may also arise during construction are commonto othertypes of constructionsites backup power generators as a permanentpower source, if feasible; and and are described in detail, alongwith measuresfor their control and monitoring, in the General EHS Guidelines. Substitutionin use of chlorofluorocarbons(CFCs) in cooling and fire-suppression systems, using contractors Excavation,construction,and repairof some componentsof a who are properlytrained or certified in the management telecommunicationssystem may result inworkers' exposure of CFCs. to existing abovegroundor undergroundutilities, including aerial or buried electric transmissionlinesor buried natural gas and petroleumpipelines, Identificationand locationof all relevantexisting underqroundutilities should be undertaken See ICNIRPGuidelinesfor Limiting Exposureto Time-varyingElectric, prior to any excavationand trenching activities. Magnetic, and Electromagnetic Fields. The standards are basedon evaluations of biologicaleffectsthat have been establishedto havehealth consequences ICNIRP is endorsedby the World HealthOrganization (WHO).WHO reviewsdrew the conclusion that exposures belowthe limits ElectricalSafety recommended by the ICNIRPinternationalguidelines do not appear to have any know consequence on health. Workers may be exposedto occupationalhazardsfrom For additionalsource of information,see the Instituteof Electricaland contactwith live power linesduring construction, ElectronicsEnaineers IIEEEI(2005). lo l~~l~P"ex~osu.regu;dklinesforGeneralPublicExposurearelistedin The Section 2.1 of this Guideline. NOVEMBER 7,2006 5 DRAFT DOCUMENT Environmental, Health, and Safety Guidelines mIFC TELECOMMUNICATIONS international Finma Colpcrration DRAFT * * * , 7 * s * maintenance,and operation adivities. Preventionand control precautionsshould be defined in a health and safety measuresassociatedwith live power lines include: plan12; Workers not directly associatedwith power transmission Only allowingtrained and certifiedworkers to install, and distribution activitieswho are operating around maintain,or repair electrical equipment; power linesor power substationsshould adhere to local Deactivatingand properlygrounding live power legislation,standards, and guidelines relating to distribution lines before work is performedon, or in close minimum approachdistancesfor excavations,tools, proximity, to the lines; vehicles, pruning, and other activities; Ensuringthat live-wirework is conducted by trained Minimumhot stick distances may only be reduced workerswith strict adherenceto specific safety and providedthat the distance remainingis greaterthan the insulation standards. Qualified or trained employees distance betweenthe energized part and a grounded working on transmissionor distributionsystemsshould surface. be able to achievethe following": Recommendationsto prevent, minimize,and control injuries o Distinguishlive partsfrom other partsof the related to electric shock include: electrical system; o Determinethe voltage of live parts; All electrical installationsshould be performed by o Understandthe minimumapproachdistances certified personneland supervisedby a certified person. outlinedfor specific live line voltages; Certificationfor such work should includetheoreticalas o Ensure proper use of special safetyequipmentand well as practicaleducationand experience; procedureswhen working nearor on exposed Strict proceduresfor deenergizing and checkingof energized partsof an electrical system. electrical equipment should be in place before any Workers should not approachan exposedenergizedor maintenancework is conducted. If deenergizing is not conductiveparteven if properlytrained unless: possibleelectrical installationsshould bemovedor o The worker is properlyinsulatedfrom the energized insulatedto minimizethe hazardouseffects; partwith gloves or other approved insulation;or, Priorto excavationworks, all existingundergroundcable o The energizedpartis properlyinsulatedfromthe installationsshould be identified and marked. Drawings worker and any other conductiveobject; or, and plans should indicate such installations; o Theworker isproperlyisolatedand insulatedfrom All electrical installationsor steel structures,such as any other conductive object (liveline work). mastsor towers, should be groundedto provide safety Where maintenance and operation is requiredwithin as the electricalcurrent choosesthe grounded path for minimumsetback distances, specific training, safety electrical discharge. In cases where maintenancework measures,personalsafety devices, and other has to be performedon energizedequipment,a strict safety procedureshould be in place and work should be performed under constant supervision; Furtherinformationis availablefrom the Occupational Safety and Health l2 Additional informationon setback distarcesapplicableto Administration(OSHA),29 CFR 1910.268(Telecommunications). telecommunicationswork is providedin OSHA, 29 CFR 1910.268 NOVEMBER 7,2006 6 DRAFTDOCUMENT Environmental, Health, and Safety Guidelines TELECOMMUNICATIONS Flnwro Corporation I DRAFT " . * a < v, Personneltraining should be conducted in revival to warn of exposure levelsthat are below occupational techniques for electric shock. exposure referencelevels (e.g. 50 percent).Action plans to addressoccupationalexposure may include Electromagnetic fields (EMF) deactivationof transmissionequipmentduring Electric and magnetic fields (EMF) are described in Section maintenanceactivities, limitingexposuretime through 1.Iabove.Electricutilityworkers typically have ahigher work rotation, increasingthe distance betweenthe exposureto EMFthan the general public due to working in source and the worker, when feasible, use of shielding proximityto electric power lines.lIl4 Occupational EMF materials;or installationof laddersor otherclimbing exposure should be preventedor minimizedthrough the devices insidethe mast or towers, andbehindthe preparationand implementationof an EMF safety program transmission beams. includingthe following components: Optical Fiber Safety Identificationof potentialexposure levelsinthe Workers involved in fiber optic cable installationor repair may workplace, including surveys of exposure levels in new be at riskof permanenteye damagedueto exposureto laser projects and the use of personal monitorsduringworking light during cable connection and inspection activities36 activities; Workersmay also beexposedto minuteor microscopicglass Training of workers in the identificationof occupational fiber shardsthat can penetratehumantissuethroughskin or EMF levels and hazards; eyes, or by ingestionor inhalation.Opticalfiber installation Establishmentand identification of safety zones to activities may also pose a risk of fire due to the presenceof differentiate between work areaswith expectedelevated flammable materialsin high-poweredlaser installationareas. EMF levels comparedto those acceptablefor public Recommendationsto prevent, minimize,and control injuries exposure, limitingaccessto properlytrainedworkers; relatedto fiber optic cables installationand maintenance Implementationof action plansto address potentialor include: confirmedexposure levelsthat exceedreference occupationalexposure levelsdeveloped by international Worker training on specific hazards associatedwith laser organizationssuch as the InternationalCommissionon lights, includingthe various classes of low and high Non-IonizingRadiation Protection(ICNIRP), andthe power laser lights, and fiber management; Instituteof Electrical and Electronics Engineers(IEEE)lS. Preparation and implementationof laser light safety and Personalexposure monitoring equipmentshould be set fiber management procedureswhich include: o Switching off laser lights priorto work initiation, when feasible l31994studyestimatedtheaverageexposureofelectricalworkers A (~ncludingjobs in electric utilities and other industries)in LosAngeles, o Useof laser safetyglasses during liveopticalfiber Californialo be 9.6 milligauss (mG),comparedto 1.7mGforworkers in other fields (S. J. London et at., 1994). systems installation l4 Althoughdetailed studiesof workplaceexposure to EMF in the United Stales, Canada, France,England,and several NodhemEuropeancountries o Prohibitionof intentionallylooking intothe laserof have found no conclusive linkor correlationbetweentypical occupational fiber end or pointing it at another person EMF exposureand adverse healtheffects, some studieshave identifieda possibleassociationbetweenoccupationalexposure to EMFand cancer, such as braincancer (U.S.Nationallnstituteof EnvironmentalHealth Sciences 2002) indicatingthere is evidenceto warrant limitedconcern. l6 extendingacableormountingacableconnector,amicroscopeis When The ICNIRPexposureguidelinesfor OccupationalExposureare listed in typicaly attachedto the end of the fiber optic cable allowingthe worker to Section 2.2 of this Guideline. inspectthe cable end and preparethe thin glass fibers for extensionor connectionassembly NOVEMBER 7,2006 7 DRAFTDOCUMENT MIFC Environmental, Health, and Safety Guidelines TELECOMMUNICATIONS Intermtianal Fhr*nu CMwretiar DRAFT o Restrictingaccesstotheworkarea,placingwarning FallProtection signs and labelingof areaswith potentialfor Workers may be exposedto occupationalhazardswhen exposureto laser radiation, and providingadequate working at elevationduring construction,maintenance,and backgroundlightingto accountfor loss of visibility operationactivities. Preventionand controlmeasuresfor with the use of protectiveeyewear working at heightinclude: o Inspectingthe work areafor the presenceof flammable materials priorto the installation of high Implementationof a fall protectionprogramthat includes poweredlaser lights training in climbing techniques and use of fall protection Performanceof a medical surveillance programwith measures; inspection, maintenance,and replacementof initial and periodic eye examinations; fall protectionequipment; and rescueof fall-arrested Avoiding exposureto fibers through use of protective workers, among others; clothing and separation of work and eating areas. Establishmentof criteriafor use of 100 percentfall protection(typicallywhen working over 2 meters (m) Elevatedand OverheadWork above the working surface, but sometimesextendedto The assembly of towers and installation of antennae can pose 7m, dependingon the activity). The fall protection system a physical hazardto workers using lifts and elevated platforms should be appropriatefor the tower structure and and those locatedbelow due to the potentialfor falling necessarymovements,including ascent, descent, and objects. Recommendedmanagementstrategies include: movingfrom pointto point; Installationof fixtures on tower componentsto facilitate The area aroundwhich elevatedwork is taking place the use of fall protection systems; should be barricadedto prevent unauthorizedaccess. Provisionof an adequateworkpositioning device system Working underother personnel should be avoided; for workers. Connectorson positioningsystems should Hoistingand lifting equipmentshould be rated and becompatiblewith the tower componentsto which they maintainedand operators trained in their use.Elevating are attached; platformsshould be maintainedand operated according Safety belts should be of not lessthan 16 millimeters to establishedsafety proceduresthat includesuch (mm) (518inch) twoinone nylon or materialof equivalent aspectsas equipment and use of fall protection strength. Rope safety belts should be replacedbefore measures (e.g. railings), movementof locationonly when signs of aging or fraying of fibers becomeevident; the lift is in a retracted position, repair by qualified When operating powertools at height,workers should individuals, and the use of effective locksto avoid use a second (backup)safety strap. unauthorizeduse by untrained individuals; Laddersshould be used accordingto preestablished Confinedspaces safety proceduresincluding,for example, proper The type of confined spaces encounteredin placement,climbing, standing, and the use of telecommunicationsprojectsvaries but may include extensions. undergroundfixed line infrastructurecollocatedwith other underground infrastructurein urban areas. Telecommunicationscompaniesshoulddevelop and NOVEMBER 7,2006 8 DRAFT DOCUMENT Environmental,Health,and Safety Guidelines TELECOMMUNICATIONS International DRAFT implementconfined space entry proceduresas described the Structuraland site access issues General EHS Guidelines, and includingthe following: Communitiesmay be exposedto structuralsafety issues in the event of structuralfailure of masts or towers.These same Requiringwork permits for all confined space entries; sites may also attract unauthorizedpersonsinterestedin Installationof appropriateaccesscontrols for non- climbingthese structures, also representing a risk to their permitted personnel including signageto alertworkers to safety. Recommendationsto managesite safety issues the hazardsof confinedspaces; include: Use of ventilation and oxygenI explosive level detection and alarm equipment prior to access. Designand installationof tower structuresand componentsaccordingto good international industry Motorvehicle safety practice,taking into accountthe potentialfrequencyand The geographically dispersed nature of the infrastructureof magnitudeof naturalhazards; some telecommunicationsoperators may requirethe frequent Erectionof fences in combinationwith other institutional use of groundtransportationfor maintenanceactivities. controls and managementapproachessuch as the Underthese circumstances,companiesshould prepareand posting of signs forbidding entry and placementof implementmotorvehicle safety programsto protectthe safety guards to protectthe premisessurroundingthe site; of its workers and the communitiesin which they operate. Equippingmasts or towers with antilimbing devicesto Specific recommendationsfor motorvehicle safety are precludeunauthorizedclimbing; provided in the General EHS Guidelines. Aircraft navigationsafety 1.3 Community Health and Safety Antenna towers, if located near an airport or known flight Examplesof community healthand safety hazards identified paths, can impactaircraft safetydirectly throughcollision or during the construction phase include: exposureto indirectlythrough radar interference.Aircraft collision impacts constructionvehicles and transports, exposureto dust, noise can be mitigated by: and vibrations caused by the constructionsworks. These Avoidingthe siting of towers close to airports and outside hazards are common to mosttypical constructionsites and of knownflight pathenvelopes; are describedin detail, along measuresfor their control and Consultationwith regulatoryair traffic authorities prior to monitoring in the General EHS Guidelines. installationand adherenceto regionalor nationalair Some of the most significant operational phase hazards traffic safety regulations. associatedwith telecommunicationsprojects include: DriverSafety and Cellular Phones Structural and site access issues Telecommunicationscompanieswho provide cellular phone Aircraft navigationsafety service have littleor no influenceover the safe use of these Driversafety and cellular phones devises bytheir clients. However,to the extentfeasible, companiesshould promotethe safe useof cellular telephones through such methodsas customerinformationcampaigns which may include,for example, distributionof informationat NOVEMBER 7,2006 9 DRAFTDOCUMENT WIFC 1 Environmental, Health, and Safety Guidelines L A TELECOMMUNICATIONS Intermatianal DRAFT the time of customer sewice sign-up or by mail with billing to have potentially significant impactson the environment nformation,or through public add campaigns. during normaloperations and upsetconditions. Environmental monitoring activities should be basedon direct or indirect 2.0 Performance Indicators and indicatorsof emissions, effluents, and resource use applicable Monitoring to the particular project. Monitoringfrequency shouldbe sufficientto provide representativedata for the parameter 2.1 Environment being monitored. Emissionsand EffluentGuidelines Monitoringshould be conducted by trained individuals Telecommunicationsactivities do not typicallygive riseto following monitoringand recordkeeping proceduresand significant air emissions or effluents. Instead, site operations using properlycalibrated and maintainedequipment. should apply the principlesand guidelinesdescribedabove Monitoringdata should be analyzed and reviewedat regular and in the General EHS Guidelines, especiallywith regards intervalsand comparedwith the operating standardsso that to emissionsor effluentsduring constructionoperationsor any necessarycorrective actionscan be taken. from administrativeand maintenancefacilities. Table 1lists exposurelimits for general public exposureto electric and Additional guidance on applicablesamplingand analytical magneticfields published by the InternationalCommissionon methodsfor emissionsand effluents is providedin the Non-IonizingRadiation Protection (ICNIRP). General EHS Guidelines 2.2 Occupational Health and Safety OccupationalHealthand Safety Guidelines Frequency Occupationalhealth and safety performanceshould be 3- 150kHz evaluatedagainst internationallypublishedexposure 10 400 MHz - 0 092 guidelines, of which examplesincludethe Threshold Limit Value (TLV@)occupationalexposureguidelinesand BiologicalExposure Indices(BEIS@)publishedby American Conferenceof GovernmentalIndustrialHygienists(ACGIH),'? Combustionsourceemissions guidelines associatedwith the United States NationalInstitutefor OccupationalHealth steam- and power-generationactivitiesfrom sourceswith a and Safety (NIOSH),18 PermissibleExposureLimits(PELS) capacity equal to or lowerthan 50 MWth are addressedin the publishedby the OccupationalSafety and Health General EHS Guidelines with larger power sourceemissions Administrationof the UnitedStates (OSHA),Ig Indicative addressed in the Thermal Power EHSGuidelines.Guidance OccupationalExposureLimit Values publishedby European on ambient considerationsbased on the total load of Union member states,a or other similar sources. emissions is provided in the General EHS Guidelines. EnvironmentalMonitoring 47http:lM.acgih.org/TLVl 18http:lhw.cdc.govlnioshlnpgl Environmentalmonitoringprogramsfor this sector should be 19 http:lhw.osha.govlplsloshaweblowadisp.show~document?p~table=STAND implementedto address all activities that have been identified ARDS&p_id=9992 http:lleurope.osha.eu.inVgood_practicelrisksldsloell NOVEMBER 7,2006 10 DRAFTDOCUMENT mlFC Environmental, Health, and Safety Guidelines TELECOMMUNlCATlONS lrvtwnational H~MLI Corpcrrrtion DRAFT b ,. ,.* Additional indicatorsspecifically applicableto telecommunicationsactivities includethe ICNIRPexposure limitsfor occupationalexposureto electric and magnetic fields listed in Table 2. I Frequency I Electnc F~eld(vlm) I Magnet~cField (IT) I 1 0.82-65 kHz 1 610 1 30.7 1 Accident and Fatality Rates Projectsshould attempt to reducethe number of accidents among projectworkers (whetherdirectly employedor subcontracted)to a rateof zero, especially accidentsthat could result in lost work time, different levelsof disability,or even fatalities. Facility rates may be benchmarkedagainstthe performanceof facilities in this sector in developedcountries through consultationwith publishedsources31 Occupational Health and Safety Monitoring The working environment should be occupational hazards relevant to the specific project. Monitoring should be designed and implementedby credentialedprofessionals22 as part of an occupational healthand safety monitoring program. Facilitiesshould also maintaina record of occupational accidents and diseases and dangerous occurrencesand accidents. Additional guidanceon occupational health and safety monitoring programsis provided in the GeneralEHS Guidelines. 21 US Bureau of Labor Statistics, http:l~.bls.aov/iifI;and UK Health and Safety Exent.ve, hrtpI hhse gov .k/slat~st~cs~~naexhtm 22Creaentlal professonals may ~ n c l ~ aCertified lnd~srnalhyg~ensls, e Registered Occupational Hygienists, or Certified Safety ~rofessionalsor their equivalent. NOVEMBER 7,2006 11 DRAFTDOCUMENT Environmental, Health,and Safety Guidelines ME,IFCrELECoMMUNlC*rloNs ~ntwnational Flnrno Golporatirm DRAFT '. # %L,e 8 .,% 3.0 References and Additional Sources Clark, J.R. 2000. Service Guidance on the Siting,Construction,Operation, http:/iwww.k.fed.uslpsw/~ublications/documenlsipswqtrl91IAsilomar/~fs/l and Decommissioningof CommunicationTowers. Personalcommunication 051-1064 pdf from Clark (Director,US Departmentof InteriorFish and WlldlifeService, Washington, DC) to Regional Directors (US Fishand WildlifeService). UnitedKingdom(UK) Heah and Safety Executive (HSE). AvailaMe at h t t /Wfws.qovlmiqrato~birds/issuesitowrs/mmtow.html ~ http:i,W.hse.gov.uk!statisticsAndex.htm EuropeanParliament and Council of the European Union. Directive UK NationalRadiologicalProtectionBoard(NRPB)(nowthe Radiation 20M1401EC of the European parliament and Of the Council on the minimum Protection Division of the Health ProtectionAgency). AdvisoryGroupon Now heath and safety requirements regarding the exposure of workers to the risks lonising Radiation (AGNIR). 2001. ELF ElectromagneticFields and the Risk arising from physicalagents (electromagnetic fields). 18thindividualDirective within the meaning of Article 16(1)of Directive8913911ECC. Available at of Cancer: Report of an AdvisoryGroup on Nonlonising Radiation.Didcot, UK: NRPD. http:l/europa.eu,inffeur- lex/pri/en!oi/dat/20M11 18411 18420M0524en00010009.pdf UnitedStates Departmentof Labor, Bureauof Labor Statistics(US BLS). European Union. 2003a.Directive2002/951ECof the European Parliament 2004, Census of Fatal Occupational Injuries (CFOI), Annual data from CFOI, and of the Council of 27 January 2003 on the restriction of the use of certain Industryby event or exposure, 2004. Washington, DC: US BLS. hazardoussubstances in electricaland electronicequipment.Availableat http:I/ec.europaeuienvironment/wasteiweee index.htm US BLS.2004.Workplace iniuriesand illnesses in 2004, Incidence rate and number of nonfatalokupational injuries by selected industriesin 2004 EU.2003b. Directive2002/961ECof the European Parliament andof the Washington, DC: US BLS Council of 27 Januarv 2003 on waste electricaland electronicequipmert (WEEE) - Jointdeclaration of the European Parliament,the Council and the Commission relating to Article 9. Availableat US Departmentof Labor Occupational Safetyand Health Administration - Telecommunications. htt~.iiec.europa.euienv~ronmentiwasteheeeindex.htm (OSHA). Regulations (Standards -29CFR) 1910.268 Washington, DC:OSHA.Available at h t t p : i i ~ ~ ~ h a . q ~ ~ / ~ l ~ / ~ ~ document?^ ltable-STAND~ ~ . ~ h ~ ~ h a ~ e b ~ ~ a d i InternationalAgency for Research on Cancerof the World Health ARDS&o id79867 Organization(WHO). 2002. IARC Monographson the Evaluationof CarcinogenicRisks to Humans.Volume 80. Non-Ionizing Radiation, Part 1: US Nationallnstituteof Environmental Health Sciences (NIEHS) and National Static and Extremelv LowFreauencv(ELF) Electricand Maqnetic Fields. Institutesof Health (NIH). 2002. EMF Questions and Answers. Electricand Summaryof Data ~kportedanb valuation. Lyon,France: IARC.Available at Magnetic FieldsAssociated with Useof Electric Power.Available at http~/lmonoqra~hs.iarc.fr~ENGlMo1~ographlume8O.pdf http:lhuww.niehs.nih.qoviemfrapid/bookleUemf2002.pdf InternationalCommissionon Nonlonizing RadiationProtection(ICNIRP). NIEHS. 1999. HealthEffectsfrom Exposureto Powe~LineFrequencyElectric 2003. Exposureto Staticand Low FrequencyElectromagneticFields, and Magnetic Fields. NIM Publication No. 994493. ResearchTriangle Park, BiologicalEffects andHealth Consequences (0100 k~z).Reviewof the NC: NIEHS. Scientific Evidence and Health Consequences. Bernhardt, J.H., Matthes, R., McKinlay, A.,Vecchia, P., Veyret, 0. (eds.). ICNIRP. WHO. 2006.InternationalEMF Project.Model Legislationfor Electromagnetic Fields Protection.Geneva: WHO.Available at http~l1w.who.in~l~eh- ICNIRP.2001. Reviewof the Epidemiologic Literature on EMF and Health. emFstandardsiEMF model leq1slation%5bl%5d.pdf EnvironmentalPerspectives 109 (Supp6): 911-934.Available at http:ihnMnNicnirp.de1documentslEPlreviewl.pdf WHO. 2005. Fact sheet No 296. EiectromaaneticFieldsand PublicHealth: Electromagnetic Hypersensitivity. Geneva: WHO. Available at ICNIRP. 1998. Guidelines for Limiting Exposure to Time-Varying Electric, http~/lwww.whointlmediacentrelfactsheetsifs296/en/ Magnetic, and Electromagnetic Fields (up to 300 GHz), Health PhysicsVol. 74, No 4, pp494-522. Available at http:l/w.icnirpde/documentslemfgdl.pdf WHO. 2 W . Workshop on ElectricalHypersensitivity.WorkshopSummary, Working Group Meeting Report,Rapporteur's Report. Prague, Czech ICNIRP. 1996. Health Issues Related to the Use of Hand-Held Republic, October 2527. Radiotelephonesand Base Transmitters, Health Physics,Vol. 70, No.4,pp 587-593. WHO. 2002. Statement WHOIOI, 23 January 2002, Clarificationof mooted relationshipbetween mobiletelephone basestations andcancer. Geneva: Institute of Electronicsand ElectricalEngineers.2005. Standard C95.1-2005: WHO. ~vailableat IEEEStandard for Safety Levels with Respect to Human Exposure to Radio http~llwww.who.int~mediacentreinews/statements/state~nentemilen/index.html Frequency ElectromagneticFields, 3kHz to 300GHz. Piscataway, NJ: IEEE. WHO.2000. Fact sheet No 193.ElectromagneticFields and Public Health: London,S.J., et al. 1994 Exposureto Magnetic FieldsAmong Electrical Mobile Telephones and their Base Stations. Geneva:WHO. Available at Workers in Relation to Leukemia Risk in LosAngeles County. American htt~:l/w.who.int/mediace1~tre/factshts/k193/enl Journalof Industrial Medicine.1994:26.p.47-60. WHO. What are electromagneticfields?Geneva: WHO.Available at Manville,A.M., 11. 2005. BirdStrikes and Electrocutions at Power Lines, http.llw.who int/pehemf/about~WhatisEMFlen/ CommunicalionTowers, and Wind Turbines: State of the Art and State of the Science- Next Steps TowardMitigation.Bird ConselvationImplementationin the Americas: Proceedings 3rd InternationalPartners in Flight Conference M02. C.J. Ralph and T.D. Rich, eds. UnitedStatesDepartmentofAgriculture (USDA)Forest Service,GTR-PSW-191. Albany, CA: USDA.Available at NOVEMBER 7,2006 12 DRAFTDOCUMENT Environmental, Health, a n d Safety Guidelines Internatfonal TELECOMMUNICATIONS DRAFT Annex A: General Description of Industry Activities Telecommunication Systems GSM system, generally providesthe telecommunication Telecommunicationis the commondescription for technology system antennaswith a wider coveragethus requiringfewer enablingtwoway communicationbetweenparties located at base stations compared to a systemtransmittingat a higher distancesfrom each other. Telecommunicationalso frequency. However,the highfrequency and the shorter comprisesone-way communicationtechnology such as wavelengthsof a denser network provide a higher capacityfor television and radio broadcasting. data transmissionwhich is one of the benefitsof the new 3G system. Wire line Systems Inorder to achieve best possiblecoverageand microwave Telecommunicationsystems may be of wire lineorwireless link transmission conditions, antennas aretypically mounted types. Wire line sites in general consist of a base station and on rooftops, masts, or other similar high structures.The switchesconnectedto a networkof telecommunicationcable heights at which the antennas are mountedare varying from lineseither installed as air cables or as ground basedcables 15-90 meters dependingon the topographyof the terrain and installedintrenches.The cablesmay beof copperor in on the radio signal coverage requirementsin the area.To recent years fiber opticalcable that enhancesthe achievethe best coverage these antennas emit RF beams communicationspeed and capacityof the system.A wire line which are very narrow in the vertical direction, butverywide in system may be usedfor afixed telephonesystemor for the horizontaldirection. The vertical direction and ground broadbandand internet systems purposes.A wire line system coverage is achieved by tilting the antennas forward a few is often used as a backbonesystemfor wireless systems to degrees. The RF fields decrease rapidlywhen moving away provide high capacity and redundanttraftic security in from the antennas. communicationbetweenthe mainswitchesof such a system. The signal transmission,or voice and datatraftic, of a cellular Wireless Systems telecommunicationsystem may be divided intotwo parts.One Wirelesssystems,or cellular systems, are typically designed is the communicationbetweenthe base stations. Insteadof in the same way as wire line systems. However,the actual the wire line system using copper or fiber optic cables, transmission of telecommunicationsignals is managed microwavelink antennas are used as meansof transmission. through Radio Frequency(RF) energy.A typical cellular One base station is linked to the next by a microwavelink telecommunicationnetworkconsists of a great numberof creating a microwavelinkednetwork enabling all base base stations. Each base station is designed to serve a stations to communicatewith each other and the major geographical areaof networkcoverage and may be referred switches. to as a cell in the totaltelecommunication network. The size of such cell is dependenton the type of telecommunication The signal transmissionto the system end user, the person system and the installedequipment. For example, the Global usingthe systemto place atelephonecall, is managedby RF Systemfor Mobilecommunications(GSM)system transmits antennas.The antennas communicatewith the cellular on a lowerfrequency, 900-1500 Mega hertz(MHz) in handset by RF energy and the telecom equipmentinstalled in comparisonto the 3G system which transmits on a frequency the base station relay the call to switches located in the in the range of 1500-2000MHz.A lower frequency, as for the network and thereafterthe call is reroutedto the recipient.To NOVEMBER 7,2006 13 DRAFTDOCUMENT Environmental, Health,and Safety Guidelines 'IFCTELECOMMUNICATIONS lntwnatianal flnmUp ration DRAFT %.a *r 'el( be able to locatethe recipientof a cellular call the The mobile units may be installedontovehicles or designed telecommunicationsystem is at all times keeping track of all as briefcasesor backpacks.Fixedsatellite systemstations cellular handsets in the systems and where each handsetis may be installed for various applicationssuch as broadcasting located.When a handset is movingfrom one cell (or base applications with up-linksand down-links,and analogueI station) to another,the system recordsthe transfer and digital television distribution. identifiesthe handset as part of a new cell. Inthis way, the The technologyusedfor satellite communicationis in essence systemis able to at all times manageincomingcalls and identicalto the one usedfor microwavelinks usedfor cellular leroute them to the rightbase station and, subsequently,to telecommunication.The output power is higher reachingup to the call receiver. 600 Watts (W).Also the frequency is higher,around 14 Giga Typicalcellular telecommunicationsites are roof top sites and hertz(GHz). The hazards relatedto satellite systemsare greenfield sites. A typical roof top site is located on the roof of identicalto those identifiedfor any wireless a buildingwith the antennas mountedon short polesor telecommunicationsystem. tripods on top of the roof. The equipment room is normally located insidethe building, preferably in the attic or in the BroadcastingSystems basement.The power supplyfor a roof top site is generally Televisionand radio systemsare typically designedas cellular providedthough the buildinglandlord.This is the most telecommunicationsystems,with a few major exceptions. commonsite type in urban areas. Communicationis directed one way and the radiofrequency antennas providingthe television or radiocoveragetransmits In ruralareas, greenfield sites are the most common type. on a lowerfrequency,thus creating a longerwave length. In The antennas are mountedon top of masts or towers instead addition,the transmissionenergy is considerably higher than of buildings.The typical greenfield structure interms of masts for a cellular system enablingthe signalto reach all receivers and towers, consistsof galvanizedsteel towers or guyed steel in the populatedareas. Due to the highoutput energy and masts. The equipment roomfor a greenfield site is a longwavelengthfewer transmissionstations are required. prefabricatedshelter placed on a concretefoundation. The footprint of a greenfieldsite is approximately200 square meters. In many cases, a new access road must be constructedfor site access. The RF antennasand microwavelink antennas are connected to the telecommunicationequipment by feeder cables. These cables may be installed in shafts or cable ducts on rooftop sites or attachedto the steel structuresof a mast or tower for greenfieldsites. Another application of wireless communicationis the use of satellitesystems. These systems may operate independently of any fixed installations and enablesthe user to receive and send informationregardlessof their geographicallocation. NOVEMBER 7,2006 14 DRAFTDOCUMENT ANNEX 2: IFC'S GENERAL OCCUPAITTIONAL,HEALTHAND SAFETY GUIDELINES ENVIRONMENTALRESOURCES MANAGEMENT 66 RCIPESMF IFC ENVIRONMENTALGUIDELINESFOR OCCUPATIONALHEALTHAND SAFETY June 24, 2003 1 PAGE 1 Environmental and Social Guidelines for This guideline contains the performance levels and measures that are normally acceptable to IFC and are generally considered to be achievable at reasonable costs by existing technology. While adherence to this guidelineis strongly recommended, the application of these guidelines may be adjusted to each project or site, taking into account variables such as host country context, sponsor capacity and project factors. The environmental assessment process may recommend alternative (higher or lower) levels or measures, which, if accepted by IFC, become project- or site-specific standards or requirements. The environmental assessment document must provide a full and detailed justification or explanation for the levels or measures recommended for the patticular project or site. Hazardousmaterial Any compoundor material posing an immediateor longerterm hazardto human health due to its physical, chemical or biological effect. AREA OF APPLICABILITY Biologicalagents Microorganisms,cell cultures, viruses, or humanendoparasitesable to provoke This guideline applies to places o f w o r k associated infections, allergy or toxic responses. w i t h I F C projects. The place o f w o r k may be a Microorganism Microbiologicalentity, cellular or non cellular, capable of replicationor building, an installation o r an outdoor area. The transferring genetic material. guidelines also apply t o temporary places o f work. Exposure Occupation-causedcondition with potential I F C project sponsors should ensure that suppliers, immediateor long-term negativeeffect on service providers, contractors, and subcontractors are the health andlor physicalperformanceof required t o follow comparable practices. the exposed person(s). ExposureLimit(EL) Generalterm for expressionssuch as The guideline covers general aspects o f occupational "ThresholdLimit VaIues"(~~v), health and safety only. It does not adequately cover "Permissible Level", "Limit Value', high risk activities o r sectors requiring advanced "OccupationalExposureLimit" and similar labor protection measures. I t must for projects terms used in regulations defining involving especially hazardous situations b e exposure limitsfor workers. - LAO,,8h Eauivalent8-hour continuousA-weiahted- supplemented w i t h appropriate international sohd pressure level (dB(A)). standards and guidelines or national standards o f LAmsx,fast MaximumA-weighted sound pressure equal standing. Supplementary guidelines would thus levelfor 'Fast" rkponse timi(0.125 sec). be needed for e.g. construction sites, sectors such as mSv MilliSievert- Doseeauivalent unitfor the mining, o i l & gas, petrochemicals, etc., and for w o r k amount of ionizing radiationenergy ab- involving extensive handling o f dangerous substances sorbed per unit mass (bodyweight) (mJlkg) such as hazardous o r toxic compounds, biological PPE Personal protectiveequipment. agents, radioactive materials, etc. UV Ultra violet. IR lnfra red. WBGT Wet bulb globe temperature("C). DEFINITIONS, ABBREVIATIONS, AND ACRONYMS DESCRIPTIONOF SECTOR Employer Organizationemployingindividuals, service providers or contractors. Assigned employees and visitors to workplaces may Worker/employee Personengaged by the organization, be exposed t o a variety o f personal health and safety employed bya service or risks. The type and level of exposure is generally contractor carrying out an activity for the related to factors controlled by the employer. Such organization. factors include without being limited t o workplace OHS Occupational health and safety. design, installations, equipment, tools, w o r k proce- OHSMS Occupational health and safety dures, raw materials, byproducts, and the degree and managementsystem. sophistication o f employee training. Administrative Confinedspace Area not designedfor continuouswork and managerial facilities generally involve fewer having unfavorablenatural ventilation risks and hazards than industrial settings. and restricted access. IFC ENVIRONMENTAL GUIDELINES FOR OCCUPATIONAL HEALTH AND SAFETY June 24,2003 1 PAGE 2 Occupational health and safety risks that must be internationally recognized standard. The content of considered by the employer arise from normal an OHSMS is summarized in and further described functions and operations and during unusual in Annex 1'. The adequacy of the adopted system circumstances such as accidents and incidents. The shall be audited annually. Risk management within employer is responsible for implementing appropriate the OHSMS should be based on an internationally national and internationally recognized OHS recognized standard such as AS/NZS 4360:1999'. standards, codes and guidelines. Maximum effectiveness of OHS systems requires the inclusion The OHSMS shall be designed following a and meaningful participation of employees in competent OHS audit to review the project, its implementation and maintenance of procedures and organization and environment. The audit should processes. To achieve meaningful and effective identify needs for risk reduction and control measures participation, the employer may have to implement a related to transmission of blood borne pathogens (e.g. program to change employee culture and attitudes HIV, Hepatitis B virus etc.) at the place of work3. regarding health and safety. 1. Occupationalhealth and safety policy 2. Organizationalframework of the OHSMS - staffingof OHSMS - competencerequirements - operating procedures - training programs GENERAL - system documentation - communication The employer is responsible for planning, 3. OHSobjectives (quantified) implementing and monitoring programs and systems 4. Hazard prevention - Risk assessment required to ensure OHS on its premises. Such - prevention and control measures (activeand provisions shall be pro-active and preventive by passive) identification of hazards as well as by evaluation, - management of changes monitoring, and control of work related risks. The - emergency preparednessand response employer shall provide and maintain workplaces, - procurement(tools,equipment,plants,services, plant, equipment, tools, and machinery and organize contractors) work so as to eliminate or control hazardous ambient 5. Performancemonitoring and measurements factors at work. The employer shall provide - hazard prevention measures appropriate occupational health and safety training - ambient working environment for all employees. The organization shall, at no cost - work related injuries,ill health,diseasesand incidents to the employee, provide adequate personal 6. Evaluation protective equipment. The employer shall record and - feed back report occupational injuries and illnesses. Contract - corrective measures specifications must include demands for service action plan providers, contractors and sub-contractors to have or establish systems enabling them to meet the OHS Figure2 OccupationalHealth and Safety Management requirements of the employer. System Features5 The OHSMS shall incorporateuniversal precautions and OCCUPATIONALHEALTHAND SAFETY measures against transmission of blood borne pathogens MANAGEMENTSYSTEM (e.g.HIV, Hepatitis B, etc.).For high risk workplaces where workers come into regular contact with human blood and body fluids,comprehensiveprecautions and dedicated An Occupational Health and Safety management training should be undertaken. system (OHSMS) shall be established, operated and Risk Management,StandardsAustralialNew Zealand, 1999 maintained for work associated with IFC projects. The ILO code of practice on "HIVIAIDSand the world of The OHSMS should be designed such that work,"Geneva 2001,and the IFC Good Practice Note certification may be obtained. The "HIVIAIDS in the Workplace,"December 2002 provide comprehensiveness of the system depends on the background informationand referencesfor execution of revie& and policy implementation. nature and scale of the project and the magnitude of Prepared after ILO-OHS2001 Guidelines on Occupational risks involved. The system may be based on OHSAS and Health Management Systems. 18001, ILO-OHS 2001 or an equivalent Prepared after ILO-OHS2001 Guidelines on Occupational and Health Management Systems. IFCENVIRONMENTALGUIDELINESFOROCCUPATIONALHEALTHAND SAFETY June 24,2003 1 PAGE 3 PHYSICAL FACTORS IN THE WORKPLACE cleaning should have permanent means of access. Hand, knee and foot railings must be installed on BUILDINGS AND STRUCTURES stairs, fixed ladders, platforms, permanent and Building facilities housing installations, activities or interim floor openings, loading bays, ramps, etc. sectors not necessitating special labor protection and Openings must be sealed by gates or removable safety measures shall comply with the following chains. Covers shall if feasible be installed to protect physical requirements6. Where the nature of the against falling items. Measures to prevent activities or the materials used necessitates particular unauthorized access to dangerous areas must be in precautions, they must be designed according to local place. and internationally recognized standards as available for specific industries (e.g. mining, petroleum and INSTALLATIONS, EQUIPMENT, TOOLS AND chemical) and for hazardous materials such as SUBSTANCES asbestos. Installations, equipment, tools and substances shall be suitable for their use and selected to minimize Permanent and recurrent places of work shall be dangers to safety or health when used correctly. designed and equipped to protect OHS. Surfaces, Appropriate shields, guards or railings must be structures and installations shall be easy to clean and installed and maintained to eliminate human contact maintain, and not allow for accumulation of with moving parts, or hot and cold items. Equipment hazardous compounds. Buildings must be structurally must be provided with adequate noise and vibration safe, provide appropriate protection against the dampers. Electrical installations must be designed, climate and have acceptable light and noise constructed and maintained to eliminate fire or conditions. Fire resistant, noise-absorbing materials explosion hazards and risks to employees. Ergonomic should, to the extent feasible, be used for cladding on risks and hazards shall be minimized by selecting ceilings and walls. Floors should be level, even, and equipment, tools and furniture appropriate for the non-skid. Heavy oscillating, rotating or alternating assigned worker. equipment should be located in dedicated buildings or structurally isolated sections. SIGNAGE Hazardous and risky areas, installations, materials, The space provided for each worker and in total must safety measures, emergency exits, etc. shall be be adequate for safe execution of all activities appropriately marked. Signage shall be in accordance including transport and interim storage of materials with international standards, be well known to, and and products. Passages to emergency exits must be easily understood by workers, visitors and the general unobstructed at all times. The number and capacity of public as appropriate7. emergency exits must be sufficient for safe and orderly evacuation of the greatest number of people LIGHTING present at any time. Workplaces should, to the degree feasible, receive natural light and be supplemented with sufficient CONFINED SPACES artificial illumination to promote workers' safety and Engineering measures must be implemented to health. Emergency lighting of adequate intensity eliminate to the degree feasible existence and adverse must be installed and automatically activated upon character of confined spaces. Unavoidable confined failure of the artificial light source to ensure safe spaces shall, to the extent possible, be provided with shut-down, evacuation, etc. permanent safety measures for venting, monitoring and rescue operations. The area adjoining an access VENTILATION AND TEMPERATURES to a confined space shall provide ample room for Sufficient fresh air must be supplied for indoor and emergency and rescue operations. confined work spaces. Factors to be considered in ventilation design include physical activity, ACCESS substances in use and process related emissions. Passageways for pedestrians and vehicles within and Mechanical ventilation systems shall be maintained outside buildings should be segregated and provide in good working order. Point-source exhaust systems for easy, safe and appropriate access. Equipment and required for maintaining a safe ambient environment installations requiring recurrent servicing and must have local indicators of correct functioning. Re- circulation of contaminated air is generally not acceptable. Air inlet filters must be kept clean and Deviations from the general requirements are acceptable if the placeof work and ambient environment are safe and the - occurrence/durationof an activity limited. IS0 9186 and ANSI 2535.3 advise on signage design. IFC ENVIRONMENTALGUIDELINESFOR OCCUPATIONALHEALTHAND SAFETY June 24, 2003 1 PAGE 4 free of dust and microorganisms. HVAC and which care of the patient can be transferred to an industrial evaporative cooling systems shall be appropriate medical facility. equipped, maintained and operated so as to prevent growth and spreading of disease agents (e.g. WELFARE FACILITIES Legionnella pneumophilia) or breeding of vectors The scope and comprehensiveness of welfare e.g. mosquitoes and flies of public health concern. facilities depend on the number of workers present at Air distribution systems must be designed so as not to any one time and the activities executed. Welfare expose workers to draughts. facilities must include locker rooms, an adequate number of toilets with washbasins, and a room The temperature in work, rest room and other welfare dedicated for eating. Separate eating facilities shall facilities should, during service hours, be maintained be provided for employees wearing clean and soiled at a level appropriate for the purpose of the facility. work clothes respectively. Gender-segregated changing rooms with lockers and benches should be FIRE DETECTION AND FlRE FIGHTING provided when special work-clothes are required. Hot The workplace must be equipped with fire detectors, and cold water shower facilities and wash basins alarm systems and fire-fighting equipment. The should be available in connection with locker rooms. equipment shall be maintained in good working order. It must be adequate for the dimensions and use Water supplied to areas with food preparation or for of the premises, equipment installed, physical and the purpose of personal hygiene (washing or bathing) chemical properties of substances present, and the must meet drinking water quality standards. maximum number of people present. Non-automatic firefighting equipment must be easily accessible and If the circumstances (e.g. dirt, dangerous substances, simple to use. Fire and emergency alarm systems humidity, blood, microorganisms, etc.) so require, shall be both audible and visible. The IFC Life and separate lockers must be installed for isolating street- Fire Safety Guideline shall apply to buildings from work-clothes for the exposed employees. Work- accessible to the public. clothes that may be contaminated with dangerous or contagious substances or in any way involve a health CLEANING hazard to the worker, his family or the general public Washbasins with running hot and cold water shall be shall not leave the premises of work, but be collected installed in sufficient numbers where demanded by on site and adequately cleaned and disinfected at the the character of the work and when contaminants or employer's expense. Staff exposed to risk of pollution must be confined to the place of work. The contamination shall change clothes and undergo washbasins must have soap and/or other appropriate decontamination before entering common facilities cleaning agents. such as eating places. Places of work, traffic routes and passageways shall PERSONAL PROTECTIVE EQUIPMENT be kept free from waste and spillage, regularly The employer shall identify and provide appropriate cleaned, and maintained. personal protective equipment (PPE) that will offer adequate protection to the worker, co-workers and FIRST-AID occasional visitors without incurring unnecessary The employer must ensure that qualified first-aid can inconvenience. The employer shall actively enforce be provided at all times. Appropriately equipped use of PPE if alternative technologies, work plans or first-aid stations shall be easily accessible throughout procedures cannot eliminate or sufficiently reduce a the place of work. Eye-wash stations and/or hazard or exposure. The employer shall ensure that emergency showers shall be provided close to all PPE is cleaned when dirty, properly maintained and workstations where the recommended first-aid replaced when damaged or worn out. Proper use of response is immediate flushing with water. Where the PPE shall be part of the recurrent training programs scale of work or the type of activity being carried out for employees. Table 1 presents selected examples of so requires, dedicated and appropriately equipped occupational hazards and types of PPE available for first-aid room(s) must be provided. First aid stations different purposes. and rooms shall be equipped with gloves, gowns and masks for protection against direct contact with blood and other body fluids. Remote sites shall have in place written emergency procedures for dealing with cases of trauma or serious illness up to the point at IFCENVIRONMENTALGUIDELINESFOR OCCUPATIONAL HEALTHAND SAFETY June 24, 2003 1 PAGE 5 Objective Occupational Hazards PPE Equivalent Maximum Eye and face Flyingparticles, molten Glasses, shields, Location/activity level %,,fast protection metal, liquidchemicals, protectiveshades, etc. LAeq,8h gases or vapors, light Heavy Industry (no demand for 85 dB(A) I dB(A) l o radiation. oral communication) Head Fallingobjects, Helmetswith or without Light industry(decreasing 50-65 dB(A) I10 dB(A) protection inadequateheight electrical protection. demandfor oral communication) clearance, and Open offices, control rooms, 45-50 dB(A) - overhead power cords. servicecounters or similar Hearing Noise, ultra-sound. Hearing protectors. Individualoffices (nodisturbing 40-45 dB(A, - protection noise) Foot Fallingor rolling Safety shoes and boots Classrooms, lecturehalls 35-40 dB(A) - ~rotection obiects, pointed for protectionagainst Hospitals 30-35 dB(A) 40 dB(A) objects. Liquids. liqu'idsana chemicals. Hand Hazardous mater~als, Gloves madeof rubber or Table 2 Noise Limits LAeq,8hand MaximumLAmax,fastQ protection cuts or lacerations, syntheticmaterials, vibrations,extreme leather,steel, insulating VlBRATlON temperatures. materials, etc. Exposure t o hand-arm vibration from equipment such Respiratory Dust,fogs, fumes, Facemaskswith protection mists, gases, smokes, appropriate filters for dust as hand and power tools o r whole-body vibrations vapors, oxygen removal and air from surfaces o n which the worker stands o r sits shall deficiency. purification(chemicals be controlled through selection o f equipment and and gases) or air supply. limitation o f time o f exposure. The limits for Bodylleg Extremetemperatures, Insulatingclothing,body vibration and action values, i.e. the level o f exposure protection hazardous materials, suits, aprons etc. of at which remediation should be initiated, are biologicalagents, appropriate materials. provided in Table 3. Exposure levels should be cutting and laceration. checked o n the basis o f daily exposure time and data Table I OccupationalHazards -ExposureExamples and provided b y equipment manufacturerslO. Types of PPEAvailable DRINKING WATER vibration vibration The employer shall ensure an ample supply o f Daily exposurelimit value drinking water at all places o f work. Water supplies standardizedto an &hours 5 mls2 1.15 mls2or shall be conveniently located especially for areas o f referenceperiod 11 elevated temperatures, high physical activity, and Daily exposure action value 0.6 mls2or cold o r dry environments. Drinking water supplies standardizedto an 8-hours 2.5 mls2 shall be clearly marked especially where non- reference period '2 drinking water is also available. Table 3 Vibration Exposure and Action Values Limits (acceleration,mls2)'3 AMBIENT FACTORS IN T H E WORKPLACE ILLUMINATION, LIGHTRADIATIONAND REFLECTIONS NOISE W o r k area light intensity must be adequate for the Noise limits for different working environments are general purpose o f the location and type o f activity provided in Table 2. N o employee may be exposed to and must be supplemented w i t h dedicated work a noise level greater than 85 dB(A) for a duration o f station illumination as needed. A l l light sources more than 8 hours per day. In addition n o unprotected should be energy efficient w i t h minimum heat ear should be exposed t o a peak sound pressure level emission. The employer shall take measures t o (instantaneous) o f more than 140 dBC. The use o f hearing protection must be actively enforced when 'WHO guideline values for community noise in specific environments, Geneva 1999. LAe,,8h reaches 85 dB(A), the peak sound levels 140 The UK Health and Safetv Executive at dB(C) or the LA,,,fast 1lOdB(A). httD.//www.hseaov.uk/hthdi~/noframeslvibrat.htmprovides information on reduction of vibration risks and a "Vibration exposure calculator". Drinking water shall as minimum comply with physical l 1IS0 standard 5349-1 (2001) chapters 4. and 5, and Annex A. chemical and bacteriological requirements of the World lZ IS0 standard 2631-1 (1997) chapters 5.6 and 7 and Health Organization (WHO) Guidelines for Drinking Water Annex A and B. Quality, Geneva 1998. 13 European Community EC 2001lC 301101). IFCENVIRONMENTALGUIDELINESFOROCCUPATIONALHEALTHAND SAFETY June 24, 2003 1 PAGE 6 eliminate reflections and flickering o f lights. The screening l6 appear in Table 5. Additional minimum limits for illumination intensity for a range investigations are required to properly assess the o f locations/activities appear i n Table 4. magnitude o f the problem and identify feasible heat stress control measures. Location/activity Light intensity Level of physicalactivity -type of work Maximum Emergency light 10 lux WRGT Outdoor nonworking areas 20 lux Minimumto liaht 29.!i°C: Simple orientation and temporaryvisits 50 lux Moderate- walkina. standina, use of handtools 275°C (machinestorage, garage,warehouse) Hioh heavy burdens,intensive use of tools - Workspace with occasionalvisual tasks 26°C only (corridors,stairways, lobby, elevator, 100 lux Very high-high speedintensiveand heavywork 25°C auditorium,etc.) Table 5 Heat Stress ScreeningTemperatures WBGT"C la. Medium precisionwork (simpleassembly, rough machineworks, welding, packing, 200 lux etc.) For continuous work in temperatures below -7"C, the Precisionwork (reading,moderately wind-chill temperature should be calculated to assess difficult assembly,sorting, checking, 500 lux the need for cold-stress precautions in addition to mediumbench and machineworks, etc.), protective clothing'9. For wind-chill temperatures offices. High precisionwork (difficultassembly, below -20°C, a 10-minute warm-up period should be 1,000 - 3,000 IUX sewing, color inspection,fine sorting etc.) provided in a heated shelter inthe middle o f any 4- hour work period. A second warm-up period o f equal Table4 Minimum llluminationIntensityon Objectsof Work j4 duration shall be added ifthe temperature decreases to -32OC. Additional warm-up periods shall be added The employer shall take precautions to minimize and for every following three degree temperature drop. control optical radiation including direct sunlight. Below wind chill temperatures o f -43OC non Exposure to high intensity UV and IR radiation and emergency work should cease. high intensity visible light shall also be controlled. Laser hazards shall be controlled in accordance with HAZARDOUS MATERIALS equipment specifications, certifications, and Organizations that produce, handle, store, transport recognized safety standards. The lowest feasible class and dispose o f hazardous materials (chemicals, gases, Laser shall be applied to minimize risks. vapors, fumes, dust, fibers, etc.) shall inaddition to the present guidelines fulfill the requirements o f the TEMPERATURE IFC Hazardous Materials Management Guidelines. The employer shall maintain indoor temperatures that are reasonable and appropriate for the type o f work. The employer shall avoid the use o f any hazardous Risks o f heat or cold related stress must be substance by replacing it with a substance that under adequately addressed and feasible control measures its normal conditions o f use is not dangerous or less implemented for work in adverse environments. The dangerous to the workers, ifthe nature o f the activity wet bulb globe temperature (WBGT) or a nationally so permits. Precautions must be taken to keep the risk recognized method o f equal standing should be used for screening environmental contribution to heat 16 CanadianOHS regulation stress". Commonly applied limits used for W B G T (htt~:/lreaulation.heaIthandsafetvcenter.com/slGuidelinePart 7.ass)), Management and Preventionof Heat Stress - Guideline. Department of Minerals and EnergyWestern Australia, December 1997,and ACGIH 2001, contains detailedguidelines for assessing and controllingheat and 14 Table 4 states minimum levels for illuminationonly. Final cold stress. design of lighting levels and systems must adequately 17 Canadian OHS regulation consider type and characteristicof the activity, required (htt~://reaulation.healthandsafetvcenter.com/s/GuidelinePa~ speed and accuracy of the performance,age of staff, m), Managementand Preventionof Heat Stress - reflectanceof task surface, and color of the light, see e.g. Guideline, Department of Minerals and Energy Western LightingHandbook Edition, The llluminationEngineering Australia, December 1997, and ACGIH 2001, contains Fciety of NorthAmerica, NewYork. 1993 guidelines for assessing and controlling heat and cold stress. The wet bulb globe temperature WBGT (IS0 7243 is American Conference of GovernmentalIndustrial calculated using one of the followingequations:i) without l-lygienists, ACGIH, 2001. direct sunlight exposure WBGT,, = 0.7*Tw~+ O.~*TGTand ii) W = 13.12 + 0.6215*Toe - 11.37'9 j6 +0.3965*Toe*916, with direct sunlight exposure WBGTOut= O.TRTws+ 0.2*TGT+ where W is the wind-chill index (OC) (equivalent chill 0.1.T~s. Where Tws= naturalwet bulb temperature. TGT = temperature), TDs = dry bulb - air temperature (OC) and V = globe temperatureand Tos= dry bulb temperature wind speed in kmlh at 10 meters height. IFCENVIRONMENTALGUIDELINESFOROCCUPATIONALHEALTHAND SAFETY June 24,2003 PAGE 71 of exposure as low as possible. Work processes, of work2' and implement appropriate safety engineering and administrative control measures measures, monitoring and training programs. must be designed, maintained and operated so as to Biological agents should be classified into four avoid or minimize the release of hazardous groups22: substances into the working environment. The number of employees exposed or likely to become 1. Biological agents unlikely to cause human exposed must be kept at a minimum and the level of disease. exposure maintained below internationally 2. Biological agents that can cause human established or recognized exposure limits. disease but are unlikely to spread to the community. When ambient air contains several hazardous 3. Biological agents that can cause severe compounds with additive effects, the combined human disease and present a serious hazard exposure is assessed by summarizing the relative to workers and may present a risk of level of exposure to each compound. The resulting spreading to the community, for which there level of exposure is considered acceptable if the usually is effective prophylaxis or treatment outcome is less than or equal to one (51.0) .*' available. 4. Biological agents that can cause severe The employer must ensure that all chemicals and human disease are a serious hazard to hazardous materials present are labeled and marked workers and present a high risk of spreading according to national and internationally recognized to the community, for which there is usually requirements and standards. International Chemical no effective prophylaxis or treatment Safety Cards (ICSC), Materials Safety Data Sheets available. (MSDS) or equivalent data/information in an easily understood language must be readily available to Measures to eliminate and control hazards from exposed workers and first-aid personnel. The known and suspected biological agents at the place of employer must ensure adequate and competent work shall be designed, implemented and maintained supervision of the work, work practices, and the in close co-operation with the local health authorities appropriate use of PPE. and according to recognized international standards. The employer shall at all times encourage and BIOLOGICAL AGENTS enforce the highest level of hygiene and personal The employer shall avoid the use of any harmful protection especially for activities employing biological agent by replacing it with an agent that, biological agents of group 3 and 4 above. under its normal conditions of use, is not dangerous or less dangerous to the workers, if the nature of the IONIZING RADIATION activity so permits. Precautions must be taken to keep Places of work involving occupational24andlor the risk of exposure as low as possible. Work naturalz5exposure to ionizing radiation shall be processes, engineering and administrative controls established and operated in accordance with the, must be designed, maintained and operated to avoid "International Basic Safety Standard for protection or minimize release of biological agents into the against Ionizing Radiation and for the Safety of working environment. The number of employees Radiation ~ o u r c e s , "and ~ ~its three interrelated Safety exposed or likely to become exposed must be kept at Guides. The acceptable effective dose limits appear a minimum. Levels of exposure must be maintained in Table 6. below internationally established/recognized exposure limits. 21 Known presence means identifiedmicro-organisms The employer shall review and assess known and utilizedin industly, research facilities and the like. Suspected suspected presence of biological agents at the place presence are unidentifiedmicro-organisms occasionally appearing in health care and veterinaryfacilities and laboratories or pathogens present in the work force. 22 European Community Directive2000154lEC of 18 September 2000 on protectionof workers from risks related 2 to exposure to biologicalagents at work. 20 ex = +2....-24 Cn , I 1.0;wheren ELx EL, EL, EL, Organizations processing, or applying radioactive substances for purposes such as medicalor industrial gocesses, education, training, research, etc. is the total number of hazardouscompounds present, c, the Underground mines (other than those for radioactive ore), ambient concentrationlevel of compound No.x, and EL, its s as, radon prone areas, etc. exposure limit. 2'lAEA Safety Series No. 115, IFC ENVIRONMENTALGUIDELINESFOR OCCUPATIONALHEALTHAND SAFETY June 24, 2003 1 PAGE 8 The employer shall through appropriate contract Exposure Workers Apprentices and specifications and monitoring ensure that service (rnin.19years of students providers, as well as contracted and subcontracted age) (16-18years of labor is appropriately trained before start of their assignments Fiveconsecutiveyear average 20 mSvlyear -effectivedose Singleyear exposure -effectivedose 50 mSvlyear 6 mSvlyear Equivalent dose to the lens of the eye 150rnsvlyear 50 mSvlyear Safety features, ambient working environments and Equivalent doseto the OHS-indicators are subject to regular monitoring and extremities (hands, 500 rnsvlyear 150mSvlyear review. The collected information shall be processed feet)or the skin and findings reported to national authorities as Table 6 EffectiveDose Limits For OccupationalIonizing required. The compiled information and any Radiation Exposure [mSvlyear] corrective measures taken shall be applied in a continuous process to improve the OHS management system. An annual report adequately presenting performance and achievements in regard to OHS TRAINING AND DOCUMENTATION shall be submitted to IFC. The report shall also outline andjustify changes made to the OHSMS. TRAINING Employee monitoring data (originals) must be saved The employer shall ensure that workers prior to for a period of 5 years or longer if required by commencement of new assignments have received national regulations. adequate training and information enabling them to understand the hazards of work and to protect their The OHSMS shall include specifications for health from hazardous ambient factors that may be performance monitoring, evaluation, and present. The training must adequately cover: a) improvement of the system as well as for recording knowledge of materials, equipment, and tools; b) and reporting occupational diseases and accidents. known hazards in the operations and how they are controlled; c) potential risks to health; d) precautions to prevent exposure; e) hygiene requirements; f) wearing and use of protective equipment and clothing; and g) PERFORMANCE MONITORING appropriate response to operation extremes, incidents and accidents. OHSMS organization. The performance and achievements of the OHSMS organization shall be A basic occupational training program and specialty re-assessed annually. courses shall be provided as needed to ensure that workers are oriented to the specific hazards of Safety inspection, testing and calibration. The individual work assignments. Training shall generally employer shall arrange for regular inspection and be provided to management, supervisors, workers, testing of all safety features and hazard control and occasional visitors to areas of risks and hazards. measures at the premises. The inspection shall focus Training shall also be provided to account for new or on engineering and personal protective features, work changed risks whenever procedures are altered or procedures, places of work, installations, equipment, new materials/equipment introduced. Training should and tools used. The inspection must ensure that be repeated periodically and supported by feasible issued personal protective equipment continues to incentives. Workers with rescue and first-aid duties provide adequate protection and is being worn as shall receive dedicated training so as not to required. All instruments installed or used for inadvertently aggravate exposures and health hazards monitoring and recording of working environment to themselves or their co-workers. The latter training parameters must be regularly tested and calibrated. would include the risks of becoming infected with Records shall be kept of all inspections, tests, and blood-borne pathogens through contact with bodily calibrations. fluids and tissue. Surveillance of the working environment. The employer shall document compliance using an appropriate combination of portable and stationary IFCEhVlRONMENTALGUIDELINESFOROCCUPATIONALHEALTHAND SAFETY June 24, 2003 1 PAGE 9 sampling and monitoring instruments. Monitoring 1. Establish what happened; and analyses shall be conducted according to 2. Determine the cause of what happened; and internationally recognized methods and standards. 3. Identify measures necessary to prevent a recurrence. Monitoring methodology, locations, frequencies, and parameters shall be established individually for each Occupational accidents and diseases should at a project following a review of the seriousness of the minimum be classified according to Figure 3. inherent hazards. Distinction is made between fatal and non-fatal injuries. The two main categories are divided into Generally, monitoring should be performed during three sub-categories according to time of death or commissioning of facilities or equipment and at the duration of the incapacity to work. The total number end of the defect and liability period, and otherwise of man-days and hours worked during the reporting repeated according to the monitoring plan established period must be stated. as part of the OHSMS. Surveillance of workers health. When extraordinary a. Fatalities b. Non-fatalinjuries c.Totaltime lost protective measures are required (against biological (number) (number) 27 non-fatal injuries agents group 3 and 4 and/or hazardous compounds), (days) the employer shall provide appropriate and relevant a.1 Immediate b.1 Less than one day health surveillance to workers prior to first exposure a.2 Within a month b.2 Upto 3 days c.1 Category b.2 a.3 Within a year and at regular intervals thereafter. The surveillance b.3 More than 3 days c.2 Category b.3 shall, if deemed necessary be continued after Figure3 Occupational Accident and Disease Reporting termination of the employment. Training. Training activities for employees, and visitors shall be adequately monitored and documented REPORTING GUIDELINES (curriculum, duration, and participants). Emergency exercises including fire drills shall be adequately The annual report to IFC on OHS shall include a documented. Service providers and contractors must be comprehensive summary of the following. contractually required to submit to the employer adequate training documentation before start of their Host country regulatory compliance. The employer assignment. shall record, list and preserve any reports submitted to host country authorities, e.g. on OHS, fire and safety inspections, compliance monitoring, emergency exercises, etc., as well as comments ACCIDENTS AND DISEASESMONITORING received and actions taken. Host country authority monitoring and inspections with subsequent actions The employer shall establish procedures and systems taken shall also be summarized and reported. for reporting and recording: i) occupational accidents and diseases; and ii) dangerous occurrences and OHSMS reporting. The annual report shall include incidents. The systems must require and enable workers summaries of OHS performance monitoring, and to report to their immediate supervisor immediately any records of occurred occupational accidents, incidents situation they believe presents a serious danger to life and diseases. Special emphasis shall be placed on or health. The systems and the employer shall further evaluation of findings and actions taken or planned enable and encourage workers to report all: i) due to the number and type of accidents observed. occupational injuries and near misses; ii) suspected The report shall also include an assessment of the cases of occupational disease; and iii) dangerous degree of fulfillment of the previous year's OHS occurrences and incidents. objectives and action plans for improvement. Occupational accidents and diseases. The employer The report shall include proposed revisions to the must with the assistance of a competent person OHS Management System; revised quantitative investigate all reported occupational accidents, objectives; action plans for technical improvements; occupational diseases, dangerous occurrences, and and planned training activities. incidents together with near misses. The investigation should as far as possible: 27The day on which an incidentoccurs is not includedin b.2 and b.3. IFC ENVIRONMENTALGUIDELINESFOR OCCUPATIONALHEALTHAND SAFETY June 24,2003 1 PAGE 10 For projects or components of projects with particular Guidelines on Occupational Safety and Health health and safety risks, this guideline shall be management systems, ILO-OHS 2001, supplemented with recognized national andlor International Labour Office, Geneva, 2001. international standards. The following OHS websites Occupational health and safety management may be used to obtain additional information. systems, OHSAS 18001, British Standards, 1999. ILO Safe Work, International Labour organization Ambient factors in the workplace, 11ttp:/l~ww.ilo.ore/publiclen~lis1i/protection/sa International Labour Office, Geneva, 2001. fe\vork:index.htm - Index with access to a Occupational Radiation protection, IAEA range of facts, information, and links on Safety Standard Series No. RS-G-1.1. occupational health and safety. International Atomic Energy Agency, Vienna, htt~~:i/w\vw.ilo.orglp~~blic/e~iglish/~~rotection/sa 1999. fework/cis~productsiicsc/index.l~tm - International Basic Safety Standards for International Chemical Safety Cards. Protection against Ionizing Radiation and for htt~~:~/w~vw.ilo.org/p~~blic~lish/~~rotectionlsa the Safety of Radiation Sources, IAEA Safety fework/cislproductsllido/htnilindt.x.htni- Series No.115; International Atomic Agency, International Hazard Data Sheets on Vienna 1996. Occupation. Safety in the use of chemicals at work, ILO httr,://w~~.ilo.~rg/public/englishlprotection/tr code of practice. International Labour Office, av/aidsldownloadlpdf/hiv a4 e.pdf - Code of Geneva 1993. Practice on HIVIAIDS and the world of work. Occupational Safety and Health Standards, CFR29, Part 1910, OHSA, U.S Department of NIOSH, National Institute of Occupational Safety Labor, 2001 and Health, US Department of Health and Human OSHA Handbook for Small Businesses, Services. OSHA 2209, 1996. European Communities Council Directives http:~~~~vw.cdc.~ovlniOIIS/~iteindx.ht~nl -Site 891654lEEC of 30 November 1989, Index A-Z 2000139EC of 8 June 2000,2000154EC of 18 littp:liwww.cdc.~niC)t1S/toplst.ht1nl - September 2000,2002144EC of 25 June 2002. Safety and Health Topics. Lighting Handbook 8thEdition, The http:l/www.cdc.gov/~iiOHS/n~g/n~~~.html - Illumination Engineering Society of North Pocket Guide to Chemical Hazards. America, New York, 1993. http:~~w~vw.cdc.gov/niOl-IS18 I - 123.11tml- HIVIAIDS and the world of work, ILO code Occupational Health Guidelines for Chemical of practice, Geneva, June 2001. Hazards, January 1981. HIVIAIDS in the Workplace. IFC Good htt~~:~iw\vw.cdc.&niO~-IS/il~csneng/ne~~aOOh Practice Note number 2,2002. 8.html - International Chemical Safety Cards. Threshold Limit Values for Chemical Substances and Physical Agents & Biological WHO, World Health Organization Exposure; The American Conference of httr,:/lwww.wIio.int/veh/Occupationalhealthlo Governmental Industrial Hygienists (ACGIH), ccindes.htnil - Protecting the Human 2001. Environment, Occupational Health. IFC ENVIRONMENTAL GUIDELINESFOR OCCUPATIONAL HEALTH AND SAFETY June 24,2003 1 PAGE 11 ORGANIZATION REPONSlBlLlNAND ACCOUNTABILITY ANNEX 1 A person at senior management level should have responsibility and authority for development, THE OCCUPATIONALHEALTHAND SAFETY implementation, management review and evaluation MANAGEMENT SYSTEM^* of the OHSMS. Structures and processes shall be created within the Occupational health and safety, including compliance organization ensuring: OHS as a line management with national OHS requirements, is the responsibility and duty of the employer. Implementation of a fully responsibility, effective supervision, co-operation and transparent OHSMS in an organization is a powerful communication on implementation of the OHSMS, tool towards fulfilling these obligations. The OHSMS effective arrangements for identification and signals the commitment of the organization to ensure elimination or control of work related hazards and safe working conditions. However, active risks, the full participation of workers and their participation from workers is required for optimum representatives, and appropriate allocation of results. Meaningful participation by employees may resources. be obtainable through efficient awareness raising and training to change the prevailing labor safety culture. COMPETENCEAND TRAINING An OHSMS must have features for continuous The organization must possess, develop or have feedback and self-improvement. permanent access to sufficient OHS competence to implement and maintain the OHSMS. Permanent competence is required to continuously identify, eliminate andlor control work related hazards and POLICY risks within the organization. The OHS Policy Statement of the organization must Appropriate OHS training programs must be be in writing and prepared in consultation with established and implemented for all employees and workers and their representatives. Senior levels of the organization. Training must be management must endorse it. The policy shall be conducted by competent persons, take place prior to appropriate for the size and nature of the the start of a new activity, and be refreshed as organization. The organization should, through a needed. Training must be provided free of charge to policy statement, be committed to: i) protect the the employees. health of all employees, ii) comply with relevant national and international OHS requirements, iii) OHSMS DOCUMENTATlON ensure consultation with and active participation of An appropriately sized and scoped OHS manual shall the workers, and iv) continuously sick to improve the be prepared and maintained. The manual shall at a performance of the OHS system. The OHSMS should minimum fulfill relevant national and international be integrated in or compatible with other requirements for the activities of the organization. management systems of the organization (e.g. IS0 The manual should include: OHS Policy, OHS 9001-2000)and appropriately certified. organization and allocation of responsibilities, schedules, procedures, instructions and other internal The employer should when feasible ensure documents used for OHS management and control. establishment and efficient functioning of a "Safety There should be a section identifying key risks and and Health Committee." The workers and their hazards arising from the organization's activities representatives should be given time and resources to together with arrangements for their prevention and participate actively in the processes of the OHSMS. control. The manual shall establish procedures, schedules and methodologies for review of safety and control features, as well as plans and schedules for monitoring ambient working environment quality and individual exposure levels as appropriate. OHS records with details appropriate to the needs of -- the organization shall be established, managed, and 28Afler Guidelines on occupationalsafetyand health management systems, ILO-OHS2001, Geneva 2001 maintained locally. The records shall contain appropriate information regarding national OHS laws IFCENVIRONMENTALGUIDELINESFOROCCUPATIONALHEALTHAND SAFETY June 24,2003 1 PAGE 12 and regulation, the OHSMS itself, as well as organization. The objectives shall be periodically monitoring data regarding elements such as workers evaluated and revised. health and exposure, ambient working environment, work-related injuries, ill health, diseases, incidents, SYSTEM PLANNING, DEVELOPMENT AND training programs and lists of trainees. IFC requires IMPLEMENTATION original data and records to be saved for a minimum The system shall, at minimum, be planned and of 5 years. developed to comply with national laws and regulations, IFC guidelines, and to fully support the COMMUNICATlON elements endorsed by the organizations senior The OHSMS shall include effective arrangements for management. The planning, implementation and receiving and responding to internal and external operation shall be closely related to the objectives communication. The system shall ensure communi- established by the audit. The OHSMS shall ensure cation and exchange of information among relevant availability of sufficient resources for achieving the levels and functions within the organization. The established goals. system shall ensure that concerns, ideas and inputs of workers are considered and addressed. HAZARD PREVENTATION AND CONTROL MESAURES Hazards and risks to workers' safety and health shall be identified and assessed on a recurrent basis. PLANNINGAND IMPLEMENTATION Identified occupational hazards may be analyzed and prioritized using the below qualitative risk analysis OHS AUDIT matrix ' O . A competent person shall cany out an initial OHS audit for new and existing organizations. The audit shall: 1. Identify applicable current national and international laws, regulations, treaties, agreements and OHS standards relevant for the organization and its activities; 2. Identify, anticipate and assess hazards and risks to safety and health arising from the existing or proposed work environment and organization; 3. Determine whether planned or existing controls are adequate to eliminate hazards or control identified risks; and Preventive and protective measures should be 4. Analyze data provided from workers' health introduced immediately when a hazard is recognized surveillance for the present activities or and hlly implemented in the shortest feasible time. equivalent ones elsewhere. Further in the following order of priority: The audit shall be appropriately documented (text, 1. Eliminate the hazardrisk; tables, and photos) and shall subsequently be used for 2. Control the hazardrisk at source through use decision-making on implementation/revision of the of engineering controls and organizational OHSMS. The audit will further establish a quantified measures; baseline for the objectives and achievements of the 3. Minimize the hazardlrisk through design of OHSMS. safe work systems and administrative control measures; and OHS OBJECTIVES 4. Where a residual hazardlrisk cannot be Consistent with the OHS Policy Statement and results adequately controlled, the employer shall of OHS audits, measurable objectives shall be provide for free appropriate personal established for the entire organization and for protective equipment and implement individual departments. The objectives shall be measures to ensure its use and maintenance. realistic, achievable and focused on continued improvements. The objectives should be communicated to all relevant functions of the 30Reference Australian, NewZealand Risk Management StandardASINZS 4360:1999. IFC ENVIRONMENTALGUIDELINESFOR OCCUPATIONALHEALTHAND SAFETY June 24, 2003 1 PAGE 13 The established preventive and protective measures work for the organization shall be recorded according and operational procedures shall be revised regularly to the demands of the OHSMS and reported to the and modified if necessary. Measures shall comply organization. The organization shall regularly with national laws and regulation, reflect good monitor the OHS performance of contractors and practice, and consider the current status of knowledge sub-contractors and ensure that appropriate training of the sector. has been provided and that on-site procedures are followed. MANAGEMENT OF CHANGE The impact of proposed changes both internal (organization, staff, procedures, processes etc.) and EVALUATION external (new regulation, OHS knowledge, technology, organizational mergers, etc.) must be evaluated and PERFORMANCE MONITORING AND MEASUREMENT preventive steps taken prior to their introduction. Procedures to regularly monitor, measure and report Application of new methods, materials, processes, OHS performance and procedures shall be developed, equipment and tools should always be preceded by a implemented and periodically reviewed. The hazard identification and risk assessment involving the OHSMS manual shall specify the monitoring affected workers. Issuance of a "decisionto change" responsibility of different levels of the employer's can ensure that all affected employees are properly management. Qualitative and quantitative informed and trained when needed. performance indicators shall be used according to the size and nature of the organization. The monitoring EMERGENCY PREVENTION, PREPAREDNESS AND shall provide sufficient feed-back on OHS RESPONSE performance. Emergency prevention, preparedness and response arrangements shall be suitable for the needs of the Active monitoring should include elements required organization. The plans shall be prepared in by a proactive OHS management system such as: cooperation with external emergency services and agencies as applicable. The arrangements must 1. monitoring of the achievements of specific ensure adequate internal exchange of information and plans, established performance criteria, and communication, and provide for information and fulfillment of objectives; communication with outside authorities and the 2. systematic inspection of work systems, neighborhood as needed. The system must adequately premises, plant, and equipment (job hazard address first-aid and medical assistance, firefighting analyses); and emergency evacuation of staff. Training and 3. surveillance and monitoring of the working exercises shall be conducted. environment, including the organization of the work and activities involved; PROCUREMENT 4. surveillance of workers' health where Procurement includes a potential for changes. appropriate; and Procedures must be established to ensure that safety 5 . compliance with laws, regulations and other and health requirements of the organization are requirements. implemented in procurement, renting and leasing specifications. The OHS requirements of the Reactive monitoring should include identification, organization shall be identified and compliance with reporting and investigation of these demands ensured prior to procurement of goods I. work related injuries, ill health (including and services. record keeping and monitoring of sickness/absence), diseases, and incidents: CONTRACTING 2. other losses such as damage to property; Procedures shall be established to ensure that the 3. deficient safety and health performance OHS requirements of the organization apply to including OHSMS failures; and contractors, sub-contractors, service providers and 4. workers rehabilitation and health restoration their workers. OHS criteria should be included when programs. evaluating and closing contracts. Contractors should be committed to provide OHS training appropriate INVESTIGATION OF WORK-RELATED INJURIES, ILL for the contracted works to the involved workers and HEALTH, DISEASES, AND INCIDENTS managers. Work-related injuries, ill health, diseases All work related injuries, ill health, diseases, and and incidents among the contractors' and incidents must be investigated by a competent person subcontractors' workers occurring while performing to identify any failures in the OHSMS. The outcome IFC ENVIRONMENTALGUIDELINESFOR OCCUPATIONALHEALTHAND SAFETY June 24,2003 1PAGE 14 of investigations shall be communicated to the Safety and Health Committee where established and to persons responsible for corrective actions. Reports produced by external investigative agencies shall be acted upon in the same manner as internal investigations. AUDIT Arrangements shall be made for periodic audits of the OHSMS to confirm the adequacy of the system. An audit policy should cover independency of auditors, scope and frequency of audits, methodology and reporting. MANAGEMENTREVIEW The employer's management shall regularly review the OHSMS and assess whether it meets planned performance objectives and whether it is adequate for meeting the needs of the organization and its stakeholders. Management must evaluate the need for changes to the overall system or parts thereof, identify actions required to remedy deficiencies, and evaluate the effectiveness of follow-up actions from previous management reviews. ACTIONS FOR IMPROVEMENT The OHSMS shall include a capacity for continuous evaluation and analysis of system performance and follow-up actions to address partial or overall improvements. Planning and implementation of needed improvements should follow the decision process outlined above. ANNEX 3: SCREENING FORM Sub-project name: Subproject Location (e.g.province, district, etc). (includemap/sketch): Type of activity : (e.g.nezu construction, rehabilitation, periodic maintenance) Estimated Cost: Proposed Date of Commencementofwork: Technical (circleanswer): Yes No Reviewed : This report is to be kept short and concise. 1. 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. terrain; steep slopes; medium risks from unstablesoils; high area of influence ENVIRONMENTALRESOURCESMANAGEMENT 67 RCIP ESMF ownershp and land ownership of land; properties; unclear Indigenous No indigenous Dispersedand mixed Indigenous peoples population indigenous populations; territories, reserves highly acculturated and/or lands; indigenous populations vulnerable indigenous populations 2. Checklist questions: Physical data: Y e s P o answers and bullet lists preferred except where descriptive detail is essential. Site area in ha Extension of or changes to existing alignment Any existing property to transfer to sub-project Any plans for new construction Refer to project applicationfor this information. Preliminay Environmental Information: Y e s P o answers and bullet lists preferred except where descriptive detail is essential. State the source of information available at this stage (proponents report, EIA or other environmental study). Has there been litigation or complaints of any environmental nature directed against the proponent or sub-project Refer to application and/or relevant environmental authorityfor this information. - - Identify type of activities and likely environmental impacts: YesjNo answers and bullet lists preferred except where descriptive detail is essential. What are the likely environmental impacts, opportunities, risks and liabilities associated with the sub-project? Refer to ESMF Chapter 3 - Impact, Mitigation and Monitoring Guidelines ENVIRONMENTAL~ U R C EMANAGEMENT R S 68 RCIP ESMF Determine environmental screening category: Y e s f l o answers and bullet lists preferred except where descriptive detail is essential. After compiling the above, determine which category the subproject falls under based on the environmental categories A, B and C. Refer to ESMF Chapter 4 - Screening and Review Process Mitigation of Potential Pollution: Y e s f l o answers and bullet lists preferred except where descriptive detail is essential. Does the sub-project have the potential to pollute the environment, or contravene any environmental laws and regulations? Will the subproject require pesticide use? If so, then the proposal must detail the methodology and equipment incorporated in the design to constrain pollution within the laws and regulations and to address pesticide use, storage and handling. Does the design adequately detail mitigating measures? Refer to ESMF Chapter 3 - Impact, Mitigation and Monitoring Guidelines Environmental Assessment Report or environmental studies Yesflo answers and required: bullet lists preferred except where descriptive detail is essential. If Screening identifies environmental issues that require an EIA or a study, does the proposal include the EIA or study? Indicate the scope and time frame of any outstanding environmental study. Required Environmental Monitoring Plan: If the screening identifies environmental issues that require long term or intermittent monitoring (effluent,gaseous discharges, water quality, soil quality, air quality, noise etc), does the proposal detail adequate monitoring requirements? Refer to ESMF Chapter 3 -Impact, Mitigation and Monitoring Guidelines Public participation/informa tion requirements: Yesflo answers and bullet lists preferred except where descriptive detail is essential. Does the proposal require, under national or local laws, the public to be informed, consulted or involved? Has consultation been completed? Indicate the time frame of any outstanding consultation process. ENVIRONMENTALRESOURCU~ MANAGEMENT 69 RCIP ESMF Refer to Chapter 2 - Relevant legislative acts i n the RCIP c o u n t y Land and resettlement: Yes/No answers and bullet lists preferred except where descriptive detail is essential. What is the likelihood of land purchase for the sub-project? How will the proponent go about land purchase? What level or type of compensation is planned? Who will monitor actual payments? Refer to the Resettlement Policy Framework. Actions: List outstanding actions to be cleared before sub-project appraisal. Approval/rejection Yes/No answers and bullet lists preferred except where descriptive detail is essential. If proposal is rejected for environmental reasons, should the sub- project be reconsidered, and what additional data would be required for re-consideration? Recommendations: 0Requires an EIA and/or RAP, to be submitted on date:. Requires EMP, to be submitted on date:. 0Does not require further environmental studies Reviewer Name: Signature: Date: ENVIRONMENTALRESOURCESMANAGEMENT 70 RUE' ESMF ANNEX 4: WORLDBANK SAFEGUARD POLICY OP 4.01 ENVIRONMENTAL RESOURCESMANACEMENT 71 RCIP ESMF 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01 January 1999 Policies Page 1 of 6 Environmental Assessment 1. The ~ a n k ' requires environmental enhancing positive impacts; and includes the assessment (EA) of projects proposed for Bank process of mitigating and managing adverse financing to help ensure that they are environmental impacts throughout project environmentally sound and sustainable, and thus implementation. The Bank favors preventive to improve decision malung. measures over mitigatory or compensatory measures, whenever feasible. 2. EA is a process whose breadth, depth, and type of analysis depend on the nature, scale, and 3. EA takes into account the natural potential environmental impact of the proposed environment (air, water, and land); human health project. EA evaluates a project's potential and safety; social aspects (involuntary environmental risks and impacts in its area of resettlement, indigenous peoples, and cultural infl~ence;~examines project alternatives; property);3 and transboundary and global identifies ways of improving project selection, environmental aspeck4 EA considers natural siting, planning, design, and implementation by and social aspects in an integrated way. It also preventing, minimizing, mitigating, or compen- takes into account the variations in project and sating for adverse environmental impacts and country conditions; the findings of country 1. "Bank" includes IDA: "EA" refers to the entire orocess set out in OPIBP 4.01: "loans" includes credits: "borrower" includes, for guarantee operations, a private or public project sponsor receiving from another financial institution a loan guaranteed by the Bank; and "project" covers all operations financed by Bank loans or guarantees except structural adjustment loans (for which the environmental provisions are set out in OPIBP 8.60, Adjustment Lending, forthcoming) and debt and debt service operations, and also includes projects under adaptable lendineadaptable program loans (APLs) and learning and innovation loans (LILstand projects and components funded under the Global Environment Facility. The project is described in Schedule 2 to the Loadcredit Agreement. This policy applies to all components of the project, regardless of the source of financing. 2. For definitions, see Annex A. The area of influence for any project is determined with the advice of environmental specialists and set out in the EA terms of reference. 3. See OPIBPIGP 4.12, Involuntary Resettlement (forthcoming); OD4.20, Indigenous Peoples; and OP 4.11; Safeguarding Cultural Property in Bank-Financed Projects (forthcoming). 4. Global environmental issues include climate change, ozone-depleting substances, pollution of international waters, and adverse impacts on biodiversity. Note: OP, BP, and GP 4.01 together replace OMS 2.36, Environmental Aspects of Bank Work;OD 4.00, Annex A, Environmental Assessment; OD 4.00, Annex B, Environmental Policyfor Dam and Reservoir Projects; OD 4.01, Environmental Assessment; and the following Operational Memoranda: Environmental Assessments: Instructions to Staff on the Handling of the Borrower's Consultations with Affected Groups and Relevant Local NGOs, 4110190; Environmental Assessments: Instructions to Staff on the Release of Environmental Assessments to Executive Directors, 11/21/90; and Release oj Environmental Assessments to Executive Directors, 2120191. Additional information related to these statements is provided in the Environmental Assessment Sourcebook (Washington, D.C.: World Bank, 1991) and subsequent updates available from the Environment Sector Board, and in the Pollution Preventiotr and Abatement Handbook. Other Bank statements that relate to the environment include OPIBPIGP 4.02, Environmental Action Plans; GP 4.03, Agricultural Pest Management; OPIBPIGP 4.04, Natural Habitats; OP 4.07, Water Resources Management; OP4.09, Pest Management; OP 4.11, Safeguarding Cultural Property in Bank-Financed Projects (forthcoming); OPIBP 4.12, Involuntary Resettlement (forthcoming); OPIGP 4.36, Forestry; OPIBP 10.04, Economic Evaluation of Investment Operations; and OD4.20, Indigenous Peoples. This OP and BP apply to all projects for which a PID is first issued after March 1, 1999. Questions may be addressed to the Chair, EnvironmentSector Board. Thesepolicies were prepared for use by World Bank staff and are not necessarib a complete treatment of the subject. Additional copies are available to thepublic through the Infoshop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01 January 1999 Policies Page 2 of 6 environmental studies; national environmental EA to ensure its consistency with this policy. action plans; the country's overall policy The Bank may, if appropriate, require additional framework, national legislation, and institutional EA work, including public consultation and capabilities related to the environment and social disclosure. aspects; and obligations of the country, pertaining to project activities, under relevant 6. The Pollution Prevention and Abatement international environmental treaties and Handbook describes pollution prevention and agreements. The Bank does not finance project abatement measures and emission levels that are activities that would contravene such country normally acceptable to the Bank. However, obligations, as identified during the EA. EA is talung into account borrower country legislation initiated as early as possible in project and local conditions, the EA may recommend processing and is integrated closely with the alternative emission levels and approaches to economic, financial, institutional, social, and pollution prevention and abatement for the proj- technical analyses of a proposed project. ect. The EA report must provide full and detailed justification for the levels and a p 4. The borrower is responsible for carrying proaches chosen for the particular project or site. out the EA. For Category A projects: the bor- rower retains independent EA experts not affil- EA Instruments iated with the project to carry out the E A . ~For Category A projects that are highly risky or 7. Depending on the project, a range of contentious or that involve serious and multk instrumentscan be used to satisfythe Bank's EA dimensional environmental concerns, the requirement: environmental impact assessment borrower should normally also engage an (EIA), regonal or sectoral EA, environmental advisory panel of independent, internationally audit, hazard or risk assessment, and recognized environmental specialists to advise environmental management plan (EMP).~EA on all aspects of the project relevant to the EA.' applies one or more of these instruments, or The role of the advisory panel depends on the elements of them, as appropriate. When the degree to which project preparation has project is likely to have sectoral or regional progressed, and on the extent and quality of any impacts, sectoral or regional EA is required.9 EA work completed, at the time the Bank begins to consider the project. EnvironmentalScreening 5. The Bank advises the borrower on the 8. The Bank undertakes environmental Bank's EA requirements. The Bank reviews the screening of each proposed project to determine findings and recommendations of the EA to the appropriate extent and type of EA. The determine whether they provide an adequate Bank classifies the proposed project into one of basis for processing the project for Bank four categories, depending on the type, location, financing. When the borrower has completed or sensitivity, and scale of the project and the partially completed EA work prior to the Bank's nature and magnitude of its potential involvement in a project, the Bank reviews the environmental impacts. 5. For screening, see para. 8. 6. EA is closely integrated with the project's economic, financial, institutional, social, and technical analyses to ensure that (a) environmental considerations are given adequate weight in project selection, siting, and design decisions; and (b) EA does not delay project processing. However, the borrower ensures that when individuals or entities are engaged to carry out EA activities, any conflict of interest is avoided. For example, when an independent EA is required, it is not carried out by the consultants hired to prepare the engineering design. 7. The panel (which is different from the dam safety panel required under OPIBP 4.37, Safety of Dams) advises the borrower specifically on the following aspects: (a) the terms of reference for the EA, (b) key issues and methods for preparing the EA, (c) recommendations and findings of the EA, (d) implementation of the EA's recommendations, and (e) development of environmental management capacity. 8. These terms are defined in Annex A. Annexes B and C discuss the content of EA reports and EMPs. 9. Guidance on the use of sectoral and regional EA is available in EA Sourcebook Updates 4 and 15. Thesepolicies were prepared for use by World Bank staf and are not necessarily a complete treatment of the subject. Additional copies are available to the public through the InfoShop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01 January 1999 Policies Page 3 of 6 (a) Category A: A proposed project is Category B project may vary from classified as Category A if it is likely to project to project, but it is narrower than have significant adverse environmental that of Category A EA. Like Category impacts that are ~nsitive,'~diverse, or A EA, it examines the project's potential unprecedented. These impacts may negative and positive environmental affect an area broader than the sites or impacts and recommends any measures facilities subject to physical works. EA needed to prevent, minimize, mitigate, for a Category A project examines the or compensate for adverse impacts and project's potential negative and positive improve environmental performance. environmental impacts, compares them The findings and results of Category B with those of feasible alternatives EA are described in the project (including the "without project" documentation (Project Appraisal situation), and recommends any Document and Project Information measures needed to prevent, minimize, Document). mitigate, or compensate for adverse impacts and improve environmental (c) Category C A proposed project is performance. For a Category A project, classified as Category C if it is likely to the borrower is responsible for have minimal or no adverse environ- preparing a report, normally an EIA (or mental impacts. a suitably comprehensive regional or sectoral EA) that includes, as necessary, Beyond screening, no further EA action elements of the other instruments is required for a Category C project. referred to in para. 7. (d) Category FL A proposed project is (b) Category B: A proposed project is classified as Category FI if it involves classified as Category B if its potential investment of Bank funds through a adverse environmental impacts on financial intermediary, in subprojects human populations or environmentally that may result in adverse environ- important areasincluding wetlands, mental impacts. forests, grasslands, and other natural habitats-are less adverse than those of EA for Special Project Types Category A projects. These impacts are site-specific; few if any of them are Sector Investment Lending irreversible; and in most cases mitigatory measures can be designed 9. For sector investment loans (sILs),I2 more readily than for Category A during the preparation of each proposed projects. The scope of EA for a subproject, the project coordinating entity or 10. A potential impact is considered "sensitive" if it may be irreversible (e.g., lead to loss of a major natural habitat) or raise issues covered by OD 4.20, Indigenous Peoples; OP 4.04, Natural Habitats; OP 4.1 1, Safeguarding Cultural Proper@in Bank-Financed Projects (forthcoming); or OP 4.12, Involuntary Resettlement (forthcoming). 11. When the screening process determines, or national legislation requires, that any of the environmental issues identified warrant special attention, the findings and results of Category B EA may be set out in a separate report. Depending on the type of project and the nature and magnitude of the impacts, this report may include, for example, a limited environmental impact assessment, an environmental mitigation or management plan, an environmental audit, or a hazard assessment. For Category B projects that are not in environmentally sensitive areas and that present well- defined and well-understood issues of narrow scope, the Bank may accept alternative approaches for meeting EA requirements: for example, environmentally sound design criteria, siting criteria, or pollution standards for small-scale industrial plants or rural works; environmentally sound siting criteria, construction standards, or inspection procedures for housing projects; or environmentally sound operating procedures for road rehabilitation projects. 12. SILs normally involve the preparation and implementation of annual investment plans or subprojects as time slice activities over the course of the project. Thesepolicies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Additional copies are available to thepublic through the Infoshop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP4.01 January 1999 Policies Page 4 of 6 implementing institution carries out appropriate subproject. Before approving a subproject, the EA according to country requirements and the FI verifies (through its own staff, outside requirements of this policy.l3 The Bank a p experts, or existing environmental institutions) praises and, if necessary, includes in the SIL that the subproject meets the environmental components to strengthen, the capabilities of the requirements cf appropriate national and local coordinating entity or the implementing insti- authorities and is consistent with this OP and tution to (a) screen subprojects, (b) obtain the other applicable environmental policies of the necessary expertise to cany out EA, (c) review ~ a n k .' all findings and results of EA for individual subprojects, (d) ensure implementation of 12. In appraising a proposed FI operation, the mitigation measures (including, where appli- Bank reviews the adequacy of country environ- cable, an EMP), and (e)monitor environmental mental requirements relevant to the project and conditions during project implementation.l 4 If the proposed EA arrangements for subprojects, the Bank is not satisfied that adequate capacity including the mechanisms and responsibilities exists for carrying out EA, all Category A sub- for environmental screening and review of EA projects and, as appropriate, Category B results. When necessary, the Bank ensures that subprojects-including any EA reports-are the project includes components to strengthen subject to prior review and approval by the such EA arrangements. For FI operations Bank. expected to have Category A subprojects, prior to the Bank's appraisal each identified Sector Adjustment Lending participating FI provides to the Bank a written assessment of the institutional mechanisms 10. Sector adjustment loans (SECALs) are (including, as necessary, identification of subject to the requirements of this policy. EA measures to strengthen capacity) for its for a SECAL assesses the potential subproject EA work.'" If the Bank is not environmental impacts of planned policy, satisfied that adequate capacity exists for institutional, and regulatory actions under the carrying out EA, all Category A subprojects and, loan. 15 as appropriate, Category B subprojects- including EA reports-are subject to prior Financial Intermediary Lending review and approval by the Bank.Is 11. For a financial intermediary (FI) Emergency Recovery Projects operation, the Bank requires that each FI screen proposed subprojects and ensure that sub- 13. The policy set out in OP 4.01 nor- borrowers cany out appropriate EA for each mally applies b emergency recovery projects 13. In addition, if there are sectorwide issues that cannot be addressed through individual subproject EAs (and particularly if the SIL is likely to include Category A subprojects), the borrower may be required to cany out sectoral EA before the Bank appraises the SIL. 14. Where, pursuant to regulatory requirements or contractual arrangements acceptable to the Bank, any of these review functions are carried out by an entity other than the coordinating entity or implementing institution, the Bank appraises such alternative arrangements; however, the borrower/coordinating entitylimplementing institution remains ultimately responsible for ensuring that subprojects meet Bank requirements. 15. Actions that would require such assessment include, for example, privatization of environmentally sensitive enterprises, changes in land tenure in areas with important natural habitats, and relative price shifts in commodities such as pesticides, timber, and petroleum. 16. The requirements for FI operations are derived from the EA process and are consistent with the provisions of para. 6 of this OP. The EA process takes into account the type of finance being considered, the nature and scale of anticipated subprojects, and the environmental requirements of thejurisdiction in which subprojects will be located. 17. Any FI included in the project after appraisal complies with the same requirement as a condition of its participation. 18. The criteria for prior review of Category B subprojects, which are based on such factors as type or size of the subproject and the EA capacity of the financial intermediary, are set out in the legal agreements for the project. Thesepolicies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Additional copies are available to thepublic through the Infoshop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01 January 1999 Policies Page 5 of 6 processed under OP 8.50, Emergency Recovery implementation as necessary to address EA- Assistance. However, when compliance with related issues that affect them. 20 any requirement of this policy would prevent the effective and timely achievement of the Disclosure objectives of an emergency recovery project, the Bank may exempt the project from such a 16. For meaningful consultations between the requirement. The justification for any such borrower and project-affected groups and local exemption is recorded in the loan documents. In NGOs on all Category A and B projects all cases, however, the Bank requires at a proposed for IBRD or IDA financing, the minimum that (a) the extent to which the borrower provides relevant material in a timely emergency was precipitated or exacerbated by manner prior to consultation and in a form and inappropriate environmental practices be deter- language that are understandable and accessible mined as part of the preparation of such projects, to the groups being consulted. and (b) any necessary corrective measures be built into either the emergency project or a 17. For a Category A project, the borrower future lending operation. provides for the initial consultation a summary of the proposed project's objectives, description, Institutional Capacity and potential impacts; for consultation after the draft EA report is prepared, the borrower 14. When the borrower has inadequate legal provides a summary of the EA's conclusions. In or technical capacity to cany out key EA- addition, for a Category A project, the borrower related functions (such as review of EA, makes the draft EA report available at a public environmental monitoring, inspections, or place accessible to project-affected groups and management of mitigatory measures) for a local NGOs. For SILs and FI operations, the proposed project, the project includes borrowerRI ensures that EA reports for components to strengthen that capacity. Category A subprojects are made available in a public place accessible to affected groups and Public Consultation local NGOs. 15. For all Category A and B projects 18. Any separate Category B report for a proposed for IBRD or IDA financing, during the project proposed for IDA financing is made EA process, the borrower consults project- available to project-affected groups and local affected groups and local nongovernmental NGOs. Public availability in the borrowing organizations (NGOs) about the project's country and official receipt by the Bank of environmental aspects and takes their views into Category A reports for projects proposed for acc~unt.'~The borrower initiates such IBRD or IDA financing, and of any Category B consultations as early as possible. For Category EA report for projects proposed for IDA A projects, the borrower consults these groups at funding, are prerequisites to Bank appraisal of least twice: (a) shortly after environmental these projects. screening and before the terms of reference for the EA are finalized; and (b) once a draft EA 19. Once the borrower officially transmits the report is prepared. In addition, the borrower Category A EA report to the Bank, the Bank consults with such groups throughout project distributes the summary (in English) to the 19. For the Bank's approach to NGOs, see GP 14.70, Involving Nongovernmental Organizations in Bank-Supported Activities. 20. For projects with major social components, consultations are also required by other Bank policies-for example, OD 4.20, Indigenous Peoples, and OPIBP 4.12, Involuntary Resettlement (forthcoming). These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Additional copies are available to thepublic through the Inwhop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01 January 1999 Policies Page 6 of 6 executive directors (EDs) and makes the report agreed with the Bank on the basis of the findings available through its InfoShop. Once the and results of the EA, including implementation borrower officially transmits any separate of any EMP, as set out in the project documents; Category B EA report to the Bank, the Bank (b) the status of mitigatory measures; and (c) the makes it available through its ~ n f o s h o ~If ' . ~the findings of monitoring programs. The Bank borrower objects to the Bank's releasing an EA bases supervision of the project's environmental report through the World Bank InfoShop, Bank aspects on the findings and recommendationsof staff (a)do not continue processing an IDA the EA, including measures set out in the legal project, or (b) for an IBRD project, submit the agreements, any EMF, and other project issue of further processing to the EDs. documents.22 Implementation 20. During project implementation, the bor- rower reports on (a) compliance with measures 21. For a further discussion of the Bank's disclosure procedures, see The World Bank Policy on Disclosure of Informatior; (March 1994) and BP 17.50, Disclosure of Operational Information. Specific requirements for disclosure of resettlement plans and indigenous peoples development plans are set out in OPBP 4.12, Involuntary Resettlement (forthcoming), and OPIBP 4.10, forthcoming revision of OD 4.20, Indigenous Peoples. 22. See OPIBP 13.05,Project Supervision, forthcoming. Thesepolicies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Additional copies are available to thepublic through the InfoShop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.04-Annex A June 2001 Policies Page 1 of 1 Definitions 1. The following definitions apply in OP and traditional local communities (e.g., BP 4.04: sacred groves), and sites that maintain conditions vital for the (a) Natural habitats' are land and water viability of these protected areas areas where (i) the ecosystems' bio- (as determined by the environ- logcal communitiesare formed largely mental assessment process3);or by native plant and animal species,and (ii) human activity has not essentially (ii) sites identified on supplementary modified the area's primary ecologcal lists prepared by the Bank or an functions. authoritative source determined by the Regional environment sector All natural habitats have important unit (RESU). Such sites may biological, social, economic, and ecis- include areas recognized by tence value. Important natural habitats traditional local communities (e.g., may occur in tropical humid, dry, and sacred groves); areas with known cloud forests; temperate and boreal high suitability for bio-diversity forests; mediterranean-type shrub conservation; and sites that are lands; natural arid and semi-arid lands; critical for rare, vulnerable, rnigra- mangrove swamps, coastal marshes, tory, or endangered species.4 and other wetlands; estuaries; sea grass Listings are based on systematic beds; coral reefs; freshwater lakes and evaluations of such factors as rivers; alpine and sub alpine species richness; the degree of environments, including herb fields, endernism, rarity, and vulnerability grasslands, and paramos; and tropical of component species; represen- and temperate grasslands. tativeness; and integnty of ecosystem processes. (b) Critical natural habitats are: (c) SigniJicant conversion is the elim- (i) existing protected areas and areas ination or severe diminution of the officially proposed by govem- integnty of a critical or other natural ments as protected areas (e.g., habitat caused by a major, long-term reserves that meet the criteria of change in land or water use. the World Conservation Union Significantconversion may include, for [IUCN] classifications2), areas example, land clearing; replacement of initially recognized as protected by natural vegetation (e.g., by crops or I. Biodiversity outside of natural habitats (such as within agricultural landscapes) is not covered under this policy. It is good practice to take such biodiversity into consideration in project design and implementation. 2. IUCN categories are as follows: &Strict Nature ReserveNilderness Area: protected area managed for science or wilderness protection; II-National Park: protected area managed mainly for ecosystem protection and recreation; 111-Natural Monument: protected area managed mainly for conservation of specific natural features; IV- HabitatISpecies Management Area: protected area managed mainly for conservation through management intervention; V-Protected LandscapeISeascape: protected area managed mainly for landscape/seascape conservation and recreation; and VI-Managed Resource Protected Area: protected area managed mainly for the sustainable use of natural ecosystems. 3. See OPIBP 4.01, Environmental Assessment. 4. Rare, vulnerable, endangered, or similarly threatened, as indicated in the IUCN Red List ofThreatened Animals, BirdLife World List of Threatened Birds, IUCN Red List of Threatened Plants, or other credible international or national lists accepted by the RESUs. Thesepolicies wereprepared for use by WorldBank staffand are not necessarily a complete treatment of the subject. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.04-Annex A June 2001 Policies Page 2 of 2 tree plantations); permanent flooding within socially defined limits of (e.g., by a reservoir); drainage, acceptable environmental change. dredgng, filling, or channelization of Specific measures depend on the wetlands; or surface mining. In both ecological characteristics of the given terrestrial and aquatic ecosystems, site. They may include full site conversion of natural habitats can protection through project redesign; occur as the result of severe pollution. strategic habitat retention; restricted Conversion can result directly from the conversion or modification; reintro- action of a project or through an duction of species; mitigation indirect mechanism (e.g., through measures to minimize the ecological induced settlement along a road). damage; post development restoration works; restoration of degraded (d) Degradation is modification of a habitats; and establishment and critical or other natural habitat that maintenance of an ecologically similar substantiany reduces the habitat's protected area of suitable size and ability to maintain viable populations contiguity. Such measures should of its native species. always include provision for monitoring and evaluation to provide (e) Appropriate conservation and mitiga- feedback on conservation outcomes tion measures remove or reduce and to provide guidance for adverse impacts on natural habitats or developing or refining appropriate their functions, keeping such impacts corrective actions. Thesepolicies were prepared for use by WorldBank staff and are not necessarily a complete treatment of the subject. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01-Annex B January 1999 Policies Page 1 of 1 Content of an Environmental Assessment Report for a Category A Project 1. An environmental assessment (EA) report indigenous peoples development for a Category A project' focuses on the sign if^ plad (see also subpara. (h)(v) cant environmental issues of a project. The below). Normally includes a map report's scope and level of detail should be com- showing the project site and the mensurate with the project's potential impacts. project's area of influence. The report submitted to the Bank is prepared in English, French, or Spanish, and the executive (d) Baseline data. Assesses the dimen- summary in English. sions of the study area and describes relevant physical, biologcal, and 2. The EA report should include the follow- socioeconomic conditions, including ing items (not necessarily in the order shown): any changes anticipated before the project commences. Also takes into (a) Executive summary. Concisely account current and proposed discusses significant findings and development activities within the recommended actions. project area but not directly connected to the project. Data should (b) Policy, legal, and administrative be relevant to decisions about project framework. Discusses the policy, location, design, operation, or miti- legal, and administrative framework gatory measures. The section within which the EA is carried out. indicates the accuracy, reliability, Explains the environmental require- and sources of the data. ments of any cdnanciers. ldentifies relevant international environmental (e) Environmental impacts. Predicts and agreements to which the country is a assesses the project's likely positive party. and negative impacts, in quantitative terms to the extent possible. (c) Project description. Concisely de- Identifies mitigation measures and scribes the proposed project and its any residual negative impacts that geographic, ecological, social, and cannot be mitigated. Explores temporal context, including any off- opportunities for environmental site investments that may be required enhancement. Identifies and esti- (e.g., dedicated pipelines, access mates the extent and quality of roads, power plants, water supply, available data, key data gaps, and housing, and raw material and uncertainties associated with pre- product storage facilities). Indicates dictions, and specifies topics that do the need for any resettlement plan or not require further attention. 1. The EA report for a Category A project is normally an environmental impact assessment, with elements of other instruments included as appropriate. Any report for a Category A operation uses the components described in this annex, but Category A sectoral and regional EA require a different perspective and emphasis among the components. The Environment Sector Board can provide detailed guidance on the focus and components of the various EA instruments. 2. See OPIBP 4.12, Involuntary Resettlement (forthcoming), and OD 4.20, Indigenous Peoples. Thesepolicies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Additional copies are available to thepublic throughthe InfoShop. II 111Operational THE WORLD BANK OPERATIONAL MANUAL OP4.01-Annex B January 1999 Policies Page 2 of 2 (f) Analysis of alternative^.^ Systemati- (ii) References-written materials cally compares feasible alternatives both published and unpublished, to the proposed project site, tech- used in study preparation. nology, design, and operation- including the "without project" (iii) Record of interagency and con- situation-in terms of their potential sultation meetings, including environmental impacts; the feasibility consultations for obtaining the of mitigating these impacts; their informed views of the affected capital and recurrent costs; their suit- people and local nongovern- ability under local conditions; and mental organizations (NGOs). their institutional, training, and monk The record specifies any means toring requirements. For each of the other than consultations (e.g., alternatives, quantifies the environ- surveys) that were used to mental impacts to the extent possible, obtain the views of affected and attaches economic values where groups and local NGOs. feasible. States the basis for selec- ting the particular project design (iv) Tables presenting the relevant proposed and justifies recommended data referred to or summarized emission levels and approaches to in the main text. pollution prevention and abatement. (v) List of associated reports (e.g., (g) Environmental management plan resettlement plan or indigenous (EMP). Covers mitigation measures, peoples developmentplan). monitoring, and institutional streng- thening; see outline in OP 4.01, Annex C. (h) Appendixes (i) List of EA report preparers- individuals and organizations. 3. Environmental implications of broad development options for a sector (e.g., alternative ways of meeting projected electric power demand) are best analyzed in least-costplanning or sectoral EA. Environmental implications of broad development options for a region (e.g., alternative strategies for improving standards of living an a rural area) are best addressed through a regional development plan or a regional EA. EIA is normally best suited to the analysis of altematives within a given project concept (e.g., a geothermal power plant, or a project aimed at meeting local energy demand), including detailed site, technology, design, and operational altematives. Thesepolicies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Additional copies are available to thepublic through the InfoShop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01-Annex C January 1999 Policies Page 1 of 1 Environmental Management Plan 1. A project's environmental management the type of impact to which it relates plan (EMP) consists of the set of mitigation, and the conditions under which it is monitoring, and institutional measures to be required (e.g., continuously or in the taken during implementation and operation to event of contingencies),together with eliminate adverse environmental and social designs, equipment descriptions, md impacts, offset them, or reduce them to operating procedures, as appropriate; acceptable levels. The plan also includes the actions needed to implement these measures.' (c) estimates any potential environ- Management plans are essential elements of EA mental impacts of these measures; reports for Category A projects; for many and Category B projects, the EA may result in a management plan only. To prepare a (d) provides linkage with any other miti- management plan, the borrower and its EA gation plans (e.g., for involuntary design team (a) identify the set of responses to resettlement, indigenous peoples, or potentially adverse impacts; (b) determine cultural property) required for the requirements for ensuring that those responses project. are made effectivelyand in a timely manner; and (c) describe the means for meeting those Monitoring requirements.' More specifically, the EM? includes the following components. 3. Environmental monitoring during project Mitigation implementation provides information about key environmental aspects of the project, parti- 2. The EMP identifies feasible and cost- cularly the environmental impacts of the project effective measures that may reduce potentially and the effectiveness of mitigation measures. significant adverse environmental impacts to Such information enables the borrower and the acceptable levels. The plan includes com- Bank to evaluate the success of mitigation as pensatory measures if mitigation measures are part of project supervision,and allows corrective not feasible, cost-effective, or sufficient. action to be taken when needed. Therefore, the Specifically,the EMP EMP identifies monitoring objectives and specifiesthe type of monitoring, with linkages to (a) identifies and summarizes all anti- the impacts assessed in the EA report and the cipated significant adverse environ- mitigation measures described in the EMP. mental impacts (including those Specifically,the monitoring section of the EMP involving indigenous people or provides involuntary resettlement); (a) a specific description, and technical (b) describes-with technical details- details, of monitoring measures, each mitigation measure, including including the parameters to be 1. The management plan is sometimes known as an "action plan." The EMP may be presented as two or three separate plans covering mitigation, monitoring, and institutional aspects, depending on borrowing country requirements. 2. For projects involving rehabilitation, upgrading, expansion, or privatization of existing facilities, remediation of existing environmental problems may be more important than mitigation and monitoring of expected impacts. For such projects, the management plan focuses on cost-effective measures to remediate and manage these problems. Thesepolicies were prepared for use by World Bank stafand are not necessarily a complete treatment of the subject. Additional copies are available to thepublic through the InfoShop. 111Operational THE WORLD BANK OPERATIONAL MANUAL OP 4.01-Annex C January 1999 Policies Page 2 of 2 measured, methods to be used, EMPs cover one or more of the following addi- sampling locations, frequency of tional topics: (a) technical assistance programs, measurements, detection limits (b) procurement of equipment and supplies, and (where appropriate), and definition of (c) organizationalchanges. thresholds that will signal the need for corrective actions; and Implementation Schedule and Cost Estimates (b) monitoring and reporting procedures 5. For all three aspects (mitigation, to (i) ensure early detection of monitoring, and capacity development), the conditions that necessitate particular EMP provides (a) an implementation schedule mitigation measures, and (ii) furnish for measures that must be carried out as part of information on the progress and the project, showing phasing and coordination results of mitigation. with overall project implementation plans; and (b) the capital and recurrent cost estimates and Capacity Development and Training sources of hnds for implementing the EMP. These figures are also integrated into the total 4. To support timely and effective imple- project cost tables. mentation of environmental project components and mitigation measures, the EMP draws on the Integration of EMP with Project EA's assessment of the existence, role, and capability of environmental units on site or at 6. The borrower's decision to proceed with a the agency and ministry level.3 If necessary, project, and the Bank's decision to support it, the EMP recommends the establishment or are predicated in part on the expectation that the expansion of such units, and the training of staff, EMP will be executed effectively. Consequently, to allow implementation of EA recommen- the Bank expects the plan to be specific in its dations. Specifically, the EMP provides a spe- description of the individual mitigation and cific description of institutional arrangements- monitoring measures and its assignment of who is responsible for carrying out the mitiga- institutional responsibilities, and it must be tory and monitoring measures (e.g., for integrated into the project's overall planning, operation, supervision, enforcement, monitoring design, budget, and implementation. Such of implementation, remedial action, financing, integration is achieved by establishing the EMP reporting, and staff training). To strengthen within the project so that the plan will receive environmental management capability in the funding and supervision along with the other agencies responsible for implementation, most components. 3. For projects having significant environmental implications, it is particularly important that there be in the implementing ministry or agency an in-house environmental unit with adequate budget and professional staffing strong in expertise relevant to the project (for projects involving dams and reservoirs, see BP 4.01, Annex B). These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Additional copies are available to thepublic through the InfoShop. 14 ANNEX 5: TERMS OFREFERENCEFOR ESIA An environmental and socialimpact assessment (ESIA)report for a telecommunicationsproject should focus on the significantenvironmental,social, health and safetyissues of the proposed project,whether it is/or includesnew construction,rehabilitationor expansion.The report's scope and level of detail should be commensurate with the project's potential impacts. The ESIA report should include the following items (notnecessarily in the order shown): (a)Executive summay.Conciselydiscussessignificantfindings and recommended actions. (b)Policy, legal, and administrativeframework. Discusses the policy, legal, and administrative framework within which the ESIA is carried out. Explains the EHS requirements of any co-financiers.Identifies relevant international environmental agreements to which the country is a party. (c)Project description.Conciselydescribes the proposed project and its geographic, ecological, social, and temporal context, including any offsiteinvestments that may be required (e.g.,dedicated pipelines,access roads, power plants, water supply, housing, and raw material and product storage facilities).Indicates the need for any resettlement plan. Normally includes a map showing the project site and the project's area of influence. (d)Baseline data. Assesses the dimensions of the study area and describesrelevant physical, biological, and socioeconomicconditions,including any changes anticipated before the project commences.Also takes into account current and proposed development activities within the project area but not directlyconnected to the project.Data should be relevant to decisions about project location, design, operation, or mitigatory measures. The section indicates the accuracy,reliability, and sources of the data. (e)Environmental and social impacts.Predictsand assesses the project's likely positive and negative impacts,in quantitative terms to the extent possible. Identifiesmitigation measures and any residual negative impacts that cannot be mitigated. Explores opportunities for environmental enhancement.Identdies and estimates the extent and quality of availabledata, key data gaps, and uncertainties associatedwith predictions, and specifiestopics that do not require further attention. (f) Analysis of alternatives.Systematicallycompares feasible alternatives to the proposed project site, technology, design, and operation- including the "without project" situation- in terms of their potential environmental impacts;the feasibility of mitigating these impacts; their capital and recurrent costs; their ENVIRONMENTAL RESOURCESMANAGEMENT 72 RCIP ESMF 1 suitability under local conditions;and their institutional, training, and monitoring requirements. For each of the alternatives,quantifies the environmental impacts to the extent possible, and attaches economicvalues where feasible.Statesthe basis for selectingthe particular project design proposed and justifies recommended emission levels and approaches to pollution prevention and abatement. (g)Environmental managementplan (EMP).Covers mitigation measures, monitoring, budget requirements and funding sourcesfor implementation, as well as institutional strengthening and capacity buildings requirements. (h)Appendixes (i) List of EA report preparers -individualsand organizations. (ii) References-written materialsboth published and unpublished, used in study preparation. (iii) Record of interagencyand consultation meetings, including consultations for obtaining the informedviews of the affected people and localnongovernmental organizations (NGOs).The record specifies any means other than consultations (e.g.,surveys) that were used to obtain the views of affected groups and local NGOs. (iv) Tablespresenting the relevant data referred to or summarized in the main text. (v) List of associated reports (e.g.,socio-economicbaseline survey, resettlement plan) ENVIRONMENTAL RESOURCESMANAGEMENT 73 RCIP ESMF ANNEX 6: EXAMPLE OF ENVIRONMENTAL CONTRACT CLAUSES Proper environmental management of constructionprojects can be achieved only with adequate site selection and project design. As such, the EA for projects involving any new construction,or any rehabilitationor reconstructionfor existing projects, should provide information as to screeningcriteriafor site selection and design including the following: Site selection Sites should be chosen based on community needs for additional projects, with specificlots chosenbased on geographicand topographic characteristics. The site selection process involves site visits and studies to analyze: (i)the site's urban, suburban, or rural characteristics; (ii)national, state, or municipal regulations affectingthe proposed lot; (iii)accessibility and distance from inhabited areas; (iv) land ownership, including verification of absence of squatters and/or other potential legal problems with land acquisition; (v)determination of site vulnerability to natural hazards, (i.e.intensity and frequency of floods, earthquakes, landslides, hurricanes, volcanic eruptions); (vi)suitability of soils and subsoilsfor construction;(vii)site contaminationby lead or other pollutants; (viii) flora and fauna characteristics; (ix)presence or absence of natural habitats (as defined by OP 4.04)and/or ecologically important habitats on site or in vicinity (e.g. forests, wetlands, coralreefs, rare or endangered species);and (ix)historic and community characteristics. Project design Project design criteria include,but are not limited to, the considerationof aspects such as heating, ventilation, natural and arhficiallight energy efficiency, floor space (ft2)per bed/ward, requirements for x-ray rooms, adequacy of corridors for wheel chair/bed access, adequate water supply and sanitation systems ,historical and cultural considerations,security and handicapped access. Construction activities and environmental rulesfor contractors The followinginformation is intended solely as broad guidance to be used in conjunctionwith localand national regulations. Based on this information, environmental rules for contractorsshould be developed for each project, taking into account the project size, site characteristics, and location (rural vs. urban). After choosingan appropriate site and design, construction activities can proceed. As these construction activities could cause significantimpacts on and nuisances to surrounding areas, careful planning of construction activities is critical. Therefore the following rules (includingspecificprohibitions and constructionmanagement measures) should be incorporated into all relevant bidding documents, contracts, and work orders. Prohibitions ENVIRONMENTAL RESOURCESMANAGEMENT 74 RCIP ESMF The followingactivities are prohibited on or near the project site: o Cutting of trees for any reason outside the approved construction area; o Hunting, fishing, wildlifecapture, or plant collection; o Use of unapproved toxic materials, including lead-based paints, asbestos, etc. o Disturbance to anything with architecturalor historicalvalue; o Building of fires; o Use of firearms (exceptauthorized security guards); o Use of alcohol by workers. ConstructionManagementMeasures Waste Management and Erosion: Solid, sanitation, and, hazardous wastes must be properly controlled,through the implementation of the following measures: Waste Management: o Minimize the production of waste that must be treated or eliminated. o Identify and classify the type of waste generated. If hazardous wastes (includinghealth care wastes) are generated, proper procedures must be taken regarding their storage,collection,transportation and disposal. o Identify and demarcate disposal areas clearly indicating the specific materials that can be deposited in each. o Control placement of all constructionwaste (includingearth cuts) to approved disposal sites (>300m from rivers, streams, lakes, or wetlands).Disposein authorized areas all of garbage, metals, used oils, and excess material generated during construction,incorporating recycling systems and the separation of materials. Maintenance: o Identify and demarcate equipment maintenance areas (>15mfrom rivers, streams, lakes or wetlands). o Ensure that all equipment maintenanceactivities, including oil changes, are conducted within demarcated maintenance areas; never dispose spent oils on the ground, in water courses, drainage canals or in sewer systems. o Identify, demarcate and enforce the use of within-site access routes to limit impact to sitevegetation. o Install and maintain an adequate drainage system to prevent erosion on the site during and after construction. Erosion Control o Erect erosion controlbarriers around perimeter of cuts, disposal pits, and roadways. o Spray water on dirt roads, cuts, fill material and stockpiled soil to reduce wind-induced erosion,as needed. o Maintainvehicle speeds at or below lOmph within work area at all times. Stockpiles and Borrow Pits ENVIRONMENTAL RESOURCESMANAGEMENT 75 RCIP ESMF I1 o Identify and demarcate locations for stockpilesand borrow pits, ensuring that they are 15meters away from critical areas such as steep slopes,erosion-prone soils, and areas that drain directlyinto sensitivewaterbodies. o Limit extractionof material to approved and demarcated borrow pits. Site Cleanup o Establish and enforce daily site clean-up procedures, including maintenanceof adequate disposal facilitiesfor construction debris. Safety during Construction The Contractor's responsibilitiesinclude the protection of every person and nearby property from constructionaccidents. The Contractor shall be responsiblefor complyingwith all national and localsafety requirements and any other measures necessary to avoid accidents, including the following: o Carefullyand clearly mark pedestrian-safeaccess routes. o If schoolchildren are in the vicinity, include traffic safetypersonnel to direct traffic during schoolhours. o Maintain supply of supplies for traffic signs (includingpaint, easel, sign material, etc.),road marking, and guard rails to maintain pedestrian safety during construction. o Conduct safetytraining for constructionworkers prior to beginning work. o Provide personal protective equipment and clothing (goggles,gloves, respirators, dust masks, hard hats, steel-toedand -shanked boots, etc.,)for construction workers and enforce their use. o Post MaterialSafety Data Sheets for each chemicalpresent on the worksite. o Require that all workers read, or are read, all MaterialSafetyData Sheets. Clearly explain the risks to them and their partners, especially when pregnant or planning to start a family. Encourageworkers to share the informationwith their physicians,when relevant. o Ensure that the removal of asbestos-containingmaterials or other toxic substancesbe performed and disposed of by specially trained workers. o During heavy rains or emergencies of any kind, suspend allwork. o Brace electrical and mechanical equipment to withstand seismicevents during the construction. Nuisance and dust control To controlnuisance and dust the Contractorshould: o Maintain all construction-relatedtrafficat or below 15mph on streets within 200 m of the site. o Maintain all on-site vehicle speeds at or below 10mph. o To the extent possible, maintain noise levels associated with all machinery and equipment at or below 90 db. o In sensitiveareas (includingresidential neighborhoods, hospitals, rest homes, etc.)more strict measures may need to be implemented to prevent undesirable noise levels. ENVIRONMENTAL RESOURCESMANAGEMENT 76 RCIP ESMF o Minimize production of dust and particulate materials at all times, to avoid impacts on surrounding families and businesses, and especially to vulnerable people (children,elders). o Phase removal of vegetation to prevent large areas from becoming exposed to wind. o Place dust screensaround constructionareas, paying particular attention to areas close to housing, commercial areas, and recreationalareas. o Spray water as needed on dirt roads, cut areas and soilstockpilesor fill material. o Apply proper measures to minimize disruptions from vibration or noise coming from construction activities. Community Relations To enhance adequate community relations the Contractor should: o Following the country and EA requirements, inform the population about construction and work schedules,interruption of services, traffic detour routes and provisional bus routes, as appropriate. o Limit constructionactivities at night. When necessary ensure that night work is carefully scheduled and the community is properly informed so they can take necessary measures. o At least five days in advance of any service interruption (includingwater, electricity, telephone, bus routes) the community must be advised through postings at the project site, at bus stops, and in affectedhomes/businesses. ChanceFind Procedures for Culturally Significant Artifacts The Contractor is responsiblefor familiarizingthemselveswith the following "Chance Finds Procedures", in case culturally valuable materials are uncovered during excavation, including: o Stopwork immediatelyfollowingthe discoveryof any materialswith possible archeological,historical, paleontological, or other cultural value, announce findings to project manager and notify relevant authorities; o Protect artifactsas well as possible using plastic covers, and implement measures to stabilizethe area, if necessary, to properly protect artifacts o Prevent and penalize any unauthorized access to the artifacts o Restartconstructionworks only upon the authorization of the relevant authorities. Environmental Supervision during Construction The bidding documents should indicatehow compliancewith environmental rules and design specificationswould be supervised, along with the penalties for non- complianceby contractors or workers. Construction supervision requires oversight of compliance with the manual and environmental specificationsby the contractor or his designated environmental supervisor. Contractors are also required to comply with national and municipal regulations governing the environment, public health and safety. ENVIRONMENTAL RESOURCESMANAGEMENT 77 RCIP ESMF ANNEX 7: FORMAT OF AN ANNUAL ENVIRONMENTAL REPORT Relevant environmental authority: Reporting dates: District: Subprojects approved: Subproject Activities Project phase Env. categoy EIA/EMP Env. Permit Effkctiveness lsslies f2' title (1) completed? granted? of EMP (name,location, (new construction, See note below (A, B or C) Yes, No or N/A Yes,No or N/A Good,poor, or See note below title or reference) rehabilitation, needs maintenance) improvement 1 2 3 etc Subprojects rejected: Subproject title Activities Reasonsfor rejection Remarks (3) 1 2 3 etc Notes: (1) Subprojectphase will be one of the following:(a)under project preparation or appraisal, (b)appraised, or (c)implementation. (2) Issues: accidents,litigation,complaints or fines are to be listed. (3) e.g. if an environmental permit was not granted, explain why. 17 ANNEX 8: TERMS OF REFERENCEFOR AN EMP The EMP should be formulated in such a way that it is easy to use. References within the plan should be clearly and readily identifiable.Also, the main text of the EMP needs to be kept as clear and conciseas possible, with detailed information relegated to annexes. The EMP should identlfy linkagesto other relevant plans relating to the project, such as plans dealing with resettlement or indigenous peoples issues.The followingaspectsshould typically be addressed within EMPs. Summay of impacts:The predicted adverse environmental and socialimpacts for which mitigation is required should be identified and briefly summarized. Cross-referencing to the ESIA report or other documentation is recommended, so that additional detail can readily be referenced. Description of mifigationmeasures:The EMP identdies feasible and cost effective measures to reduce potentially significantadverse environmental and social impacts to acceptablelevels.Each mitigation measure should be briefly described with reference to the impact to which it relates and the conditions under which it is required (for example, continuously or in the event of contingencies).These should be accompaniedby, or referenced to, designs, equipment descriptions,and operating procedures which elaborate on the technical aspects of implementing the various measures. Where the mitigation measures may result in secondary impacts,their significanceshould be evaluated. Description of monitoring program: Environmentalperformancemonitoring should be designed to ensure that mitigation measures are implemented, have the intended result, and that remedial measures are undertaken if mitigation measures are inadequate or the impacts have been underestimated within the ESIA report. It should also assess compliance with national standards and World Bank Group requirements or guidelines. The monitoring program should clearly indicate the linkagesbetween impacts identified in the ESIA report, indicatorsto be measured, methods to be used, sampling locations, frequency of measurements, detectionlimits (where appropriate), and definitionof thresholds that will signal the need for correctiveactions, and so forth. Although not essentialto have complete details of monitoring in the EMP, it should describe the means by which final monitoring arrangements will be agreed. Instifutional arrangements:Responsibilitiesfor mitigation and monitoring should be clearly defined.The EMP should identlfy arrangements for coordination between the various actorsresponsiblefor mitigation. ENVIRONMENTAL RESOURCESMANAGEMENT 79 RCIPESMF Environmental Management Plan A. Mitigation Project Potential Proposed Institutional Cost Comments Activity Environment Mitigation Responsibilities Estimates (e.g. secondary al and Social Measure(s) (Inc1. impacts) Impacts (Incl. legislation e n f o ~ ~ m e&t n & regulations) coordination) Pre- Construction Phase Construction Phase Operation and Maintenance Phase Environmental Management Plan B. Monitoring Proposed Parameters Location Measurements Frequency Responsibilities Cost Mitigation To be (Incl. methods of (Incl. review (equipment Measure Monitored & equipment) Measurement and reporting) & individuals) Pre- Construction Phase Construction Phase Operation and Maintenance Phase Total Cost for all Phases ENVIRONMENTALRE~~URCESMANAGEMENT 80 RCIP ESMF Environmental Management Plan C. Institutional Strengthening and Training for Implementation Position(s) Scheduling Responsihilit(ies) Cost Strengthening (Institutions, Estimates Activity PIUs, contractors, construction supervision consultants) Measures Requirements (incl. Types of Content (modules, Scheduling Training etc.) EMP Implementation, Re-design, Conflict Resolution, etc. Environmental Processes, Methods & Equipment Environmental Policies & Programs Environmental Management Plan D. Scheduling and Reporting Year 1 Year 2 Etc. Activity Q1 Q2 Q3 4 4 Ql Q2 Q3 Q4 Mitigation Measures ------------- ------------- etc. Monitoring ------------ ------------ etc Institutional Strengthening ------------ ------------ etc Training ------------ ------------ ENVIRONMENTAL RESOURCESMANAGEMENT 81 R C I P E S M F