1. Ensuring Environmental and social safeguards

2. Modality Classroom session Project sites visit
Learning consolidation and sharing the learning by participants in groups

3. Safeguards
Source: google.com

4. Discussion Questions
Is safeguards necessary? Why or why not?
What are your roles?
Any experiences of safeguards/conflict in ensuring safeguards?

5. Profit - Profit - Profit
Profit - People - Planet
Project formulated, designed and executed by engineers who ensure technical compliance but pay little attention to social environmental impact/risk
Social and environmental management as an integral part of the development project design and implementation.

6. Safeguards
Safeguards are operational policies and procedures that seek to avoid, minimize, or mitigate adverse environmental and social impacts, including protecting the rights of those likely to be affected or marginalized, by the development process.

7. Safeguards Policies The safeguard policies require that
impacts are identified and assessed early in the project cycle;
plans to avoid, minimize, mitigate, or compensate for the potential adverse impacts; and …

8. Safeguards Policies… The safeguard policies require that …
affected people are informed and consulted during project preparation and implementation (learning cycle).

9. “Safeguard” Policies Social Policies Environmental Policies
Assessment
Natural Habitats
Forests
Bio-diversity …
Social Policies
Physical Cultural
Resources
Involuntary
Resettlement
Indigenous People
GESI …
The ‘safeguard policies’ are instruments applied by the Bank in its operations to protect the interest of the beneficiaries, clients, shareholders and the Bank. They are linked to one another, and taken collectively, they provide a comprehensive framework for avoiding negative impact on the environment and the livelihood of people.

10. Operational Definition (Safeguards)
Social
IRP
IPP
Environmental

11. Safeguards Policy Principles
Proper screening for categorization
Assessment with identification of direct, indirect, cumulative and induced impacts, trans boundary and CC impacts
Assess alternative of project location, design, technology, components and “no project” option
Prepare plan with avoid, minimize, mitigate and compensate principle

12. Safeguards Policy Principles
Undertake MEANINGFUL consultation and establish GRM
Disclose information before project appraisal at an accessible location and local language
Implement plan, monitor compliance, record and take “corrective actions” and disclose effectiveness through monitoring reports
Do not implement projects in “critical habitats”. Protect biodiversity and natural resources

13. Safeguards Policy Principles
Pollution control and avoid pollutant emissions like GHG, waste and hazardous material
Ensure safe and healthy working conditions and prevent accidents, injuries, and disease to workers and local communities
Conserve physical cultural resources and undertake “chance find” procedure for discoveries during implementation

14. Legal Frameworks The Constitution of Nepal
Article 18, Right to Equality; Article 25 (1), Article 25 (2), Article 25 (3)
Local Government Operation Act
Section 6, plan formulation and implementation
Land Acquisition Act
Compensation Fixation Committee
ILO convention on IPs 169
legally binding treaty on the rights of indigenous peoples
consult indigenous peoples in all decisions affecting them

15. Legal Frameworks
Sector wise safeguards provisions (Environmental & Social Management Framework)
Roads
Commerce and Supplies
Education
Energy
Transportation
Development partners' safeguard policy
ADB’s Safeguard Policy Statement and WB’s Environmental and Social Framework

16. Genesis of Environmental Assessment
Environmental Dilemma
Development vs Destruction
Economic prosperity vs Environmental poverty
Resource harnessing vs Sustainability
Present generation vs Future generation
Greed vs Need

17. Environmental Management Plan
A plan to ensure systematic integration of all proposed mitigation measures with the project construction/operation activities.
EMP Includes:
Project Management for Environment Protection Measures Implementation
Monitoring Plan
Auditing plan

18. Environment Screening and Categorization
Basics of Screening
Project types (EPR Schedule 1-IEE, schedule 2- EIA)
Project area within forests (<5 ha-IEE; > 5 ha-EIA)
Protected areas, historical and archaeological sites - EIA
Project cost threshold (5-25 crore –IEE; >25 crore-EIA)

19. Environment Screening and Categorization
EIA
EIA used for large scale projects
Also looks into unknown impacts as a detailed assessment and will require subject matter specialist and more budget
Generally does not recommend for further assessment to identify and predict impact and mitigate adverse impact.
IEE
Used for small scale projects
Works on known impacts and is conducted within the short span of time and some budget and manpower
May recommend for further assessment, particularly EIA

20. Types of Impact Assessment
Project level - Initial Environmental Examination (IEE) and Environmental Impact Assessment (EIA)
Sector level - Sectoral Environmental Assessment
Cumulative impacts - Cumulative Effects Assessment
Policy, Plan and Program level - Strategic Environmental Assessment (SEA)
Other assessments such as Health IA, Social IA, Biodiversity IA, Trade IA etc.

21. Involuntary Resettlement Safeguards
A process that assists the displaced persons to replace their lost land, housing, and access to resources and services to restore and improve their socio-economic and cultural conditions.
Enhance, or at least restore, the livelihoods of all displaced person and vulnerable group

22. Involuntary Resettlement
Involuntary resettlement safeguards cover both physical and economic displacement as a result of
involuntary acquisition of land, or
involuntary restrictions on land use or on access to legally designated parks and protected areas.
Displacement can be full or partial, permanent or temporary.

23. Involuntary Resettlement
Displacement affects not only the physically displaced, but also those who lost their livelihoods and the host population
Displacement outcomes:
Loss of property;
Loss of access to common land;
Loss of access to natural resources;
Loss of income sources;
Loss of livelihood ;
Community disintegration, etc

24. Involuntary Resettlement
Issue
GoN’s Policy
Better IR Policy
Loss of more than 10% of the total landholdings and income
Do not consider the percentage loss of income or total land holdings
Income restoration programme such as training and other measures to restore and improve the standard of living of the displaced households
Squatters/illegal occupants/non-titled land users
Do not consider squatters/ encroachers/ non titled land users for compensation
Not entitled for compensation for land; squatters/ vulnerable encroachers/non title holders are entitled to payment for the structures/houses/ business and other assistance

25. Involuntary Resettlement
Issue
GoN’s Policy
Better IR Policy
Valuation of affected land, houses & other structures and trees
Compensation rate will be determined by a Committee, consisting of (i) CDO, (ii) representative from DDC (iii)Chief of Land Revenue Office (iv) Project Manager
All compensation is based on the principle of replacement cost
Other assistance for relocation of the houses
No provision
Provision for the transitional allowances, transport allowances and one time financial assistance to the occupants, employees

26. Involuntary Resettlement
Issue
GoN’s Policy
Better IR Policy
Vulnerable groups
No provision
Provision for income restoration programme and other financial assistance

27. Indigenous People Requirement
The IP safeguards are triggered when a project affects either positively or negatively and either directly or indirectly the Indigenous Peoples’:
dignity, human rights, livelihood systems or culture (intangible aspects that are integral to their distinctiveness); or
territories or natural or cultural resources (the tangible aspects of their identity).

28. Indigenous People Requirement Policy Principles
Project Screening
Impact assessment/SIA
Planning/Management Plan (IPP)
Information Disclosure
Meaningful Consultations
Grievance Redress Mechanism
Monitoring and Reporting

29. Issues on Ensuring Safeguards
Sufficient legal base, assessment has reasonably improved, but gaps are in implementation and enforcement
Safeguard units in projects?
Safeguard staff, mechanism and monitoring system
Safeguards monitoring budget and resources
Lack of meaningful consultation and GRM

30. Issues on Ensuring Safeguards
Environmental provisions vague in contract agreement
Contractors have limited awareness and understanding
Safeguards receives least attention
Sufficient monitoring but lacks documentation/progress status
Periodic safeguard monitoring reports are not submitted/dissiminated

31. Issues on Ensuring Safeguards
Project Planning
Project Implementation
Project Completion
High Priority
Safeguards Compliance
Low

32. Overcoming the Issues Comply to rules and regulation consistently
Follow the principle of ‘Do No Harm’
Establish and practice GRM
Engagement of stakeholders: consultative participation
Use of monitoring and evaluation report

33. Overcoming the Issues Project Planning Project Implementation
Project Completion
Safeguards Compliance
Priority

34. Further Readings
Asian Development Bank, 2009, Safeguard Policy Statements
World Bank, 2018, Environmental and Social Framework
Different sector specific reports on environmental and social framework
Constitution of Nepal
Acts, Rules and Regulations on Environment and Social provisions

35. What Next Site visit (30 August 2018, Thursday)
Kalanki - Nagdhunga Road
Arrival at NASC by 9:45
Field visit (10:00 am – 12:45 pm)
Use compliance monitoring checklist
Use separate sheet
Social
Environmental

36. What Next? 4 groups A group of four:
Group 1: 1,5,9,13,17,21,25,29 (Environment)
Group 2: 2,6,10,14,18,22,26,30 (Social)
Group 3: 3,7,11,15,19,23 and 27 (Environment)
Group 4: 4,8,12,16,20,24 and 28 (Social)
A group of four:
5, 15, 20 and 30 (Lesson learnt and Summarization)
Learning consolidation and prepare presentation (before 2:30 pm)
Present at the Plenary (2:30 pm – 4:10 pm)
10 minutes each for presentation and 7 minutes each for discussion

37. Please bring necessary items:
Umbrella
Mask
Sunglass
Sunscreen
Travel bottles
Wear full sleeves cloths
Comfortable shoes