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TERMES DE RÉFÉRENCE DE LÉTUDE - The World Bank

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A Étude d'évaluation environnementale et sociale du secteur des transports

Rapport final

Étude d'évaluation environnementale et sociale du secteur des transports -Introduction

2 -Objectif de lintervention

3 -Définition des prestations

4 -Moyens à mettre en oeuvre

-Rapports et délai

1. Introduction

2. l'intervention

des 4

4. Moyens à mettre en oeuvre

couvre

5. Rapports et délais

October 1993

The World Bank Number 4

Background a combination of coal and gas thermal power coupled with demand-side management and development of World Bank guidance on sectoral EA was introduced renewable biomass energy Similarly, where project-

in 1989 with the adoption of Operational Directive specific EA would analyze the impacts on ambient air

(OD) 4.00, Annex A: Environmental Assessment quality around a new industrial estate, the sectoral EA (amended in 1991 as OD 4.01). The might look at the cumulative effects of acid rain or oth- (1991) provided more detailed er problems resulting from proposed industrial devel- advice that has helped the Bank and its borrowers to opments in terms of their regional, national or even introduce SEA in project preparation, despite the lack trans-national impacts. of a tested methodology. On the basis of this accumu-

lated experience, it is now possible to expand Bank The Bank's increasing use of programmatic, sector-

guidance on SEA. oriented loans and time-slice investment programs has served to build demand for a sectoral EA approach,

SEA avoids the inherent limitations of project- and has provided the best opportunities for developing

specific EAs in addressing issues related to policy and SEA as a planning tool. An example of this approach is

planning and the legal and institutional framework. presented in Box 1. In other cases, sectoral EA may be

By moving upstream in the planning process to a the only EA output if the sub-projects do not require

stage where major strategic decisions have not yet EAs individually. Environmental planning measures

been made, SEA offers better opportunities not only and/or guidelines developed by the SEA may then be

for analyzing existing policies, institutions, and devel- applied Box 2 for a list of Bank-financed projects

opment plans in terms of environmental issues, but with a SEA component). also for supporting environmentally sound sector- wide investment strategies. A SEA may, for example, Advantages of Sectoral EAs allow for a more realistic environmental assessment of competing investment alternatives in the power The growing Bank experience with SEAs has revealed

sector, where one option might favor massive coal several important benefits to be gained from use of this

thermal and hydro-electric expansion; a second instrument in development planning Boxes 1 and

option, nuclear and hydro-electric power; and a third, 3-6). The following advantages are worth highlighting:

Io cechnical w P.

SEAs help to alter or eliminate environmentally

early thus reducing the need for similar analysis in and management during program or project downstream EA work. implementation. * They provide opportunities for consideration of * They allow for comprehensive planning of general alternative policies, plans, strategies or project sector-wide mitigation, management, and moni-

types, taking into account their costs and benefits, toring measures, and for identifying broad institu-

particularly the environmental and social costs that tional, resource and technological needs at an are often ignored in least-cost project planning. early stage. 2 would normally be the

Box 2. Bank-financed Projects with Sectoral EA appropriate form of SEA. Types of projects in this first

Components context may include:

a national or sub-national sector program; Transport Nigeria Nigerian MultliState * a series of projects in the same sector; Roads Colombia Colombia Highways * a large project with sectoral implications;

China Henan Highway

China Guangdong Provincial * a sectoral intermediate credit operation; or

H ighway

Indonesla

Eastern lndonesia

Kabupaten Roads * a sectoral time-slice investment operation. Agriculture Chile Development The context is in projects and programs Pakistan National Drainage where a SEA is prepared to complement the planning Program process. These SEAs may be triggered by Bank envi- China Cuangdong Agriculture ronmental screening of a project; but they cover a Development broader set of issues than merely the impact of the M1 Ittorocco Large-Scale ll project, and they proceed in parallel with the required Water/Sanitation project EA work. This SEA approach may, for exam- China Rural Water Supply ple, be appropriate in sectors with widespread and and Sanitation well-known environmental damage although the Brazil Water and SaniLadon project supported by the Bank may not create any India Waer Resources significant additional problems. The Bank might Consolidation help secure funding for such SEA work, but OD 4.01 Solid Wasre does not directly apply (and subsequently the SEA Il does not have to be completed prior to appraisal). Northern Border Box 6 provides an example of a SEA prepared in

Environment this context.

Energv/Power

Poland Development

Russia Oil Sector The context is when sectoral environmental Belize Po%ver Sector analysis is employed without any direct link to lend- El Salvador Power Sector ing activities. In this case, the SEA is typically related to

Bank economic and sector analysis for a country.

oii IOD 4.01 does not apply, and no particular procedures and need to be followed although this may provide valuable information. * They provide a basis for collaboration and coordi- nation across sectors, and help to avoid duplication Criteria for Choosing SEA of efforts and policy contradictions between sector agencies and ministries. The following questions will help identify where a sectoral EA approach may be particularly appropriate * They may strengthen preparation and implementa- and useful in a project or program where OD 4.01

tion of sub-projects by recommending criteria for applies. If the answer to the following question is

environmental analysis and review, and standards positive, SEA should be seriously considered: and guidelines for project implementation.

Is the Bank considering any of the investment

The Operational Context types listed in the section on Operational Context (above), in a sector with significant environmental Three broad operational contexts, or situations, may issues? trigger SEA work. The need to interpret OD 4.01 varies according to these contexts. If the answer to the next three questions is also positive, SEA is highly recommended:

The type of situation is a category A or B in-

vestment program or a series of independent A and/or * Are there major existing environmental problems

B projects in a given sector. In these cases, the process associated with the sector, and/or sector-wide

and timing and the scope of the SEA should follow the potential environmental impacts resulting from requirements of OD 4.01. For B projects a limited the proposed program or series of projects? 3 * Is there a clear potential for significant environmen- regulatory framework for EA preparation and tal improvement or avoidance of major problems in review should be assessed. The SEA should look the sector? closely at the institutional capacity of the main environmental ministry or agency, in terms of

* Are there clear policy, regulatory and/or institu- effectiveness and capacity for providing guidelines,

tional weaknesses relative to environmental man- setting and enforcing standards, and reviewing agement in the sector? environmental assessments. The capacity and performance of agencies responsible for specific In

addition, there are conditions that increase the po- environmental services such as nature protection

tential value of SEAs but are not sufficient or complete- and cultural heritage should also be reviewed

ly necessary requirements: when relevant. * Is the borrower at an early planning stage or at a * The SEA should analyze new major investment phase, where important sector-specific policies, laws and regulations that strategic decisions have not yet been made? have environmental implications. It should also identify how environmental responsibilities are * Are conditions in the sector relatively stable and distributed among (public or private) sector predictable (rather than tending to rapid and institutions and assess their capacity to administer unpredictable change), so as to allow for a medium these tasks. The sectoral investment planning to long-term planning horizon and therefore better process, in terms of objectives, methodology chance of gaining long-term value from the SEA? and procedures for review and approval of plans and projects, should be carefully reviewed. The Is the borrower willing to pay for the SEA and relationship between timing of project review,

likely to give weight to the findings and recommen- issuance of licenses and permits, and the sectoral

dations? planning process should be clearly indicated.

The SEA should assess whether environmental

Sections

of a Sectoral EA Report and social issues are adequately covered by current procedures. SEAs will vary in scope and content according to the

types and significance of issues and the operational Project Description. The nature and objectives of

context. A general outline for a full (category A) SEA the program, plan, series of projects or other context to

can be constructed, however, using the guidance pro- which the SEA is attached should be described, and

vided in OD 4.01, Annex B, for a full project-specific the main environmental issues associated with the

EA also Box 5 for a sector-specific example). sector and these programs, identified. Executive Summary. As in a project-specific EA, Baseline Data. This section should describe and

a SEA should contain an executive summary (in En- evaluate the current environmental situation in the

glish), with a concise discussion of significant findings sector. Where a project-specific EA would describe

and recommended actions. conditions such as ambient air and water quality or existing impacts from pollution around a proposed Legal and Administrative Framework. project site, the SEA should concentrate on the issues

This section is one of the most important parts of a and problems that are typical of the sector as a whole.

sectoral EA. It is helpful to analyze both (1) the nation- For example, occupational health may be a concern

al environmental legal, regulatory and institutional across enterprises within a specific industry; seepage

framework, and (2) sector-specific policies, regulations of heavy metals into streams and groundwater may be

and institutions (see Box 3). If other, recent studies a recurring problem in the mining sector; or deforesta-

have already analyzed these dimensions in an ade- tion may result from activities in the agriculture sector.

quate way, the SEA should draw on this work rather Another important function of this section is to note

than duplicate it. major data gaps. The relevant national Environmental Impacts. The single most difficult environmental policies, laws and regulations challenge in SEAs is to produce a sufficiently precise

should be assessed for completeness and appropri- impact analysis, often in the face of uncertainties relat-

ateness in light of the particular conditions and ed to the final investment decisions and their individu-

problems of the sector, and gaps and weaknesses al and combined impacts. In recent years, advances noted. Non-environmental laws and policies that have been made in the methodologies for assessing have significance for the sector's utilization of cumulative impacts, in relation to development plans resources, production processes, or pollution and programs. Means include quantitative modelling,

should also be identified. Similarly, the national forecasting and various qualitative analyses. If any

4 g.. ihe the sub-project is A major purpose of a program posi-

tive impacts on environmentally important and sensi- sides the option being considered by the Bank, should

tive areas and assets such as coastal zones and wet- be considered at this stage, whether complementary

lands, or freshwater resources, are also important in or alternative to the Bank option. The other options

cases where the sector activities heavily affect these may include investments by the private as well as the

areas and/or resources. public sector. The sectoral EA is an appropriate instrument for A comparative analysis of alternative programs is

considering issues related to long-term sustainable highly recommended, applying indicators of enviroh-

development. Specifically, the SEA may contain a mental and social impacts and methods to evaluate

discussion of how a proposed investment program may and compare the indicators and ultimately the alter-

influence long-terrm productivity of environmental native options. Where several donors are involved in resources affected by the program. the sector, the SEA should review their existing and/ strategy, in terms of environmental and social costs Box 4. Procedures for Sectoral EA: Asia Region and benefits. Extensi e experience programn and Mitigation Plan. Mitigation measures are usually

lending in highway sector. particularly rural of a detailed, technical nature, and therefore normally

areas, has spurred de'elopment of informal proce- addressed in project-specific EAs. However, if j dures for secloral EA in the Bank's Asia region. Co lanned existingproduction !ensure cansideration or ail possible impacts on theplneorxstgrduinadpocstchl- phe gies in a sector are relatively uniform, the SEA could environment. According to the Informal procedures, a reomn ra pin olmntn, rdcnsecloral EA shouid contain recommend broad options for eliminating, reducing sectoral EA should contain: to acceptable levels, or mitigating environmental * a screening process designed to idenUfy su- impacts. Such solutions could include a complete projects having potentially significant that production system design as well as end-of-pipe would need to be addressed in a sub-project EA; cleaning technologies. SEA mitigation recommenda- a general assessment of ihe kinds of impacts thar tions should draw on findings from the analysis of be assoacated with the different of policy, legal and institutional issues as well as the rural road sub*projects: and analysis of impacts and alternatives. * a sectoral environmental action plan eliminate, minimize or miligate the impacts idenrified in the A SEA is an effective tool for designing and sectoral EA. and provide general guidelines for recommending mitigation measures that can be long term monitoring. implemented only at the national or sectoral level for regulatory or economic reasons. In an urban trans-

Two categories are used in environmental screening portation program, for example, automobile emission

of sub-proJects: limits could be recommended if the level of emissions .~were found to supersede acceptable standards for * sub projecLs that mav create a few minor andaiqult.Smaryinascopogmivlig

easily recognizable environmenral problems. but air quality. Similarly, in a sector program involving

no signiflcanr ones; and multiple investments, the SEA may be better placed

* subgproJects wîth porenrially adverse Impacts o than project-specific EAs to consider sector-wide

en%'Ironmentaill, sensitive areas. deRned as zones mitigation solutions that require economies of scale

of significant human habitation: ecologically im- in order to be cost-effective. Construction of a solid

portant areas such as and primary for- waste recycling plant for an entire country is one esis: archeological. historical and cultural sites; such example. and terrain with siope greater than 50%.

Environmental Management and Training. One of

The second category sub-projecrs requires the main outputs of a SEA should be an institutional proJect.speciRfc EA. while first category is ad- plan for improving environmental management in the

dressed pnmarily through the sectoral EA in the form sector, based on findings of the previous sections (

of general impact assessments, sectoral action plans. Boxes 1 and 6). The plan might recommend training

of existing staff, hiring of additional staff, reorganiza- sustainable road development. These codes apply àgencies, both categories sub-projects cover rsonsibiit ies , or sec tion o role and

Issues as construction practices. sîie selecrion. reser- responsibilities. This section might also include rec-

and compensation, and public consultation/ ommendations on policy and regulatory instruments participation for environmental management and enforcement in the sector. A screening process to separate those sub- project needing a project-specific EA from those not requiring further analysis should be designed, if it is not already in place Box 4). or planned activities and, if necessary, suggest ways to coordinate efforts. The SEA should provide general guidelines for long-term sector-wide The sectoral EA can also be used to evaluate the environmental monitoring to ensure adequate imple-

environmental effects of sector policy alternatives. For mentation of investments. A monitoring plan should

example, changes in tax and subsidy rates on the use use the findings of the baseline data section as a basis

of natural resources may greatly influence rates and to measure progress in mid-term review and final

methods of extraction. evaluation. The plan should also recommend mea- sures needed to collect and organize missing data.

The analysis could conclude with a list of sector

proposals, ranked according to environmental prefer- Public consultation is an

ence. The analysis of impacts and alternatives should integral part of the EA process, whether a project-

result in a recommendation for an optimal investment specific or sectoral EA is being prepared OD 4.01

6

Technical SEA

Electricity Sector: LAC Region (Sectoral EA as of Sector The Latin American and Caribbean (LAC) The of Morocco and the agreed to region has developed for sectoral conduct a sectoral EA a complementary acrivity in EA in the electriciry sector, based on its extensive preparation of this EA or experlence in this sector. stipulate thar SEA was not for the proposed project under a sectoral EA is recommended project-specific 4.01. saw the potential a

EAs are not appropriate. to: SEA

concerns the development of Irri * minimal preparaLion individual project compo- gation sector. Concurrently. the invesiment compo- ai time'of Bank appraisal (e.g.. hydro- of the project. on the rehabilitation of power developments may at preliminary existing irrigation infrastructure. was placed in stages ronment category B and was the sub- nature lending operation. such as of a review. A joint operations involving a large number French consulilng projects.at stages of development; and /or, a Japanese grant. was (following a competitive * the nature projects or progranis selection prepare and consideration.

No. 5: ersity

for more specific guidance). However, since a SEA normally covers an entire sec- (in a national or subnational context) and is con- The ducted before concrete investment decisions are and aspects made, may always be possible to consult repre- ment in the irrigation sector. sentatives potentially affected people during for preparation of the SEA. Often, more feasible and for policy appropriate to carry out consultations with national monitoring. and training; NGOs (for example, for nature protection), scientific new laws and regulations for improving experts, relevant government agencies, and perhaps and overall performance in

also industrial and commercial interests. A successful- activicies recommended in the SEA included: (1)

ly implemented consultation process will help ensure protection of watersheds: (2) use planning: (3) public support for the final sector program. conservation. 14) protection sensi- habitats and programs Challenges in SEA and monitoring; and (6) training and special the planning processes of the borrower and the Bank

In order for a SEA to reach its full potential as a plan- is the best way to overcome this constraint.

ning tool, it must be undertaken in concert with the

overall investment planning in the sector. In practice, If a SEA is undertaken, its relevance to sector

this is sometimes difficult to achieve because Bank- planning should be ensured through preparation of financed projects and programs are often prepared terms of reference (TORs) and coordination between

after government sector planning and strategic deci- preparers and sector planners. If SEAs over time dem-

sion-making. This makes any consideration of strate- onstrate high quality and usefulness as a planning

gic alternatives difficult. Early coordination between tool, they likely will have growing acceptance.

toring. In these cases, doing a more limited SEA may reduce the amount of EA work needed for individual

A sectoral EA is generally more costly to undertake sub-projects, while facilitating more effective review

than project-specific EA. For this reason, some bor- and monitoring at the sectoral level. rowers may be reluctant to choose the SEA option unless the SEA can be expected to so improve the In many developing countries, economic and

quality of sector planning that the need will be re- cial changes are often rapid and unpredictable, as are

duced for project-specific EA work-and associated changes in technological opportunities (for example,

costs-downstream. with regard to pollution abatement). On the other ' hand, planning time frames tend to be long-term due to difficulties in raising capital and limited absorptive capacity. Because of this tension, a full SEA may not

Experience and special skills are required to do ade- always be the optimal option. An alternative ap-

quate SEA work, especially in cumulative impact proach, currently used by Kenya in the energy sector

assessment and in analysis of alternative options and and supported by the Bank, is to identify major invest-

the policy, legal and institutional framework. At the ment options within the sector, rank them by environ-

same time, TORs for. the EA need to be realistic in mental and social criteria and impacts, and provide a

their requirements and manageable. TORs should general overview of mitigation requirements for each

narrow the scope of analysis to issues that are most option. This approach allows for gathering of essential

significant and widespread within the sector, rather data and can serve as a 'preamble" to project-specific than require coverage of all aspects. TOR preparation EAs where needed. and EA team selection should also support develop- ment of in-country capacity for SEA work.

Doing a SEA should not become an excuse for over-

looking site-specific environmental issues, even

A sectoral EA approach may be useful even in cases though the emphasis is primarily on issues generic to

where major sector decisions have already been the sector. The SEA should be employed to identify made. For example, the SEA can be adjusted to the prevalent problems in the sector as a whole major

purposes of a time-slice or financial intermediary loan site-specific problems, which might subsequently be

involving numerous sub-projects in which the prima- addressed in project-specific environmental assess-

ry issue is setting up appropriate mechanisms for sub- ment. The SEA should help determine where more EA

project screening, review, impact analysis, and moni- work is needed downstream. 8 GYSELquotesdbs_dbs18.pdfusesText_24