BOSNIA AND HERZEGOVINA

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Adriatic Sea Environmental Pollution Control Project (I) Croatia and Bosnia and Herzegovina BOSNIA AND HERZEGOVINA Environmental and Social Management Framework June, 2013

2 Client Bosnia and Herzegovina Ministry of Foreign Trade and Economic Relations Musala 9, Sarajevo Bosnia and Herzegovina Phone: , Project Web: Consultant Maja Maretic Tiro 2

3 List of Abbreviations ASEP ASEPCP BD BiH EA EHS EIA EMP HNC EP EPEEF ESMF EU FBiH FMoET GEF GIIP IBRD ICZM IFC IFIs MoFTER MoPPCEE NGO OP PE PEIA PMU RS TA TP Adriatic Sea Environment Programme Adriatic Sea Environmental Pollution Control Project Brcko District Bosnia and Herzegovina Environmental Assessment Environmental, Health and Safety Environmental Impact Assessment Environmental Management Plan Herzegovina-Neretva Canton Environmental Permit Environmental Protection and Energy Efficiency Fond of the Republic of Croatia Environmental and Social Management Framework European Union Federation of Bosnia and Herzegovina Federal Ministry of Environment and Tourism Global Environment Facility Good International Industry Practice International Bank for Reconstruction and Development Integrated Coastal Zone Management International Finance Corporation International Financial Institutions Ministry of Foreign Trade and Economic Relations of BiH Ministry of Physical Planning, Civil Engineering and Ecology of the RS Non-governmental Organization Operational Policy Population Equivalent Preliminary Environmental Impact Assessment Project Management Unit Republika Srpska Technical Assistance Treatment Plant 3

4 WB WHC WWTP World Bank West Herzegovina Canton Waste Water Treatment Plant 4

5 Table of Contents 1 BACKGROUND AND PROJECT INFORMATION Introduction Project Overview NATIONAL AND WB ENVIRONMENTAL POLICIES RELEVANT FOR THE PROJECT Relevant Environmental and Social Policies and Procedures EA Process in BiH World Bank Procedures Differences between WB Legislation and Legislation of BiH Relevant Environmental and Social Legislation in BiH Waste Sector Legislation Water and Waste Water Sector Legislation Other relevant legislation Legal Framework Regarding Social Matters WB Environmental, Health and Safety (EHS) Guidelines SUMMARY OF CURRENT STATUS OF POTENTIAL (KNOWN) INVESTMENTS AND TA 35 4 DETERMINING ENVIRONMENTAL AND SOCIAL DUE DILLIGENCE Environmental Screening Project Screening Procedures Categorisation of Proposed Sub-projects Environmental Due Diligence Documentation Disclosure and Consultation Social Assessment Social Assessment Framework Social Assessment Methodology Financing of sub-projects for which environmental documentation already exists ENVIRONMENTAL REVIEW PROCESS (ROLES AND RESPONSIBILITIES OF INSTITUTIONS INVOLVED) Roles and Responsibilities during Investment Preparation Roles and Responsibilities during Construction and Operation MONITORING ENVIRONMENTAL COMPLIANCE ENVIRONMENTAL MANAGEMENT PLAN MOSTAR LANDFILL SOLID WASTE LEACHATE (WASTEWATER) TREATMENT PLANT ANNEXES Annex 1 Roles and Responsibilities of Key Participants Annex 2 The Main Elements of the Wider Process for Environmental Protection in Bosnia and Herzegovina (Excluding EIA Process)

6 8.3 Annex 3 Questionnaire for TAs for WWTP and Leachate TP Annex 4 Tentative Contents of the EIA for Waste Water Treatment Plants Annex 5 Tentative Content of the SEP Annex 6 Summary of Current Status of Potential (Known) Investments and TA Annex 7 Template for Environmental Management Plan (EMP) Content of EMP Sample mitigation and monitoring tables Annex 8 - Environmental Management Plan for Mostar Landfill Solid Waste Leachate (Wastewater) Treatment Plant Annex 9 - Minutes of Meeting from the Public Consultations and Attendance Sheet88 6

7 List of tables Table 1: List of wastewater investments and landfill investments requiring mandatory EIA in the FBiH Table 2: List of wastewater investments and landfill investments requiring mandatory EIA in the RS Table 3: Comparison of WB and BiH EA requirements Table 4: Comparison of WB and BiH EA Document Content Requirements Table 5: Proposed institutional strengthening Table 6: List of specific sub-projects to be financed under the Project Table 7: Environmental Screening Matrix Table 8: Proposed categorisation of sub-projects Table 9: Environmental due diligence required for the Project Table 10: Disclosure requirements for the Project Table 11: Institutional Arrangements during Implementation List of figures Figure 1: The EIA procedure in the FBiH Figure 2: The EIA procedure in the RS Figure 3: Permitting process in the FBiH Figure 4: Permitting process in the RS

8 1 BACKGROUND AND PROJECT INFORMATION 1.1 Introduction Bosnia and Herzegovina (hereinafter BiH) together with the Republic of Croatia (hereinafter Croatia) applied for the Global Environment Facility (GEF) grant to support the Adriatic Sea Environmental Pollution Control Project (I) (hereinafter ASEPCP or the Project) which the Ministry of Foreign Trade and Economic Relations of BiH (hereinafter MoFTER) plans to implement in BiH. The objective of the Project is nutrient pollution reduction in selected hotspots of the Eastern Adriatic Sea. Croatia through its Environmental Protection and Energy Efficiency Fond (hereinafter EPEEF) applied for a GEF grant in the amount of $ to support above mention objectives. The indicated amount is envisaged for both Croatia and BiH. The proposed Project seeks to accelerate the implementation of the Mediterranean SAPs (SAP BIO and SAP MED) adopted under the Barcelona Convention in the Adriatic, and of Bosnia and Herzegovina's and Croatia's National Action Plans, in coherence with European Union (EU) accession policies and Directives, in synergy with EU investment facilities, and UNEP MAP actions and policies. As such, it is a constitutive component of the wider Adriatic Sea Environment Programme (hereinafter ASEP), whose ultimate objective is to reduce pollution loads in hotspots of the Adriatic Sea to restore ecosystem functioning. The Project will promote accelerating and scaling up partnership investments of the World Bank (hereinafter WB) and other International Financial Institutions (IFIs) that aim to support sustainable development and protection of the Adriatic Sea. The proposed project is consistent with national priorities and plans. The Project will also facilitate the progress of BiH towards the compliance with relevant EU Directives and policies. The Project fully adheres to the principles, requirements and targets of the Mediterranean Strategy for Sustainable Development, adopted in 2005, in particular objectives of the priority area Promoting sustainable management of the sea and coastal zones and taking urgent action to put an end to the degradation of coastal zones, and to the initiatives to introduce the Ecosystem Approach (EcAp) adopted by the parties to the Barcelona Convention. The Project s development objectives are to reduce the discharge of pollutants with transboundary importance, particularly nitrogen, in selected hot-spots of the Eastern Adriatic Sea, and improve regional capacity for project preparation and environmental monitoring of sensitive areas. The project implementation would be assigned to the Project Management Unit (PMU) established in the MoFTER. Since specific investments are not known in advance, environmental screening, assessment and management must be incorporated in sub-project preparation. For the investments that will be identified during Project implementation, the environmental and social requirements of both, BiH and the World Bank which is providing assistance to the Government of BiH for ASEPCP, will apply. This document presents the Environmental and Social Management Framework (ESMF) for the ASEPCP that serves as a tool to screen the sub projects (investments and technical assistance) and presents a unified policy and procedure to be followed. It reflects the environmental and social regulatory requirements of BiH, as well as the safeguard policies and procedures of the World Bank. The 8

9 document is intended to provide guidelines to the PMU, municipalities and municipal companies in relation to decision making, proper planning and implementation monitoring. 1.2 Project Overview The proposed Project would be implemented as a pilot under the broader Adriatic Sea Environment Program, focusing on supporting preparation and implementation of already identified priority pollution reduction measures and strengthening the institutional framework for protection of the ecological balance in target hotspots on the Eastern shore of the Adriatic Sea. It would involve implementation of selected demonstrative priority pollution control investment sub-projects and regional Technical Assistance (TA), to address key issues affecting the environmental sustainability of the Adriatic Sea, including: municipal wastewater and solid waste treatment; protection of karstic groundwater; improvement of coastal water monitoring, and preparation of investments. The project has two main components: Component 1 (i) Provision of equipment to enhance the capacity of Hrvatske Vode laboratory to monitor coastal water quality; (ii) Solid waste leachate treatment facilities in Zadar landfill Dilklo (Croatia) to reduce the transfer of pollution to the sea through karstic groundwater systems; and (iii) Upgrading a current solid waste leachate treatment lagoon in Mostar landfill Uborak (BiH) to high load activated sludge to reduce the transfer of pollution to the sea through karstic groundwater systems and the Neretva River basin. Component 2 (iv) (v) (vi) An assessment of nutrient discharges in selected areas of Croatia s coast (to assess relative sources of nutrients, including point and non-point sources, and draft proposals for their reduction in the Northern Dalmatia, which covers the entire Zadar County and northern part of the Sibenik-Knin County, and in the Neretva Delta area, in Dubrovnik- Neretva County and BiH Neretva s basin), as well as to provide an analysis of the policy, legal and/or institutional reforms that are needed to address related water quality problems, incorporating Integrated Coastal Zone Management (ICZM) principles, and contributing to national plans for implementation of ICZM protocol to Barcelona Convention and EU Marine Framework Directive; Preliminary designs and project documentation, including preparation of tender documentation to access EU funds, for investments in wastewater and leachate treatment to comply with EU requirements in Croatia (cities considered are Zadar and Novigrad in Zadar County, Skradin in Sibenik-Knin County and Ploce in Dubrovnik- Neretva County); and Preliminary designs and project documentation, including preparation of tender documentation to access EU funds, for investments in wastewater and solid waste leachate treatment to comply with EU requirements in Bosnia and Herzegovina (cities considered are Trebinje and Gacko in Eastern Herzegovina, Livno, Glamoc and Posusje in Western Herzegovina, and Neum on the Adriatic coast). NOTE: Although above indicated components include sub projects in Croatia, this ESMF will only deal with the investments and technical assistance in BiH. A separate ESMF will be prepared for Croatia s investments and technical assistance. 9

10 2 NATIONAL AND WB ENVIRONMENTAL POLICIES RELEVANT FOR THE PROJECT This section provides an analysis of WB and BiH requirements and processes for Environmental Impact Assessment (EIA) including: The review of environmental legislation (particularly any environmental impact assessment regulations) of the cantonal, entity or state government level in BiH to establish its procedures regarding environmental screening, EA document requirements and content, EA review and approval procedures, and requirements for EA consultation and disclosure; The review of WB safeguards policies and procedures, particularly OP/BP/GP 4.01 (Environmental Assessment), and documentation regarding public consultation and public disclosure requirements. In addition, the section provides basic information on main provision of waste and wastewater legislation. 2.1 Relevant Environmental and Social Policies and Procedures EA is a process whose depth and type of analysis depend on the nature, scale and potential environmental impact of the proposed project. It: Evaluates a projects potential environmental risks and impacts in its area of influence; Examines project alternatives; Identifies ways of improving project selection, siting, planning, design and implementation by preventing, mitigating or compensating for adverse environmental impacts and enhancing the positive impacts; and Includes the process of mitigating and managing adverse environmental impacts throughout the project implementation. Depending on the project, a range of instruments can be used to satisfy national or WB requirements: Environmental Impact Assessment (EIA), regional or sectoral EA, Environmental Management Plan (EMP) and Environmental and Social Management Framework (ESMF), Strategic Environmental and Social Assessment (SESA), environmental audit, and hazard or risk assessment. EA applies one or more of these instruments, or elements of them, as appropriate. EIA is an instrument to identify and assess the potential environmental impacts of a proposed project, evaluate alternatives and design appropriate mitigation, management and monitoring measures. Projects and sub-projects need EIA to address important issues not covered by any applicable regional or sectoral EA. EMP is an instrument that details: (i) the measures to be taken during the implementation and operation of a project to eliminate of offset adverse environmental impacts, or to reduce them to acceptable levels; (ii) the actions needed to implement those measures. ESMF is an instrument that examines the issues and impacts associates when a project consists of a program and/or series of sub-projects and the impacts cannot be determined until the program or sub-project details have been identified. The ESMF sets out the principles, rules, guidelines and procedures to assess the environmental and social impacts. 10

11 2.1.1 EA Process in BiH Considering its constitutional organization, BiH consist of two entities (Federation of BiH and Republika Srpska), and Brcko District (BD) as an administrative unit. At the level of BiH, the MoFTER is responsible for the implementation of multilateral and bilateral international treaties and conventions on environmental protection. Competencies regarding environmental issues are divided between the entities and BD. In Federation of BiH (FBiH), the authorizations in regards to environmental issues are divided between the Federal and Cantonal Ministries (Federal Ministry of Environment and Tourism (FMoET) and the ministries of spatial planning and environmental protection in cantons). In Republika Srpska (RS), considering its organizational structure, competencies are divided between the entity Ministry of Physical Planning, Civil Engineering and Ecology (MoPPCEE) and local self government units. Considering that the ESMF is focused on potential project sites (both for physical investments and TA) including Mostar on the Neretva river, Trebinje and Gacko in Eastern Herzegovina; Livno, Glamoc and Posusje in Western Herzegovina, and Neum on the Adriatic coast which are located outside the BD, the regulations of the BD will not be analysed in the document. The Environmental Assessment (EA) in both entities needs to be implemented within the procedure of issuance of Environmental Permit (EP). Federation of BiH EA process in the FBiH is regulated by the Law on Environmental Protection (Official Gazette of FBiH, No. 33/03 and 38/09). Additionally, this matter is regulated in the Regulation on Plants and Facilities Subject to Obligatory Environmental Impact Assessment, and Facilities Allowed to be Constructed and Commissioned Only if Granted Environmental Permit (Official Gazette of FBiH, No. 19/04). The Regulation provides a list of activities and industrial facilities subject to mandatory EIA and permitting procedures at FBiH level (under jurisdiction of FMoET), as well as activities and facilities which undergo individual evaluation concerning the EIA requirement (for certain plants and facilities FMoET determines on case to case basis if the EIA is required or not). If such individual evaluation shows that no EIA is required, the FMoET issues an EP based on the documents already submitted (Request/Application for issuing of EP), unless the given activity or facility is completely exempt from environmental permitting. When evaluating the EIA requirement, the FMoET takes into account individual project characteristics (industrial plant/facility size, waste generation, pollution, etc.), project location and environment sensitivity, as well as characteristics of potential impacts (impact extent, probability, etc.). Some cantons also have their own environmental laws and bylaws, i.e. implementing regulations on the activities and facilities which can be operated only with a valid EP. For activities or facilities with parameters below the thresholds defined by the FBiH Regulation on Plants and Facilities Subject to Obligatory Environmental Impact Assessment, and Facilities Allowed to be Constructed and Commissioned Only if Granted Environmental Permit 1, unless deemed exempted, the EP is issued by the cantonal Ministry of Environment in charge. 1 Official Gazette of FBiH, No. 19/04 11

12 However, no EIA procedure is conducted at canton level 2, i.e. facilities and activities are subject to direct permitting based on evaluation of basic information provided within permit applications. In all other aspects, the environmental legislation of the cantons resembles that of the FBiH legislation. Considering that potential project sites in FBiH envisages Livno, Glamoc, Posusje, Mostar and Neum, and the fact that the cantons in FBiH have the authority to regulate environmental issues, EIA process in these sites is additionally regulated with following laws and bylaws: Regulation on Plants and Facilities Subject to Obligatory Environmental Impact Assessment, and Facilities Allowed to be Constructed and Commissioned Only if Granted Environmental Permit of Canton 10 (Official Gazette of Canton 10, No. 7/05 and 12/08), Regulation on Plants and Facilities Subject to Obligatory Environmental Impact Assessment, and Facilities Allowed to be Constructed and Commissioned Only if Granted Environmental Permit of Herzegovina-Neretva Canton (Official Gazette of Herzegovina-Neretva Canton, no. 1/05), and Regulation on Plants and Facilities Subject to Obligatory Environmental Impact Assessment, and Facilities Allowed to be Constructed and Commissioned Only if Granted Environmental Permit of West Herzegovina Canton (Official Gazette of West Herzegovina Canton, no. 2/06).. Based on the abovementioned, in the FBiH, wastewater treatment plants which treat over PE are subject to EIA and the EP is issued by the FMoET. Wastewater treatment plants with capacity from to PE are subjected FMoET s evaluation whether EIA is needed or not. If evaluation shows that EIA is not needed, EP is issued by the FMoET based on Request/Application for issuing the EP. Wastewater treatment plants < PE are subject to cantonal regulations. The list of wastewater investments and landfill investments requiring mandatory EIA before issuance of EP in accordance with the regulation of FBiH, is presented in Table 1. Table 1: List of wastewater investments and landfill investments requiring mandatory EIA in the FBiH Type of Project Mandatory EIA EIA is performed on the basis of the evaluation of the FMoET Environmental permitting is carried out by the competent cantonal ministry Plants for waste disposal for: Waste incineration Chemical treatment Disposal of hazardous waste Municipal waste incineration plants Plants for biological and physical-chemical treatment of non-hazardous waste for the purposes of further disposal with a capacity greater than 50 t/day Landfills receiving more than 10 t/day or with a total capacity greater than t, excluding inert waste landfills 2 With the exception of Herzegovina-Neretva Canton, whose legislation allows for the Canton MoE to decide if an EIA is to be made for certain types of activities and facilities, as a prerequisite to environmental permitting. 12

13 Type of Project Mandatory EIA EIA is performed on the basis of the evaluation of the FMoET Environmental permitting is carried out by the competent cantonal ministry Inert waste landfills with capacity from m 3 of the total volume or the surface from 4 ha or more WWTP capacity over PE Plants for biological and physical-chemical treatment of non-hazardous waste intended for further disposal, with capacity greater than 10 t/day Landfills receiving more than 5 t/day or with a total capacity greater than t, excluding inert waste landfills Inert waste landfills with capacity from m 3 of the total volume or of the surface from 2 ha or more WWTP capacity over PE Plants for biological and physical-chemical treatment of non-hazardous waste intended for further disposal, with capacity from 2 to10 t/day Landfills receiving less than 5 t/day or with a total capacity from to t, excluding inert waste landfills Inert waste landfills with capacity from to m 3 of the total volume or the surface from 0,5 to 2 ha Slag disposal sites with a total capacity from to t Storage of scrap iron, including car wrecks, with capacity from to t / year WWTP capacity to PE (only in HNC; this provision does not exist in legislation of WHC and Canton 10) NOTE: In this table, the list of investments (projects) for which environmental permitting procedure carried out by the competent cantonal ministry refers only to provisions prescribed by the legislation of HNC, WHC and Canton 10. However, these provisions may slightly differ in other cantons, therefore, for potential investments in other cantons this list needs to be updated. An assessment procedure for plants and facilities which require mandatory EIA begins with the submission of the Request (application) for Preliminary Environmental Impact Assessment (PEIA). Based on PEIA, the FMoET either issues a Decision on EP, or makes a Conclusion on the development of the Environmental Impact Study (EIS). EIS has to be performed by the institution which possesses licence from the FMoET, which enables it to perform an EIS. After submission of the EIS, the FMoET make it available to the public, informs and invites the public to discuss the EIS, and appoints the expert committee to review the submitted EIS. After conducting the public hearing and after positive evaluation of the expert committee, the FMoET issues a Decision on EP. Law on Environmental Protection 3 prescribes provisions for 3 Official Gazette of FBiH, No. 33/03 and 38/09 13

14 which cases a Decision on EP will not be issued and in such cases, the procedure is terminated. For the plants and facilities for which the EIA is carried out based on the evaluation of the FMoET, the EA procedure begins by preparation and submission of the Request for EP to the competent Ministry, and the Ministry submits the Request along with the attachments to the competent authorities and stakeholders for the purpose of receiving opinions and suggestions from the public and the stakeholders. While reviewing the Request for the EP, the Ministry takes into account the following criteria: Project characteristics (size, accumulation of other structures, use of natural resources, waste generation, pollution emission and interferences, the risk of accidents, etc.) Project location and environmental sensitivity of geographical areas likely to be affected by the project (existing land use, availability, quality and regenerative capacity of natural resources, absorption capacity of the natural environment: wetlands, coastal zones, protected areas, etc.) Characteristics of potential impacts (extent of impact, impact of the transboundary nature, size and complexity of the impact, impact probability, duration, frequency and reversibility). If it is determined that the EIS is not necessary, FMoET shall issue the EP. Otherwise, the FMoET issues the Decision on the necessity of carrying out the EIS. The development of the EIS includes the obligation to conduct a public discussion, and the evaluation of the EIS is carried out by the expert commission appointed by the Minister. The procedure of environmental permitting for plants and facilities that do not require EIA, and for which the FMoET issues the EP, begins with the submission of the Request for EP to the FMoET, which issues the EP within 120 days from the date of submission of the application. At the cantonal level, plants and facilities allowed to be constructed and commissioned need to prepare the Request for EP based on the applicable cantonal regulations. The Request is submitted to the competent cantonal ministry, which has an obligation to publish the Request on the website of the ministry, and to deliver the copies of the Request to the public and the stakeholders for comments and suggestions. Republika Srpska Like the FBiH Law, the Law on Environmental Protection of RS (Official Gazette of RS, No. 71/12), and the applicable by-laws - Decree on Installations Which Can be Constructed and Commissioned Only if Granted Environmental Permit (Official Gazette of RS, no. 70/06), and Guidelines on the EIS Content (Official Gazette of RS, no. 118/05), regulate obligatory EIA procedure and environmental permitting for all facilities potentially endangering the environment. This legislation specifies the EIA documentation contents, environmental permit application contents, as well as the whole procedure including disclosure, public participation and the involvement of other entity or a neighbouring state in the case of possible trans-boundary impacts. The key provisions of this Law, including those on EIA, are equivalent to the provisions of the FBiH Law. Decree on Projects Subject to EIA procedure and Criteria for Screening and Scoping (Official Gazette of RS, No. 07/06) and Decree on Plants and Facilities that Can be Constructed and Commissioned only if Granted Environmental Permit (Official 14

15 Gazette of RS, No. 07/06) list industrial plants, facilities and projects with substantial negative environmental impacts that are subject to mandatory EIA as a part of the environmental permitting procedure. Like in the FBiH, existing facilities and operations are addressed by the Regulation on Applications for Environmental Permits for Plants and Facilities Holding Permits Granted before the Law on Environmental Protection Came into Force (Official Gazette of RS, No. 24/06), which regulates the applications for EPs. Authorized ministry in the RS, which approves and issues EPs is the MoPPCEE. In applicable regulations in the RS, obligations for preparation of an EIA are set in similar way as it is regulated in FBiH. Projects for which the EIA is mandatory and the for which the MoPPCEE decides a EIA is necessary are regulated in the abovementioned Decree on Projects Subject to EIA procedure and Criteria for Screening and Scoping and Decree on Plants and Facilities that Can be Constructed and Commissioned only if Granted Environmental Permit 4. The list of wastewater investments and landfill investments requiring mandatory EIA before issuance of EP in accordance with the regulation of RS, is presented in Table 2. Table 2: List of wastewater investments and landfill investments requiring mandatory EIA in the RS Plants for waste disposal for: Waste incineration Chemical treatment Disposal of hazardous waste Municipal waste incineration plants Type of Project Plants for biological and physical-chemical treatment of non-hazardous waste for the purposes of further disposal with a capacity greater than 50 t/day Landfills receiving more than 10 t/day or with a total capacity greater than t, excluding inert waste landfills Inert waste landfills with capacity from m 3 of the total volume or the surface from 4 ha or more WWTP capacity over PE Plants for biological and physical-chemical treatment of non-hazardous waste intended for further disposal, with capacity greater than 10 t/day Landfills receiving more than 5 t/day or with a total capacity greater than t, excluding inert waste landfills Inert waste landfills with capacity from m 3 of the total volume or of the surface from 2 ha or more WWTP capacity over PE Mandatory EIA EIA is performed on the basis of the evaluation of the MoPPCEE NOTE: For the facilities below the thresholds listed in the Decree on Plants and Facilities that Can be Constructed and Commissioned only if Granted Environmental Permit and the facilities not listed in the Decree, the EP is issued by the body responsible for environmental protection within the local self government unit. 4 Both Decrees - Official Gazette of RS, No. 07/06 15

16 The Procedure for the PEIA starts by submitting the request to the MoPPCEE. The MoPPCEE decides on the Request for the PEIA with the Decision of the development of the EIA for projects listed in the Decree on projects requiring the EIA taking into account: Particular sensitivity of the project environment, Special environment protection measures for the project area, Significant impact of the project on the environment of other entity, Brčko District and other state. The MoPPCEE decides on the scope of the impact assessment for each individual case, taking into account set of criteria. Also, the MoPPCEE has an obligation to provide a copy of the Request for review to: the authority responsible for physical planning in the local government body, administrative bodies and organizations responsible for protection of the elements of the environment and inter-entity body, if it is a project that may have an impact on the environment of other entity, BD and other state. After reviewing the received opinions, the MoPPCEE issues the Decision defining the obligation of the applicant to conduct the EIA and provide the EIS or determines that the Assessment and the EIS are not necessary and issue EP. If the Decision prescribes the need to carry out the EIA and the EIS, the second phase of the EIA begins for the project owner. If it is determined that the project location is in the area under specific protection regime, either based on the Water Law (water protection zone), or the Law on Nature Protection, the assessment is required to verify the compliance of the activities with the protection regimes and potential impacts. For projects not requiring the assessment and the EIS, the Preliminary Assessment Phase is concluded with the Decision on the EIA nonnecessity, and the project owner further submits the EP request. For projects requiring the EIA, the project owner is obliged to develop and submit the EIS to the MoPPCEE. The scope and the content of the EIS are defined by the Decision of the Ministry, and the integral part of the Study must be the opinion of the interested public, received during the first phase (the Preliminary EIA). In the process of the EIS approval, the project owner provides insight into the EIS for the interested public and organizes a public discussion. After this step and the audit of the EIS performed by the expert committee, appointed by the Minister, the MPPCEE shall issue the decision on approving or rejecting the EIS. Decree on Plants and Facilities that Can be Constructed and Commissioned only if Granted Environmental Permit (Official Gazette of RS, No. 07/06) regulates list of projects that do not reach the prescribed threshold, and which may have significant impact on the environment and are allowed to be constructed and commissioned only if provided with the EP. The project owner submits Request for EP and Document of Proofs based on which the MoPPCEE issues EP. In 2012, RS has adopted new Law on Environmental Protection of RS (Official Gazette of RS, no. 71/12), for which the applicable bylaws are yet to be published. Given the fact that the RS needs to adopt new bylaws regarding the implementation of the Law on Environmental Protection of RS, it may not be ruled out that the new bylaws will impose different obligations 16

17 and standards in regards to the issuance of the EP and the obligations related to the needs of developing EIA's. However, considering the content of the new Law on Environmental Protection of RS, it is less likely that there will be significant changes in the process, requirements and obligations for development of EIA in the fore coming period relevant for the implementation of the Project World Bank Procedures All WB financed projects are subject to the WB safeguard policies and procedures, particularly OP/BP/GP 4.01 EA and documentation regarding public consultation and public disclosure requirements which describes instruments and procedures for eliminating negative economic, social and environmental issues that may arise. EA of the proposed project is a process whose breadth, depth, and type of analysis depend on the nature, scale, and potential environmental impact. It evaluates a project's potential environmental risks and impacts; examines project alternatives; identifies ways of improving project selection, sighting, planning, design, and implementation by preventing, minimizing, mitigating or compensating for adverse environmental impacts; and enhancing positive impacts. EA considers the environmental components (e.g. air, water, and land), human health and safety, social aspects (population resettlement, indigenous population and physical cultural resources), trans-boundary and global environmental aspects (climate changes), variations in project and country conditions (e.g. findings of country environmental studies; national environmental action plans; the country's overall policy framework; national legislation; institutional capabilities related to the environment; and relevant international environmental treaties and agreements). WB undertakes environmental screening of each proposed project to determine the appropriate extent and type of EA. The WB classifies the proposed project into one of four categories, depending on the type, location, sensitivity and scale of the project; and the nature and magnitude of its potential environmental impacts. The ASEPCP (I) has been classified as a Category B whereas its potential adverse environmental impacts on human populations or environmentally important areas, including wetlands, forests, grasslands and other natural habitats, are less adverse than those of Category A projects. These impacts are site-specific with few if any, irreversible and in most cases mitigation measures can be designed more readily than for Category A projects. The scope of EA for a Category B project may vary from project to project, but it is narrower than that of Category A EIA. EIA examines the project's potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate or compensate for adverse impacts whilst improving environmental performance. The EMP represents the essential part of the EA documents for B Category projects. For many B Category projects, a stand-alone EMP may be sufficient. As stated in the paragraph 8 of the Operational Policy (OP) EA, the WB undertakes the screening of each proposed project to determine the appropriate extent and type of the EA. For the Category B, WB applies different instruments to satisfy the WB requirements for the environmental assessment: environmental audit, hazard and risk assessment, environmental management plan, environmental and social management framework. Besides OP/BP 4.01 Environmental Assessment, other WB safeguards policies and procedures related to the environment protection and the social aspects are given below: 17

18 OP 4.07 Water Resource Management; OP/BP 4.11 Physical Cultural Resources; OP 7.50 Projects on International Waterways; OP Disclosure policy Operational Policy OP Water Resources Management Bank involvement in water resources management entails support for providing potable water, water supply and sewerage projects, flood control, and water for productive activities in a manner that is economically viable, environmentally sustainable, and socially equitable. The Bank supports projects for avoiding water logging and salinity problems associated with irrigation investments by (i) monitoring water tables and implementing drainage networks where necessary, and (ii) adopting best management practices to control water pollution. It also supports projects establishing strong legal and regulatory frameworks to ensure that social concerns are met, environmental resources are protected, and monopoly pricing is prevented. The Bank requires legislation or other appropriate arrangements to establish effective coordination and allocation procedures for interstate water resources. Operational Policy OP/BP 4.11 Physical Cultural Resources This policy addresses physical cultural resources, defined as movable or immovable objects, sites, structures or groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings, and may be above or below ground, or under water. Their cultural interest may be at the local, provincial or national level, or within the international community. Impacts on physical cultural resources resulting from project activities, including mitigating measures, may not contravene either the borrower s national legislation, or its obligations under relevant international environmental treaties and agreements. The borrower addresses impacts on physical cultural resources in projects proposed for WB financing, as an integral part of the EA process. If the EMP is prepared, the Physical Cultural Resources Management Plan is the integral part of it and it includes measures for avoiding or mitigation of any adverse impacts on physical cultural resource, provisions for management measures in case physical cultural resource is encountered throughout the project implementation, as well as necessary measures to strengthen the institutional capacity, and monitoring system to monitor the progress of the activities concerned. This management plan must be consistent with the country s overall policy framework and national legislation and take into account institutional capabilities with regard to physical cultural resources. Operational Policy OP 7.50 Projects on International Waterways This policy applies to the following types of international waterways: any river, lake, canal, or similar water body that forms a boundary between, or any river or surface water body that flows through, two or more states; any tributary or other surface water body that is a component of any waterway described in (a) above; and 18

19 any bay, gulf, strait, or channel bounded by two or more states or, if within one state, recognized as a necessary channel of communication between the open sea and other states-and any river flowing into such waters. This policy applies to the following types of projects: hydroelectric, irrigation, flood control, navigation, drainage, water supply and sewerage, industrial, and similar projects that involve the use or potential pollution of international waterways, and detailed design and engineering studies of projects under a) above. The Bank requires that the international aspect of a project on an international waterway is dealt with at the earliest possible opportunity. If such a project is proposed, the Bank requires the beneficiary state, if it has not already done so, to formally notify the other riparian states of the proposed project and its project details (see BP 7.50, para. 3). If the prospective borrower indicates to the Bank that it does not wish to give such notification, the Bank normally does it itself. If the borrower objects to such Bank's action, the Bank discontinues the processing of the project proposal. OP Disclosure policy Supports decision making by the borrower and the WB by allowing the public access to information on environmental and social aspects of projects mandated by six safeguard policies that have specific requirements for disclosure, inter alia, mandated by Operational Policy (OP) EA. Safeguard Policies Restrictions Category A activities will not be financed through the project. A proposed sub-project is classified in this category, if it is likely to have highly significant, diverse, and/or long-term adverse impacts on human health and natural environment the magnitude of which is difficult to determine at the sub-project identification stage. These impacts may also affect an area broader than the sub-project sites. Measures for mitigating such environmental risks may be complex and costly. OP/BP 4.12 Involuntary Resettlement. The project would not trigger OP Therefore, no potential beneficiaries can participate in the project if they would need land acquisition for the activities to be supported under this project even if obtained before the loan for the specific purpose of the activities proposed to be financed by the loan. Rehabilitation and reconstruction (which could involve demolition of no longer suitable structure and construction of a new one) of existing buildings within the same footprint would be permissible. If reconstruction would exceed footprint of existing structure in any way, the PMU and municipalities must ascertain that any additional land used is unencumbered (i.e. no squatters or encroachers or not requiring the eviction of anyone resident in such property) and provide proof in form of pictures and ownership title. The municipalities should verify for each sub project the unencumbered status of the property prior to approving any sub-project which could raise such issues. Also, the representatives of the PMU need to review the project location prior to approving of subproject. 19

20 2.1.3 Differences between WB Legislation and Legislation of BiH The environmental laws the FBiH and RS provide an adequate framework to carry out environmental activities and it will generally be possible to comply with WB requirements. A brief summary report comparing environmental requirements of BiH and the WB for planned landfill and WWTPs associated investments and TAs is presented in the following sections through the: a) Investment Preparation: Project Screening Procedures, Content of EA Documentation Disclosure, Consultation Procedures and Permit, Institutional EA Review, Approval and Environmental Permitting, and Effluent Standards/Guidelines; b) Investment Implementation: Mitigation Plan, Monitoring Plan, Institutional Responsibilities and Arrangements for Environmental Management (data collection, data analysis, report preparation and dissemination, environmental management decision making), Permits and Licensing. The BiH E(I)A process is based on the EP, which is in turn a requirement for other necessary permits (such as the Urban Consent in the FBiH or Construction Permit in the RS). The steps required for obtaining an EP are laid during both categorization and screening. Some of the investments to be identified after starting the implementation of the ASEPCP (I) might be small-scale projects and national legislation would only require application (Request) for permits (EP, Urban Consent, Construction Permit, etc.), which can be obtained irrelevant of whether an EIS is produced. Considering these specific circumstances, it is anticipated that the requirements of the WB with regards to specific components of the EA process will be more stringent in practice. However, these more stringent requirements can be easily incorporated into the overall BiH EIA process. The borrower and other agencies implementing the project are responsible for satisfying these specific requirements of the WB at certain points. It may be considered that requirements for EIA in BiH, are to a large extent similar to the requirements of the WB; however, even though there are much similarities between these two systems, there are also certain amount of differences between the systems which are presented in the Table 3 below. Table 3: Comparison of WB and BiH EA requirements Issue BiH requirements WB requirements Screening Significant impacts Categorization and screening is based on lists of Installations and facilities 5 requiring EP obtained through either an EIA or without EIA Cat I: Installations and facilities to be assessed for their impact on environment requiring full EIA. In this case, the EIA is a requirement for obtaining an EP. Screening is based on type, location, sensitivity, and scale of the proposed project identifying key issues including any resettlement, indigenous people and cultural property concerns Category A: Projects likely to have significant adverse environmental impacts that 5 Regulation on Plants and Facilities Subject to Obligatory Environmental Impact Assessment, and Facilities Allowed to be Constructed and Commissioned Only if Granted Environmental Permit (Official Gazette of FBiH, No. 19/04); Decree on Installations Which Can be Constructed and Commissioned Only if Granted Environmental Permit (Official Gazette of RS, no. 70/06) and Decree on Projects Subject to EIA procedure and Criteria for Screening and Scoping (Official Gazette of RS, No. 07/06) 20

21 Issue BiH requirements WB requirements The EIA study needs to include the results of the PEA. The study also needs to incorporate the comments and suggestions of governmental and nongovernmental organizations as well as the results of public consultations. are sensitive (irreversible). Moderate impacts Cat II: FMoET /MoPPCEE screens the project and decides whether an EIA is required. The by-law defines facilities/installations which undergo screening and criteria for screening such as size, cumulative impact, use of natural resources, sensitivity, etc. Cat B: Projects with environmental impacts less adverse than those of Cat A. Low or no impacts Cat III: Installations and facilities not requiring a full EIA and for which an EP is issued by the Ministry Cat IV: All facilities and installations with threshold levels below the threshold regulated in the applicable by-law. The EP for this types of category is issued by the Cantonal Ministry responsible for environmental issues in the FBiH or department for environmental issues of local self government units in the RS. Cat C: Projects with minimum or no adverse impact. Other None List of activities not eligible for financing by the WB. Specific requirements for projects related to waste water treatment EA Documentation / Document Content Transboundary environmental impacts WWTP with a capacity exceeding PE WWTP with a capacity from to PE WWTP with a capacity below PE Projects which require an EIA (Cat I): Phase I: A request (written application) for PEIA needs to be submitted by the project developer (borrower) to the competent ministry in order to determine the scope of the EIA study. Phase II: The Ministry defines the content and scope of the EIA based on the results of the PEIA. Projects for which the competent ministry decides whether an EIA is necessary (Cat II): Activities in this category also undergo a PEIA, where the content of the request and document submitted is identical to that of projects which require an EIA. Projects which do not require EIA (Cat III): Activities in this category submit the Request for EP. Projects which do not require an EIA projects with threshold levels below the threshold regulated in the entity by-law (Cat IV): Content of the request and other associated documents need to be reviewed by the Cantonal Ministry responsible for environmental issues in the FBiH or department for environmental issues of local self government units in the RS., for every project. For all projects and installations/facilities that may have negative transboundary (including inter-entity The category is assigned based on screening. Large projects with potential significant impacts are assigned Cat A. Small-size projects and/or rehabilitation or reconstruction projects usually fall under Cat B. Cat A: Full EA is required, normally an EIA. The EMP is an essential part of the EA. Cat B: Scope of EA narrower than Cat. A project. Usually just an EMP is required. Environmental considerations are either incorporated in project documents or are included in a separate report. The Concept Review decides the scope of the EMP and whether any additional environmental requirements are necessary. Category C: No EA is required. No action is required beyond screening. Notification of riparians may be required if international 21

22 Issue BiH requirements WB requirements boundary) environmental impacts the following are required by the entities Law on Environmental Protection: - The EIA report needs to have a special chapter containing information on possible transboundary environmental impacts. - A notification needs to be sent to other relevant entity (RS of FBiH or BD) or foreign state authorities, containing: (i) description of the project with the available information on the possible transboundary impact, (ii) Information on possible decision, (iii) the period within which the other entity or state may define the level of involvement in the (P)EIA process. The above measures need to be in taken only if there are negative transboundary impacts. waterways are involved. Consultations Disclosure EA Review and Approval Public consultation is the responsibility of the competent authority. Cat I: Public consultation should take place after the draft EIA study is submitted. The public consultation is also required during the PEIA phase. The authorized ministry will decide whether a second consultation is required and therefore the borrower needs to consult the Ministry beforehand. Cat II: Depending on the screening results, Cat II is re-categorized either as Cat I or Cat III and will thus inherit the requirements of these categories. Cat III and Cat IV: For projects for which EIA is not required consultation is carried out once, during the EP issuing procedure. Transboundary impacts: In case of negative transboundary (including inter-entity boundary) environmental impacts, the representatives and the public of the entity/foreign state have the right to participate in the consultation process. Cat I and Cat II: For Projects for which the EIA is requested or may be requested on the basis of the decision of authorized ministry, PEIA Report (which is the result of the PEIA request submitted) is disclosed prior to consultation (in this phase 15 days are allowed for comments in the FBiH and 30 days in the RS). For all projects requiring EIA, and those projects for which the authorized ministry decided that require an EIS (following the PEIA), a ministry sends a copy of the EIS to relevant authorities and other interested parties, allowing 30 days for receiving comments to the report. Cat III and Cat IV: For projects not requiring EIA, Request for issuing an EP (and relevant documents) must be accessible by the public, whereby 30 days are allowed for comments. Depending on the type of project, authorized entity/cantonal ministry reviews and approves EIA report and EP request or just EP request in case EIA is not required. The borrower is required to consult project affected groups and local NGO s about the project s environmental aspects and take their views into account. For Category A projects, the borrower consults these groups at least twice: (i) shortly after environmental screening and before the terms of reference for the EA are finalized; and (ii) once a draft EA report is prepared. For Category B projects at least once during the EA process. Cat A: Borrower provides for the initial consultation a summary of the proposed project s objectives, description, and potential impacts. After draft EA report is prepared, the borrower provides a summary of the EA s conclusions. The borrower makes the draft EA report available at a public place (in local language). Category B: Separate Category B reports are to be made available to local NGOs and affected groups (local language). The disclosure process is complete only after the EA report is officially received by the WB. Before formal clearance of environmental aspects of the project, the WB reviews the results of the EA (especially consultations, EMP and institutional capacity), 22

23 Issue BiH requirements WB requirements ensuring that the EA report is consistent with the ToR. Licensing/ Permitting Effluent standards/ Guidelines Mitigation Plan Monitoring Plan New construction projects: The following permits are required (each being a requirement for the next) for new construction projects: EP (for installations and facilities listed in the entities (and cantonal in case of the FBiH) bylaws); Urban Consent/Location Conditions; Construction Permit; Usage Permit. Reconstruction/Rehabilitation projects: The following permits are required for reconstruction/rehabilitation projects: EP; Urban Consent /Location Conditions; Construction Permit; Usage Permit. During the issuing of environmental and urbanism permits for all categories, other permits may be required for reference by the relevant entity, cantonal or municipal authorities issuing the permits (e.g. Water Permit, etc.). The EP contains the prescribed limit values for pollutant emissions. These values are regulated in the entities by laws. For WWTP projects: Decree on Conditions for Discharging Wastewater Into Natural Recipients and Public Sewer Systems (Official Gazette of FBiH, no. 04/12); Rulebook on the Requirements for Discharging Wastewater Into the Public Sewer of RS (Official Gazette of RS No. 44/01); Rulebook on the Requirements for Discharging Wastewater Into Surface Waters of RS (Official Gazette of RS No. 44/01) Entity regulation pertaining environmental standards (waste and water sector) is listed in Chapter 2.2. In the case of any chance finds of cultural heritage structures, the municipal authorities and the Entity or Canton Agency in charge should be notified without delay. Works on the location of concern must cease until clearance or particular instructions are obtained from the Agency. For projects requiring EIA, mitigation measures are prescribed in the EIS which is also included in the EP. For other categories requiring an EP, measures for protection of air, water, soil, flora and fauna and solid waste management measures are included in the permit itself. These measures can be considered as mitigation measures. Authorized ministry may require the preparation of a monitoring plan during preparation of EIA. A Self-monitoring plan is included in the EP. Besides self-monitoring, the Law on Environmental Protection of F BIH states that, monitoring of installations and None Emission levels acceptable to the WB are given in the Pollution Prevention and Abatement Handbook (PPAH) 6 Mitigation measures are included in the EMP. Obligation to carry out the EMP and additional conditions/measures under the EMP need to be included in the loan conditions. Monitoring plan is included in the EMP. 6 PPAH is available at: 23

24 Issue BiH requirements WB requirements facilities by authorized institutions will be carried out every 3 years, in order to ensure that the requirements of the EP (monitoring and other issues) are satisfied. In RS, periods of monitoring determines the authorized body which has issued the EP. Other environmental laws (e.g. Law on Air Protection, Law on Water Protection etc.) also specify the required monitoring procedures to be carried out by authorized institutions. Permits and licensing during implementation In FBiH and RS, EP is reissued every 5 years or earlier if found necessary by the authorized entity ministry. None In Table 4 below a comparison of a WB, FBiH and RS requirements regarding EA document content is presented (considering that only Category B and Category C sub-projects shall be considered eligible for financing, only category B requirements regarding EA document are shown). Table 4: Comparison of WB and BiH EA Document Content Requirements WB FBiH RS Cat B (sub)projects Many (sub)projects only EMP containing : mitigation plan monitoring plan institutional strengthening measures implementation schedule indication of associated costs + Optional, as applicable: Project description Baseline data Description of environmental impacts Cat C (sub)projects No EA required. i) Preliminary environmental impact assessment (PEIA) Request for PEIA with the following contents to be submitted to FMoET: (Sub)project description including information about the location, purpose and size of facility Description of measures to prevent or mitigate possible negative impacts Information required for identification and assessment of basic environmental impacts Description of alternatives Copy of spatial plan for the location Non-technical summary ii) EIA Based on PEIA findings, if deemed necessary, FMoET determines EIS scope and specific contents. Minimum EIS content: Project description Description of environment that might be endangered by the project Description of potential significant environmental impacts Description of impact mitigation measures Description of alternatives Non-technical summary Description of difficulties encountered during preparation of the EIA i) Preliminary environmental impact assessment (PEIA) Request for PEIA with the following contents to be submitted to MoPPCEE: (Sub)project description including information about the location, purpose and size of facility Description of potential environmental impacts Description of measures to prevent or mitigate possible negative impacts Description of alternatives Copy of spatial plan for the location Description of difficulties encountered in data collection Non-technical summary ii) EIA If deemed necessary, MoPPCEE determines EIS scope and specific contents. Minimum EIS content: Description of location Description of environmental baseline conditions Project description Description of potential environmental impacts Description of impact mitigation measures Description of impact monitoring measures and activities Description of alternatives considered 24

25 WB FBiH RS If applicable, potential impacts on environment of RS, BD, other country Request for EP Name and address of operator Description of location with copy from physical planning documents Description of installation/facility Description of primary and secondary raw materials, substances and energy used by installation/facility Sources of emissions State of the project location Types and levels of emissions, key environmental impacts Proposed measures and technologies for prevention or reduction of emissions from the installation, waste minimization measures Proposed measures during decommissioning and other measures Proposed measures for monitoring of emissions and/or their impacts Description of alternatives Copies of requests for other permits Non-technical summary Waste Management Plan Description of difficulties encountered in data collection Non-technical summary If applicable, potential impacts on environment of FBiH, BD, other country Request for EP Information on the installation/facility, the responsible person and the location Description of installation/facility Description of primary and secondary raw materials, substances and energy used by installation/facility Sources of emissions State of the project location Types and levels of emissions in all parts of environment (air, water, soil), key environmental impacts Proposed measures and technologies for prevention or reduction of emissions from the installation Proposed measures during decommissioning and other measures Proposed measures for monitoring of emissions and/or their impacts Description of alternatives Waste Management Plan Non-technical summary Institutional Strengthening Institutional responsibilities and arrangements are described in Chapters 5 and 6 of this ESMF. The institutional strengthening presented in Table 5 is proposed for the PMU staff and representatives of each municipality / municipal (public utility) company appointed for work on the sub-project. Table 5: Proposed institutional strengthening Type of training Attendees Purpose Duration Start/end dates Venue Institute of organization to provide training Training on essential environmental issues of concern and screening procedure Training on national legislation/standards and international good practices Training on environmental monitoring PMU staff and representatives of each municipality / municipal (public utility) company appointed for work on sub-project Support for efficient screening, management and monitoring Two to four segments, 2-3 days each To be decided. Training should be provided at least two months prior to the Project implementation start. Depends on the number of attendees Local organizations and consultants with adequate knowledge of EA issues 25

26 Topics to be covered Training methods Training material Requirements of applicable legislation Importance of environmental protection Environmental Screening Environmental impacts Environmental protection measures Importance of monitoring and the ways to conduct it The training should be organized to include theoretical lectures, but to focus on active participation and interaction of the trainees, coupled with specific project examples. In this manner the attendees would be stimulated to implement the knowledge gained at this training in a group learning environment. It is recommended to prepare simple handbooks with training material 2.2 Relevant Environmental and Social Legislation in BiH The BiH wastewater and waste technical guidelines are described in the legislation listed below Waste Sector Legislation Federation of BiH Law on Waste Management (Official Gazette of FBiH No. 33/03 and 72/09) Rulebook on Categories of Waste with Lists (Official Gazette of FBiH, No. 9/05); Rulebook on Issuing Permits for Activities of Small Business Enterprises Dealing with Waste Management (Official Gazette of FBiH, No. 9/05); Rulebook on the Necessary Requirements for Assigning Rights from Manufacturers and Vendors to System Operators for Waste Gathering (Official Gazette of FBiH, No. 9/05); Rulebook on Handling of Hazardous Waste not Included in the List of Waste Materials or Containing an Unknown Substance (Official Gazette of F BiH, No. 9/05); Rulebook on the Contents of the Plan for Adjusting Waste Management in Terms of Existing Waste Treatment or Deposition Plants and on activities Undertaken by the Competent Authority (Official Gazette of FBiH, No. 9/05); Decree on Financial Guarantees for Insuring Transboundary Waste Transport (Official Gazette of FBiH, No. 9/05); Rulebook on Operating Conditions for Waste Incineration Plants (Official Gazette of FBiH, No. 12/05); Decree on the Mandatory Submission of the Annual Report on Meeting the Requirements set out in the Water Management Permit (Official Gazette of FBiH, No. 31/06); Decree on Selective Collection, Packaging and Labelling of Waste (Official Gazette of FBiH, No. 38/06); Decree on Financial and Other Guarantees for Covering Costs Related to Risks of Possible Damages, Rehabilitation and Processes after Closure of Landfills (Official Gazette of FBiH, No. 39/06); Rulebook on the Form, Contents and Process of Notification, Carried out by the Manufacturer, of Important Product Characteristics and Packaging (Official Gazette of FBiH, No. 6/08); Rulebook on Medical Waste Management (Official Gazette of FBiH No. 77/08); 26

27 Rulebook on Animal Waste and other Non-hazardous Natural Materials That Can be Used in Agriculture (Official Gazette of FBiH, no. 8/08); Rulebook on Packaging and Packaging Waste Management (Official Gazette of FBiH, No. 88/11, 28/13); Rulebook on Management of Waste Electrical and Electronic Equipment (Official Gazette of FBiH, No. 87/12) Republika Srpska Law on Waste Management (Official Gazette of RS, No. 53/02 and 65/08) Rulebook on the Contents of the Adaptation Plan for Existing Plants and Waste Management Devices and on Activities Undertaken by the Competent Authority (Official Gazette of RS, No. 39/05); Rulebook on Types of Waste and Waste Management Operations that Require a Permit (Official Gazette of RS, no. 39/05 and 3/07); Rulebook on Categories of Waste with a Catalogue (Official Gazette of RS, No. 39/05); Rulebook on Categories of Waste, Characteristics for Identifying Hazardous Waste, Component Recovery Operations and Waste Disposal (Official Gazette of RS No. 39/05); Rulebook on Operating Conditions for Waste Incineration Plants Official Gazette of RS No. 39/05); Rulebook on Transport of Hazardous Waste (Official Gazette of RS No. 86/05); Decree on Financial Guarantees for Insuring Transboundary Waste Transport (Official Gazette of RS No. 86/05); Rulebook on Financial Guarantees for Insuring Transboundary Waste Transport (Official Gazette of RS No. 39/05); Rulebook on the Necessary Requirements for Assigning Rights from Manufacturers and Vendors to the Legal Person Responsible for the Waste Gathering System (Official Gazette of RS No. 118/05); Rulebook on Medical Waste Management (Official Gazette of RS, No. 90/06); Decree on Management of Packaging and Packaging Waste Official Gazette of RS, No. 50/11); Rulebook on Minimisation of Packaging Waste (Official Gazette of RS, No. 46/12) Water and Waste Water Sector Legislation Federation of BiH Law on Waters (Official Gazette of FBiH, No. 70/06) Decree on the Classification of Waters and Coastal Sea Water of Yugoslavia Within the Water Boundaries of SR BIH (Official Gazette of SR BiH, no. 18/07); Decree on the Categorization of Water Flow (Official Gazette of SR BiH, no 42/678); Decree on Harmful and Hazardous Substances in Water (Official Gazette of FBiH, no. 43/07); Rulebook on the Manner of Calculating, Procedures and Deadlines for Calculating, Paying and Controlling the Settling of Liabilities Based on General Water Fees and Special Water Fees (Official Gazette of FBiH, no. 92/07, 46/09, 79/11 and 88/12); Decision on Boundaries of River Basins and Water Districts on the Territory of FBiH (Official Gazette of FBiH, no. 41/07); 27

28 Decision on the Rate of Special Water Fees (Official Gazette of FBiH, no. 46/07); Rulebook on the Contents, Form, Requirements, Manner of Issuance and Maintenance of Water acts (Official Gazette of FBiH, No. 6/08, 57/09, 72/09 and 68/12); Rule book on Conditions and Criteria That Must be Met by Legal Entities for Preparation of Documentation that Serves as a Basis for Issuance of Water Acts (Official Gazette of FBiH, No. 17/08 and 38/12); Rulebook on the Contents and Manner of Maintaining Logs and on Submission of Data About Quantities of Abstracted Water (Official Gazette of FBiH, No. 83/08); Rulebook on the Manner of Defining Boundaries of Water Resources and on the Process of Determining Whether a Cadastral Plot Belongs to Public Water Resources (Official Gazette of FBiH, No. 26/09); Rulebook on the Manner and Requirements for Limiting Rights to Use Public Water Resources (Official Gazette of FBiH, No. 26/09); Rulebook on Procedures and Measures in the Event of Water and Coastal Water Accidents (Official Gazette of FBiH, No. 71/09); Rulebook on Determining Areas Subject to Eutrophication and Sensitive to Nitrates (Official Gazette of FBiH, No. 71/09); Rulebook on Monitoring Areas Subject to Eutrophication and Sensitive to Nitrates (Official Gazette of FBiH, No. 71/09); Rulebook on Establishing and Managing a Water Information System (Official Gazette of FBiH, No. 77/09); Decree on the Types and Contents of Protection Plans Against Harmful Effects of Water (Official Gazette of FBiH, no. 14/10); Rulebook on the Requirements and Criteria that Must be Met by a Specialized and Authorized Legal Person for Implementing Measures for the Purpose of Eliminating or Preventing Water Pollution in the Event of Unexpected Pollution or Danger of Unexpected Water Pollution and on the Manner of Granting Such Authorization (Official Gazette of FBiH, no. 06/11); Decree on Conditions for Discharging Wastewater Into Natural Recipients and Public Sewer Systems (Official Gazette of FBiH, no. 04/12); Rulebook on the Requirements for Defining Sanitary Protection Zones and Protection Measures for Water Sources that are Used or are Planned to be Used for Drinking (Official Gazette of FBiH, No. 88/12) Rulebook on Requirements that Must be Met by Authorized Laboratories for Testing Water and on the Contents and Manner of Granting Authorizations (Official Gazette of FBiH, No. 14/10 and 14/13); Rulebook on Determination of Environmentally Acceptable Water Flow (Official Gazette of FBiH, No. 14/13). Republika Srpska Law on Waters (Official Gazette of RS No. 50/06, 92/09) Decree on the Classification of Water and Categorization of Water Flow (Official Gazette of RS No. 42/01); Rulebook on the Requirements for Discharging Wastewater Into the Public Sewer of RS (Official Gazette of RS No. 44/01); Rulebook on the Requirements for Discharging Wastewater Into Surface Waters of RS (Official Gazette of RS No. 44/01); 28

29 Rulebook on the Requirements that Must be Met by Water Management Laboratories Acting as Legal Persons or Acting within Legal Persons that Conduct Certain Types of Surface, Ground and Wastewater testing (Official Gazette of RS No. 44/01); Rulebook on the Treatment and Disposal of Wastewater in Towns and Residential Areas with no Public Sewer (Official Gazette of RS No. 68/01); Rulebook on Protection Measures, Manner of Defining and Maintaining Sanitary Protection Zones and Strips, Areas with Springs as well as Water Facilities and Water Intended for Human Use of RS (Official Gazette of RS No. 7/03); Rulebook on the Manner of Maintaining River Beds and Water Grounds (Official Gazette of RS No. 34/03 and 22/06); Decision on Defining Boundaries of River Basin Districts and Basins on the Territory of RS (Official Gazette of RS No. 98/06); Decree on the Manner in which the General Public Participates in Water Management (Official Gazette of RS No. 35/07); Decree on Rates of Special Water Fees (Official Gazette of RS No. 53/11); Decree on the Manner, Procedure and Deadlines for Calculating and Paying Special Water Fees (Official Gazette of RS No. 53/11, 16/12, 44/13); Rulebook on the Manner of and Methods for Defining the Pollution Level of Wastewater as a Basis for Defining the Water Fee (Official Gazette of RS No. 79/11, 25/12 and 36/12); Other relevant legislation Environmental and other laws and decrees that may be relevant to the realization of the specific sub-projects Federation of BiH Law on Concessions (Official Gazette of FBiH, No. 40/02 and 61/06); Law on Air Protection (Official Gazette of FBiH, No. 33/03 and 4/10); Law on Nature Protection (Official Gazette of FBiH, no. 33/03); Law on Environmental Protection Fund of FBiH (Official Gazette of FBiH, No. 33/03); Law on Inspections of the FBiH (Official Gazette of FBiH, No. 69/05); Law on Freshwater Fishing (Official Gazette of RS, No. 64/04); Law on Physical Planning and Land Use of FBiH (Official Gazette of FBiH, No. 2/06, 72/07, 32/08, 4/10, 13/10); Law on Agriculture (Official Gazette of FBiH, No. 88/07, 4/10); Law on Agricultural Land (Official Gazette of FBiH, No. 52/09); Law on Geological Research (Official Gazette of FBiH, No. 9/10); Law on National Park Una (Official Gazette of FBiH, No. 44/08); Law on Mining (Official Gazette of FBiH, No. 26/10); Law on Protection from Noise (Official Gazette of FBiH, No. 110/12); Decree on Single Methodology for Preparation of Documents Related to Spatial Planning (Official Gazette of FBiH, No.63/04); Decree on Forests of the FBiH (Official Gazette of FBiH, No. 83/09, 26/10, 38/10); Decree on Building Structures and Interventions Important for FBiH and on Building Structures, Actions and Interventions that Can Largely Affect Environment, Life and Health of People in FBiH, for which the Urban Development Permit is Issued by the Federal Ministry of Spatial Planning (Official Gazette of FBiH, No. 85/07 and 29/08) 29

30 Republika Srpska Law on Geological Research (Official Gazette of RS, No. 51/04 and 75/10); Law on Concessions (Official Gazette of RS, No. 25/02, 91/06 and 92/09); Law on Agriculture (Official Gazette of RS, No. 70/06, 20/07, 86/07, 71/09); Law on Agricultural Land (Official Gazette of RS, No. 93/09, 86/07, 71/09); Law on Forestry (Official Gazette of RS, No. 75/08); Law on Nature Protection (Official Gazette of RS, No. 113/08); Law on Chemicals (Official Gazette of RS, No. 25/09); Law on Biocides (Official Gazette of RS, No. 37/09); Law on Physical Planning and Construction (Official Gazette of RS, No.55/10); Law on National Parks (Official Gazette of RS, No. 75/10); Law on Environmental Protection Fund of RS (Official Gazette of RS, No. 117/11); Law on Air Protection (Official Gazette of RS, No. 124/11); Law on Fishing (Official Gazette of RS, No. 72/12); Law on National Park Kozara (Official Gazette of RS, No. 121/12); Law on National Park Sutjeska (Official Gazette of RS, No. 121/12); Decree on Forests (Official Gazette of RS, No. 83/09, 26/10 and 38/10); Decree on the Red List of Endangered Species of Flora and Fauna of the RS (Official Gazette of RS, No. 124/12). Cultural heritage legislation In the FBiH, protection of cultural and historical heritage is still addressed through the Law on Protection of Cultural-Historical Heritage (Official Gazette SR BiH No. 20/85). In accordance with this Law, an Agency for the Protection of Cultural-Historical and Natural Heritage of BiH was initially formed and has later been transformed into the Federal Institute for Cultural- Historical Monuments and Natural Rarities Protection and the Republic Institute for Cultural- Historical and Natural Heritage Protection. Following the Dayton Peace Accord the cantons within FBiH have formed their own Institutes for the Protection of Cultural Heritage. In the RS, Law on Cultural Assets (Official Gazette of RS, No. 11/95, 103/08) replaced the 1985 Law in the RS jurisdiction. This Law is similar to the old Law from SR BiH and therefore, the legislation in RS and FBiH is considered compatible in this respect. A state-level BiH Commission for National Monuments Preservation has also been established in the course of Dayton Peace Accord in The Commission draws on inputs from the Entity Agencies and passes official decisions on the protection of individual cultural heritage structures or assets. A list of all the structures in BiH with official protection status is available from the Commission. The individual decisions for each structure define specific protection measures and the related restrictions to be observed. The Agencies mentioned above are involved in the processes of environmental impact assessment and the issuance of environmental permits. If a project is not going to impact the cultural-historical heritage structures, then the sole obligation for the investor is to notify the municipal authorities and the relevant Agency in case of any chance finds of cultural heritage structures. Although it is not expected within the ASEPCP (I), in the case that a proposed (sub) project entails: i) any works on officially protected cultural heritage structures; ii) works in proximity of such structures, i.e. within define protection zones; or iii) works on locations with a substantiated likelihood of cultural heritage chance finds; a special prior permit must be 30

31 obtained from the FBiH Ministry of Spatial Planning or RS MoPPCEE to proceed with works. Their decision will be based on consultations with the corresponding Agencies as the principal institutions with relevant knowledge and expertise on cultural heritage. If no permit is deemed necessary by the FBiH Ministry of Spatial Planning, official clearance and authorisation allowing works to commence may still be required from the Cantonal Agency in charge. Where issued, a decision may describe clear caution and protection measures to be observed during works Legal Framework Regarding Social Matters Constitutional documents Constitution of BiH The Constitution of BiH was agreed in 1995 between the parties to the General Framework Agreement for Peace in BiH, i.e. the Dayton Peace Agreement, and forms its Annex 4. The Constitution has a strong human rights component as provided by its Article 2, according to which: BiH and its Entities shall ensure the highest level of internationally recognized human rights and fundamental freedoms, The rights and freedoms set forth in the European Convention for the Protection of Human Rights and Fundamental Freedoms and its Protocols shall directly apply in BiH. These shall have priority over in implementation over national legislation, The right to property is listed as one of thirteen fundamental human rights protected under the Constitution. Constitution of the FBiH The Constitution of FBiH was adopted in 1994 (with later amendments in 1994, 1997, 2002 and 2003). Although more elaborate than the Constitution of BiH, the Constitution of the FBiH generally follows that of BiH. Its article II A. 2 guarantees citizens of the FBiiH the highest level of internationally recognized rights and freedoms. Constitution of the RS The Constitution of RS was adopted in 1992 (with later amendments in 1994, 1996, 2002 and 2009). The Constitution of RS also generally follows that of BiH. Its Article 5 guarantees citizens of RS protection of human freedoms and rights in accordance with international standards. Article 54 specifies that All forms of ownership shall enjoy equal legal protection, while Article 56, paragraph 1 specifies that ownership rights may be limited or revoked by law, subject to fair compensation. Land Acquisition and Resettlement In BiH, expropriation, i.e. acquisition of real property in public interest, is regulated at the entities level and the BD. The FBiH and RS laws are to a great extent harmonized, especially with regard to the expropriation procedure and grievance management. FBiH Expropriation Law 31

32 In FBiH, expropriation is regulated by The Expropriation Law of FBiH (Official Gazette of FBiH, No. 70/07 and 36/10), whereas the implementation of expropriation procedures is dealt with by municipal administrations. The Expropriation Law regulates the conditions (establishing public interest), the procedure for expropriation of real property for construction of facilities in the public interest and the compensation for expropriated property. It also addresses the issues of grievances and disputes handling, and, to a limited extent, compensation eligibility. RS Expropriation Law The current Expropriation Law of the RS has been in force since 2006 (Official Gazette of RS, No. 112/06, 37/07 and 110/08). This Law regulates the conditions (establishing public interest), the procedure for expropriation of real property for construction of facilities and carrying out works in public interest and the compensation for expropriated property. It also addresses the issues of grievances and disputes handling, and, to a limited extent, compensation eligibility. Other Project Relevant Regulations Law on Legal Ownership Relations of FBiH The Law on Legal Ownership Relations adopted in 1998 (Official Gazette of FBiH, No. 6/98) and amended in 2003, regulates the conditions and manner of acquiring, using, protecting and termination of ownership rights, usufruct rights, lien rights, possession and ownership rights of foreign nationals in the Federation of BiH. The Law emphasizes that ownership rights may only be limited or taken away in public interest, stating that the owner is entitled to full compensation in such cases (Article 6). The most significant provisions of this Law concerning expropriation are the articles which allow for the legalization of most illegally erected structures as long as the conditions set in the law are met. Law on Real Property Rights of RS The Law on Real Property Rights in RS was adopted in 2008 (Official Gazette of RS, No. 124/ 08). It regulates the property acquisition, use, disposal, protection and termination of ownership rights, and other real property rights. The most significant provisions of this Law concerning expropriation are the articles which allow for the legalization of most illegally erected structures as long as the conditions set in the law are met, which should be the case for many such structures. Law on Construction Land of FBiH The Law on Construction Land of FBiH was adopted in 2005 (published in Official Gazette of FBiH, No. 67/05). Article 61 allows for the legalization of illegally constructed structures on construction land in state ownership on which a structure has been built. This article enables the subsequent issuing of a permit for construction by the Municipal Council in accordance with the Law on Physical Planning and Use of Land in FBiH. 32

33 Article 16 allows the Municipal Council to expropriate city construction land in private ownership in the process of expropriation; the rights of the previous owner are regulated in detail by Article 20. Law on Construction Land of RS The Law on Construction Land of RS was adopted in 2006 (Official Gazette of RS, No. 112/06). The Law allows the expropriation of construction land in accordance with the Law on Expropriation of RS and the Law on Transfer of Real Property of RS. Law on Agricultural Land of FBiH The Law on Agricultural Land of FBiH was adopted in 2009 (Official Gazette of FBiH, No. 52/09). According to the Law, state-owned agricultural land cannot be sold but only given as lease, concession and replacement, exclusively for establishment of primary agricultural production. Law on Agricultural Land of RS The Law on Agricultural Land of RS was adopted in 2006 (Official Gazette of RS, No. 93/06, 86/07 and 14/10). Although the Law prohibits the use of agricultural land for non-agricultural purposes, it exceptionally allows the expropriation of such land if public interest has been established for the construction of facilities in defined areas (including communal infrastructure). Agricultural land owned by the RS can be made available to legal entities and individuals in form of lease, agricultural land business or concession to legal entities, exclusively for establishment of primary agricultural production. Regulations for Legalisation of Illegal Constructions In the FBiH, legalization of illegally constructed buildings is usually regulated by decrees taken at cantonal level, and implemented at municipality level. These decrees stipulate the conditions and procedures applicable to the legalization of illegally constructed structures. In the RS, legalisation is regulated by Entity regulations (Regulation on Legalisation of Illegally Built Structures). The regulations above regulate the process, requirements and the method of legalisation of illegally built structures and illegal works, as well as settlement of the legal status of temporary structures. 2.3 WB Environmental, Health and Safety (EHS) Guidelines The World Bank Group, which includes International Bank for Reconstruction and Development (IBRD) and International Finance Corporation (IFC) has developed Environmental, Health and Safety (EHS) Guidelines 7. The EHS Guidelines are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP). These contain the performance levels and measures that are normally acceptable to the Group, and that are generally considered to be achievable in new facilities at reasonable costs by existing technology. Application of the EHS Guidelines to existing facilities may involve the establishment of site-specific targets with an appropriate 7 Available at: bility+framework/environmental%2c+health%2c+and+safety+guidelines/ 33

34 timetable for achieving them. The environmental assessment process may recommend alternative (higher or lower) levels or measures, which, if acceptable to the Bank, become project- or site-specific requirements. Specific to ASEPC project following guidelines should be used when and if applicable: General EHS Guidelines Environmental o Wastewater and Ambient Water Quality o Water Conservation o Waste Management o Noise Occupational Health and Safety o General Facility Design and Operation o Communication and Training o Personal Protective Equipment (PPE) o Monitoring Community Health and Safety o Water Quality and Availability o Traffic Safety o Emergency Preparedness and Response Construction and Decommissioning o Environment o Occupational Health and Safety o Community Health and Safety Industry Sector Guidelines o Waste Management Facilities o Water and Sanitation 34

35 3 SUMMARY OF CURRENT STATUS OF POTENTIAL (KNOWN) INVESTMENTS AND TA Preliminary designs and project documentation, including preparation of tender documentation to access EU funds, for investments in wastewater and leachate treatment to comply with EU requirements in BiH will be prepared for: In the FBiH: Mostar in Herzegovina-Neretva Canton, Livno and Glamoc in Canton 10, Posusje in Western Herzegovina Canton, and Neum on the Adriatic coast (also Herzegovina-Neretva Canton); In the RS: Trebinje and Gacko in Eastern Herzegovina. These are tentative investments and their participation in the project will be confirmed during project negotiations. In addition to TA the project will finance a demonstration investment (leachate treatment plant) on the new part of the Mostar landfill. The current status of preparedness of these projects is shown in table form in Annex 6. 35

36 4 DETERMINING ENVIRONMENTAL AND SOCIAL DUE DILLIGENCE All sub-projects to be financed under the ASEPCP (I) should be subjected by PMU to an environmental review process consisting of the procedures described in this ESMF. The PMU and municipal companies should use these procedures in reviewing and appraising sub projects, and to inform municipalities or municipal companies of environmental requirements for sub project appraisal, so that sub-projects can be implemented in an environmentally sound manner. These procedures and requirements incorporate environmental and social legislation, as well as construction laws and by-laws of the FBiH and RS, and the WB safeguard policies 8. The ASEPCP (I) will finance two types of sub-projects: a) technical assistance sub projects and b) investments sub-projects. The project will solely finance two direct demonstration investments due to rather small amount of the GEF grant. One will be in Bosnia and Herzegovina and other in Croatia. At this stage of the project preparation some of the sub-projects are already known and some are tentative. The screening refers to deciding what new type of EA should be undertaken as part of preparation of technical documentation for future investments. The list bellow indicates sub-projects to be included in the project. Table 6: List of specific sub-projects to be financed under the Project Sub-project Sub-project description / intervention type Certainty of sub project location Component 1 Demonstrative investments Equipment for Hrvatske Vode laboratory Different land laboratories or on sea for sea monitoring (Croatia) laboratories (research ships) Solid waste leachate treatment facility in New: Zadar landfill Diklo Croatia (including EA/EMP) Solid waste leachate treatment facility in Upgrade: New part of Mostar landfill BiH (including EA/EMP) Component 2 - Technical assistance Assessment of nutrient discharges (in Different type of studies Croatia) Supervision of solid waste leachate treatment facility in BiH (Mostar landfill) Monitoring of the water quality before and after installation of solid waste leachate treatment facility in BiH (Mostar landfill) Technical documentation (EU financing) and supporting studies for wastewater and solid waste leachate treatment in Croatia Technical documentation (EU financing) and supporting studies for wastewater Supervision of construction works Installation of 2 additional piezometers and monitoring of water quality before and after commissioning of the new part of Mostar landfill Upgrades: Ploce, Novigrad, Skradin Wastewater treatment plants and leachate treatment systems: Livno, Glamoc, Confirmed Confirmed Confirmed Partially confirmed, opened for new applications Proposed Proposed Partially confirmed, opened for new applications Partially confirmed, 8 World Bank Safeguard Policies - Environmental Policies, Social Policies, Legal Policies and Bank Disclosure Policy; 36

37 and solid waste leachate treatment in BiH Posusje and Neum in the FBiH and Trebinje and Gacko in the RS opened for new applications The procedures essentially consist of Environmental Screening process, EA document preparation and consultation, Environmental Management Planning (EMP) and monitoring of compliance with the plan of actions recommended for controlling and mitigating environmental risks. 1) The Environmental Screening will be carried out by the PMU at an early stage in subprojects review to determine the appropriate environmental due diligence documents required for the proposed sub-projects. Based on the outcome of screening, the scope of an EA will be determined for the sub-projects. 2) The municipalities / municipal (or public utility) companies will be responsible for preparing the required EA and confirming that any clearances necessary for the proposed sub-projects are obtained from the competent authorities as prescribed by the relevant national legislation and that is in line with the World Bank procedures as described in this document. The municipalities / municipal (or public utility) companies will firstly comply with the national legislation and then based on the gap analysis update the documents to align with WB safeguards procedures described in this ESMF. Once the EA is performed, public consultation done and recommendations incorporated into the sub project, the PMU will appraise the proposed sub-project package and prepare it for financing by the WB or other international financial institutions (IFIs). 3) The EMPs will be implemented by the contractor and supervised directly by municipalities / municipal (or public utility) company supervising engineer. The implementation of the EMPs will also be monitored by the PMU which will be in charge for review, approval, and supervision process. The scope of EIA, where needed, is prescribed by the Laws on Environmental Protection of the FBiH 9 and RS 10 and relevant cantonal Laws (in the FBiH). The scope of the EIA would be supplemented with the EMP. EMP should be prepared according to the WB safeguards policy OP 4.01 (see Annex 7). The overall environmental procedures applied to the sub-project cycle and responsibilities of key parties are described in detail below. 4.1 Environmental Screening Environmental Screening is the first step in the environmental due diligence process of reviewing the sub-project applications. Its purpose is to determine whether the sub-project is eligible for support under the World Bank projects or financing by other IFIs (the planned subprojects will be prepared for financing either by the WB or other IFIs). In particular, it determines the environmental risk associated with the proposed sub-project and identifies the type of environmental due diligence documentation necessary for the project implementation. 9 Official Gazette of FBiH, No. 33/03, 38/09 10 Official Gazette of RS, No. 71/12 37

38 Sub-projects which are unacceptable due to the nature of the proposed activities will be rejected Project Screening Procedures The ASEPCP (I) has been classified as a Category B. Any project that would fall under Category A (although not envisaged) would be excluded from the financing. These would be projects that would have highly significant, diverse, and/or long-term adverse impacts on human health and natural environment the magnitude of which is difficult to determine at the sub-project identification stage. These impacts may also affect a wider area than the subproject sites. As the project is planning to support solely upgrades of existing waste water treatment plant or landfills, category A projects are not envisaged. Table 7 identifies the most common types of investments and TAs planned under project (WWTPs and landfills) that may come into the sub project application. For those types of investments, the WB environmental category and the national environmental due diligence categories were identified. All those investments, specified in the legislation of the FBiH or RS that require EIA, are considered as Category A projects. The majority of investments identified in Table 7 represent Category B classification. These are usually rehabilitations or an upgrade of the existing facilities. If any of the projects defined in Table 7 are located in a nature protected area or are directly impacting on such an area, the project will be classified as Category A. Table 7: Environmental Screening Matrix WWTP rehabilitation Construction of new WWTP Investment type a) WWTP capacity > 50,000 PE b) WWTP capacity 10,000-50,000 PE c)wwtp capacity < 10,000 PE a) WWTP capacity > 50,000 PE b) WWTP capacity 10,000-50,000 PE Institution WB Entity FBiH Canton RS WB FBiH Entity Category / requirement For a) Category A / E(I)A For b) and c) Category B / EA containing only EMP For a) and b) AP&EP (if not previously environmental permitted) For c) AP & EP in HNC, otherwise EA with EMP AP&EP (if not previously environmental permitted) For a) Category A / E(I)A For b) and c) Category B / EA For a) EIA For b) FMoET will determine on case to case For a) EIA Harmonization - outcome For b) If WWTP operation is to be restarted after investment / if not previously environmental permitted, AP + EP according to FBiH/RS requirement, updated by the EMP For c) If WWTP operation is to be restarted after investment / if not previously environmental permitted, AP + EP only for investments in HNC, updated by the EMP, otherwise EA with EMP For a) EIA For b) Competent ministry will determine on case to case basis whether the EIA is necessary, if not EA with EMP 38

39 Landfills Legend: Investment type c)wwtp capacity < 10,000 PE a) Landfills receiving more than 10 t/day or with a capacity greater than 25,000 t, excluding landfills of inert waste b) Landfills receiving more than 5 t/day or with a capacity greater than 10,000 t, excluding landfills of inert waste c) Landfills receiving less than 5 t/day or with a capacity from 2,000 to 10,000 t, excluding landfills of inert waste Category / Institution requirement basis whether the EIA is necessary, if not - EA with EMP For c) Some cantons in the FBiH - EA with EMP HNC EA with EMP for WWTPs capacity 1,000 - Canton 10,000 PE WWTPs are not regulated under cantonal regulations of WHC and Canton 10 For a) EIA For b) MoPPCEE will determine on case to case RS basis whether the EIA is necessary, if not EA with EMP WB For a) Category A / E(I)A For b) and c) Category B / EA For a) EIA For b) FMoET will determine on case to case Entity basis whether the FBiH EIA is necessary, if not - EA with Canton EMP For c) EA with EMP RS For a) EIA For b) MoPPCEE will determine on case to case basis whether the EIA is necessary, if not EA with EMP Harmonization - outcome For c) EA with EMP For a) EIA For b) Competent ministry will determine on case to case basis whether the EIA is necessary, if not EA with EMP For c) EA with EMP AP - Adaptation Plan, i.e. a plan of activities for adjusting to best practices, based on international Best Available Techniques (BAT); this is a prerequisite to obtain an environmental permit for continuation of operation. An adaptation plan contains information comparable to that of an EIA; however, it focuses on improvements in existing facilities to meet acceptable environmental standards EA - Environmental Assessment EIA - Environmental Impact Assessment EMP Environmental Management Plan EP - Environmental Permit/Permitting FMoET Federal Ministry of Environment and Tourism 39

40 Category / Investment type Institution Harmonization - outcome requirement HNC - Herzegovina-Neretva Canton MoPPCEE Ministry of Physical Planning, Construction Engineering and Ecology of the RS PE water pollution load expressed as "Population Equivalents WB The World Bank WHC West-Herzegovina Canton WWTP - Waste Water Treatment Plant Categorisation of Proposed Sub-projects PMU would closely work with municipalities and municipal companies on environmental due diligence documents and provide suggestions / advices accordingly. Whether a full-scale EIA or a simplified EA (EIA, EMP, EMP checklist) is required will be determined by PMU or competent ministry based on screening process. Considering that ASEPCP (I) is expected to have the small number of sub-projects, WB will provide support to PMU for every sub project (the WB environmental specialist will provide support to the PMU environmental specialist in the screening process). The PMU will first determine the sub-project category and environmental category of the subproject. The proposed sub-project should be classified depending on the type, location, sensitivity, and scale of the sub-project and the nature and magnitude of its potential environmental impacts. Table 8: Proposed categorisation of sub-projects 11 Subproject No: Project component and Subproject Component 1 Demonstrative investments 1 Solid waste leachate treatment plant in BiH (Mostar landfill) Component 2 - Technical assistance 2 Supervision of solid waste leachate treatment plant in BiH (Mostar landfill) 3 Monitoring of the water quality before and after installation of solid waste leachate treatment plant in BiH (Mostar landfill) 4 Technical documentation (EU financing) and supporting studies for waste water investments and solid waste leachate treatment in BiH Environmental category Category B Category C Category C Category B Description Construction of WWTP on the new part of Mostar landfill that is not yet commissioned Supervision of construction works Installation of 2 additional piezometers and monitoring of water quality before and after commissioning of the new part of Mostar landfill Technical documentation (feasibility studies, preliminary designs and project documentation, E(I)A, permits) for specific investment project financing for waste water treatment plants and solid waste leachate treatment plants 11 The table lists the proposed sub-projects to be implemented in BiH. The proposed sub-projects in Croatia are listed in the separate ESMF prepared for Croatia s investments and technical assistance. 40

41 Subproject No: Project component and Subproject Environmental category Category C Description Supporting documentation that include different reviews of existing documentation, updating plans, etc. Sub-project No.1 - Solid waste leachate treatment No more than two proposed sub-projects related to solid waste leachate treatment (Mostar in BiH and Zadar in Croatia) would be financed within the ASEPCP (I). Those fall under Category B, as the impacts are expected to be beneficial for the environment. The adverse impacts are site-specific and irreversible impacts are not expected to occur. In most cases mitigation measures can be designed easily. The sub projects would only finance leachate treatment construction, rehabilitation or upgrading on the existing landfills, therefore minimizing the impact of the whole landfill on the environment Law on Environmental Protection of the FBiH 12 defines significant changes to existing plants and installations for which the EIA is required: Increase of more than 25% in production, energy use, use of water, land use, emissions and waste generation; Increase of more than 25% in the last ten years in production, energy use, use of water, land use, emissions and waste generation. For the sub-project No.1 - Solid waste leachate treatment facility in BiH following steps are envisaged: 1) Public utility company needs to request opinion from the competent ministry whether for this upgrade of the landfill EIA is required or not (PUC Deponija Uborak-Mostar obtained EP (No. UP-I/ /07 SN) issued by FMoET on 08 June EP is valid for 5 years; however, PUC Deponija needs to clarify if the construction of the WWTP will result in increase of more than 25% in installation for which the EP was granted); 2) If the EIA is required by the competent ministry, the public utility company needs to engage in hiring a licensed consultant to prepare EIA according to procedures of the FBiH and/or Herzegovina-Neretva Canton (HNC). The public utility company will share the ToR for EIA, which will be updated to comply with the OP i.e. to include EMP. 3) If the EIA is not required by the competent ministry, the public utility company needs to prepare EA with the EMP according to World Bank procedures. If the competent ministry confirms that the EIA is required, the ToR for EIA will be updated to include the EMP. The development of the EIS will be financed by this project under technical assistance component. The demonstration draft of Mostar EMP will be prepared with this ESMF based on the available information; however the EMP will updated later on during the project preparation/implementation, in the process of preparing EIS; if EIA needed. 12 Official Gazette of FBiH, No. 33/03, 38/09 41

42 Sub-project No.2 - Supervision of solid waste leachate treatment plant in BiH (Mostar landfill) This project envisages the supervision of construction works during construction of solid waste leachate treatment plant on Mostar landfill. The project itself would fall under Category C, since environmental impacts are expected to be negligible. However, the supervision of the construction will contribute that activities on construction and installation of solid waste leachate treatment plant are performed in environmentally sound manner and that potential adverse environmental impacts are avoided or minimised. The PMU will participate in preparation of the ToR while the WB environmental specialist will do a prior review and advise accordingly. Sub-project No.3 - Monitoring of the water quality before and after installation of solid waste leachate treatment plant in BiH (Mostar landfill) This sub-project includes installation of 2 additional piezometers (2 piezometers already exist in the wider area of the landfill) and monitoring of water quality before and after commissioning of the new part of Mostar landfill. The type of analysis envisaged under this sub-project would include performing water quality monitoring in order to establish baseline prior to commissioning of the landfill. After commissioning, regular monitoring of water quality is envisaged. This project would fall under Category C. The PMU will participate in preparation of the ToR while the WB environmental specialist will do a prior review and advise accordingly. Sub-project No.4 - Technical documentation (EU financing) and supporting studies for waste water investments and solid waste leachate treatment The project would finance both technical documentation and supporting documents for the waste water investments and solid waste leachate treatment plants. This documentation would be prepared together with the application for EU financing. Under this sub-project Category B and Category C projects are expected: Category B projects would include preparation of technical documentation (feasibility studies, preliminary designs and project documentation, E(I)A, permits) for specific investment related to waste water treatment plants and solid waste leachate treatment plants. For this sub-projects following steps are envisaged: 1) The municipality or municipal (public utility) company needs to provide information on the proposed project presented in Questionnaire for TAs (see Annex 3) to PMU; 2) If not explicitly regulated in legislation on entity of cantonal level, the municipality or municipal (public utility) company needs to request opinion from the competent ministry whether for this investment preparation of EIA is required; 3) If EIA is required, the municipality or municipal (public utility) company needs to engage in hiring a licensed consultant to prepare EIA according to relevant procedures in the FBiH or RS. The municipality and /or municipal (public utility) company will share the ToR for EIA, which will be updated to comply with the OP i.e. to include EMP. 4) If the EIA is not required by the competent ministry, the municipality or municipal (public utility) company needs to prepare EA with the EMP according to World Bank procedures. 42

43 Category C projects would include supporting documentation that contains different reviews of existing documentation, updating plans, possible preparation of strategic environmental assessment etc. In this case, the PMU needs to make sure that project would have strong emphasis on improving environmental quality and sustainability of the assignment. PMU will participate in preparation of the ToRs while WB environmental specialist will do a prior review and advise accordingly. 4.2 Environmental Due Diligence Documentation Based on the screening process the following documentation is expected for the Project components: Table 9: Environmental due diligence required for the Project Subproject No: Project component and Subproject Component 1 Demonstrative investments 1 Solid waste leachate treatment plant in BiH (Mostar Landfill) Component 2 - Technical assistance 2 Supervision of solid waste leachate treatment plant in BiH (Mostar landfill) 3 Monitoring of the water quality before and after installation of solid waste leachate treatment plant in BiH (Mostar landfill) 4 Technical documentation (EU financing) and supporting studies for waste water investments and solid waste leachate treatment in BiH Environmental category Category B Category C Category C Category B Category C Due diligence documentation 1) Notification by the competent ministry if the EIA is required or not 2) If EIA is required, EIA prepared according to procedures of the FBiH and/or NC and EMP according to the WB safeguards procedures 3) If EIA is not required, EA and EMP prepared solely according to WB safeguards procedures No due diligence documents required No due diligence documents required 1) If not explicitly regulated in legislation on entity of cantonal level - notification by the competent ministry if the EIA is required or not 2) If EIA is required, EIA prepared according to procedures of the FBiH( and/or cantons) or RS legislation, EMP according to the WB safeguard procedures 3) If EIA is not required, EA and EMP prepared solely according to WB safeguards procedures No due diligence documents required EA is a process whose breadth, depth, and type of analysis depend on the nature, scale, and potential environmental impact of the proposed sub-project. EA identifies and evaluates a subproject's potential environmental risks and impacts in its area of influence; examines project 43

44 alternatives; identifies ways of improving project selection, siting, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts; and includes the process of mitigating and managing adverse environmental impacts throughout project implementation. EA is initiated as early as possible in project processing and is integrated closely with the economic, financial, institutional, social, and technical analyses of a proposed project. The purpose of the EA is to recognize environmental impacts/consequences early in the subproject preparation process, so that they can be incorporated into the sub-project design. The scope of the E(I)A may vary widely depending on the nature and location of a sub-project; thus, it is difficult to give clear guidance on the length of time required for an EIA or the associated costs. The development and financing of the E(I)A is the responsibility of the municipality / municipal (public utility) company and generally closely linked to the development of the feasibility study for the proposed activities. During the EA process, the municipality / municipal (public utility) company needs to consult project-affected groups and local nongovernmental organizations (NGOs) about the subproject's environmental aspects and needs to take their views into account. Such consultations need to be initiated as early as possible. E(I)A needs to be presented in form of report; however, its content and scope will depend on the screening process for each sub-project. Depending on the decision of the competent ministry, a scope and the need for due diligence document would be defined. If the competent ministry decides that EIA is required, the sub-project will proceed with the preparation of EIA according to procedures of the FBiH (and/or cantons) or the RS, enriching the document with the EMP, as EMP is a WB requirement recognized by the OP 4.01 policy trigger for this Project. However, if the competent ministry decides that EIA is not required, the sub-project will proceed with the preparation of the EA and EMP, or in some cases EMP alone, according WB procedures. Annex 4 proposes content of the EIA for waste water treatment plants / solid waste leachate treatment system. The content is tentative and may change according to specific site and treatment characteristics. The scope and the template of the EMP are presented in Annex 7. Stakeholder Engagement Plan: A Stakeholder Engagement Plan (SEP) shall be developed for each sub-project for the purpose of informing and engaging stakeholders in the Project, i.e. clearly communicating to all interested parties the stakeholder engagement program which is to be implemented throughout the entire project cycle. In addition to providing clear and understandable information to all parties interested in the Project, project activities and its potential impacts, the objective of such Plans is to provide an opportunity to all stakeholders to express their opinions or concerns, which must be taken into account and timely responded to. Resettlement and Compensation Plan: Even though the proposed investments are foreseen to be constructed completely within existing facilities (thus no impact is to be expected on adjacent properties, resettlement or land acquisition), in the case the need for land acquisition or resettlement or temporary/permanent restriction of access to land/property emerges unexpectedly during Project implementation, a Resettlement and Compensation Plan shall be developed in order to ensure compliance with specific WB resettlement requirements as well as local legislation pertaining to the issue. 44

45 4.3 Disclosure and Consultation The ESMF, together with the EMP for Mostar landfill, shall be publicly disclosed on the PMU (MoFTER) website in both English and local language), whereas a hardcopy shall available in the PMU (MoFTER) premises, at least 2 weeks prior to scheduled public consultation meeting with relevant stakeholders. In parallel, Project documents shall be disclosed in English at the WB InfoShop in Washington D.C. At the same time, an announcement for the public consultation meeting shall be disclosed, including the date and venue of the planned meeting, through the following channels: on the PMU (MoFTER) website, on the bulletin boards of Local Community Offices in the Project area, through direct mail sent to identified stakeholders. In addition, the announcement shall include an invitation for written comments/suggestions, and provide both postal and electronic addresses for sending these. All comments and questions raised during the public consultation process shall be taken into consideration, addressed and summarized in a list form (with replies to raised issues) and attached to the ESMF as an annex, together with the minutes of meeting from the public meeting. The environmental and social due diligence documents defined by this ESMF shall be disclosed in the manner prescribed by the SEP to be prepared for each sub-project. Tentative content of the SEP is presented in Annex 5. However, the following table gives an outline of disclosure requirements for the Project. All documents will be prepared and disclosed in local language (Bosnian/Croatian/Serbian). ToRs, EMPs and EIA executive non technical summaries will be prepared in English as well. Table 10: Disclosure requirements for the Project Subproject No: Project component and Sub-project Environmental category Component 1 Demonstrative investments 1 Solid waste leachate treatment plant in BiH (Mostar Landfill) Category B Due diligence documentation Notification of the competent ministry if the EIA is required or not If EIA is required, EIA prepared according to procedures of the FBiH and/or HNC and EMP according to the WB safeguards procedures Disclosure requirements Notification disclosed on the website of the PMU as well in hardcopy on info board of the public utility company at least for two weeks An and postal address provided for sending comments ToR for EIA disclosed on the website of the PMU as well in hardcopy on info board of the public utility company at least for two weeks An and postal address provided for sending comments of ToR Draft EIS and EMP disclosed on the website of competent ministry and PMU as well in hardcopy on info board of the public utility 45

46 Subproject No: Project component and Sub-project Environmental category Component 2 - Technical assistance 2 Supervision of solid waste leachate treatment plant in BiH (Mostar landfill) 3 Monitoring of the water quality before and after installation of solid waste leachate treatment plant Category C Category C Due diligence documentation If EIA is not required, EA and EMP prepared solely according to WB safeguards procedures No due diligence documents required No due diligence documents required Disclosure requirements company for 30 days An and postal address provided for sending comments on draft EIS and EMP After at least two weeks of disclosure, public consultation on the EIS should be held Revised EIS that includes addressed comments from the public, minutes of public consultation and opinion of competent ministry disclosed on the website of PMU and in hardcopy on the info board of public utility company ToR for EA disclosed on the website of the PMU as well in hardcopy on info board of the public utility company at least for two weeks An and postal address provided for sending comments of ToR Draft EA and EMP disclosed on the website of PMU as well in hardcopy on info board of the public utility company at least for two weeks An and postal address provided for sending comments of EIA and EMP After at least two weeks of disclosure, public consultation on the EA should be held Revised EA that includes addressed comments from the public, minutes of public consultation disclosed on the website of PMU and in hardcopy on the info board of public utility company No disclosure No disclosure 46

47 Subproject No: Project component and Sub-project in BiH (Mostar landfill) 4 Technical documentation (EU financing) and supporting studies for waste water investments and solid waste leachate treatment in BiH Environmental category Due diligence documentation Disclosure requirements Category B If EIA is required EIA disclosed according to procedures of the FBiH( and/or cantons) or RS legislation, and according to the WB disclosure policy (listed in Table 3) Category C If EIA is not required No due diligence documents required EA and EMP prepared solely according to WB safeguards procedures No disclosure unless the project is financing preparation of EIA, SEA or other environmental assessment document If the sub-project finances preparation of EIA, SEA or other environmental assessment document: The ToR will be disclosed on the MoFTER (PMU) website for at least two weeks and public will be asked to comment; An and postal address will be provided for sending comments; The preparation of specific document will follow the procedure described under Category B of sub-project No Social Assessment Social Assessment Framework The social assessment framework provides the procedures to be used during the preparation and implementation of the Project in order to verify whether the Project has social impacts and risks, and analyse the potential influence and social issues. Any potential adverse social impacts should be timely identified and actions must be taken to avoid or mitigate such impacts. In such cases, specific public consultation and disclosure procedures must be put in place (through the development of specific Stakeholder Engagement Plans), including differentiated measures in consultation with the affected people to ensure that potential social impacts on and risks to them are avoided or mitigated. The social impact assessment will be started in the early phase of the planning process through initial social screening, so that all potential impacts are identified and the level of participation of the local population is increased to a maximum. The objectives of social assessment are: to determine the social baseline condition at project sites in aspects that are relevant for assessing and monitoring/evaluating the potential negative and positive impacts of 47

48 the Project, through gathering relevant socio-economic data, i.e. assess the socioeconomic characteristics of the population on sub-project locations, and identify the relevant stakeholders; to identify and analyze the impacts of the Project on local population; to obtain relevant information that will facilitate effective stakeholder engagement within the Project. Specifically, the social assessment procedures shall be implemented through: 1. reviewing the proposed sub-projects and determining the potential socio-economic issues, including the potential need for land acquisition and/or resettlement; 2. identifying all Project affected people (local communities, local businesses, local NGOs), including any vulnerable or marginalized groups/individuals, who might need special attention with respect to consultation and/or mitigation measures; 3. gathering representative data on Project affected people, including factors such as household characteristics, land use, ethnicity, dependence on unique natural resources, by means of social survey instruments; 4. identifying the extent and complexity of potential social impacts of the Project Social Assessment Methodology Social assessment is carried out in three steps: Step 1 Review of existing data and preparation of instruments Step 2 Data collection through qualitative research and quantitative research Step 3 Analysis of data and identification of social impacts Step 1. Review of existing data and preparation of instruments This step includes the review of the socio-economic context through: review and analysis of the available sources of Project-specific and relevant information on the socio-cultural, historic, institutional and political context of the Project, aimed at assessing the socio-economic characteristics of the Project affected people; review of available documentation, studies and reports relevant to the Project; identification of stakeholders and potential social issues/risks with regards to the potential negative and positive impacts of the Project. Full coordination with the relevant institutions is necessary to obtain data on the population in all sub-project sites. Step 2. Data collection through qualitative and quantitative research This step is aimed at identifying the representative sample of the affected communities and carrying out interviews, focus groups and household/business surveys, as well as meetings with the representatives of the key institutions. 48

49 Qualitative research requires data collection by means of the focus group meetings and interviews. Interviews/focus group meetings are held with the affected population, industry representatives, local NGOs and the representatives of the local communities. This method is aimed at the following: Identification of the relevant stakeholders (local communities, local entrepreneurs, government representatives and other interested groups); Gathering data on the structures (commercial and residential) affected by the Project, the land surrounding the Project area (private/public land, land use types) and sites of cultural heritage, historical heritage and nature preserved areas; Identification of any public infrastructure and social services; Assessment whether there will be any land acquisition and/or resettlement requirements (if yes, identification of such cases, including the manner in which they will be affected); Identification of the population s expectations which can be used as indicators; Identification of the main social issues and risks with regards to the Project; Assessment of the roles and capacities of key (formal and informal) institutions which will be involved in the implementation of mitigation measures. Quantitative research is carried out by means of a socio-economic survey of directly affected people (both households and businesses), if the need for more detailed data arises. It is used to collect data on the affected population (household characteristics of affected people, income sources and levels of income, land ownership and use, vulnerability, the expectations of the affected population with regards to the Project, etc.), aimed at determining the social baseline condition at project sites for the purpose of identifying any potential negative impacts of the Project on livelihoods. The survey is carried out using a designed and approved questionnaire. Finally, survey results are entered, processed and analyzed using professional software packages. Step 3. Analysis of data and identification of social impacts The data collected through the above described research methods will be analyzed for the purpose of identifying all potential social impacts and risks with regards to the Project, including both negative and positive impacts, as well as direct and indirect impacts. Legal analysis will be carried out in this phase in connection to the identified social impacts, with a focus on land use and resettlement/land acquisition requirements. Special attention will be paid to the requirements for institutional arrangements including the mechanisms and responsibilities for social impact screening and the review of social assessment results. Based on the results of the social impact assessment and identified social impacts, mitigation measures for these impacts are designed as part of a Mitigation Plan and Monitoring Plan within the EMP for each sub-project. The Mitigation Plan provides mitigation measures related to preventing or reducing the likely social impacts. The Monitoring Plan provides a plan of feasible actions to monitor the implementation of the mitigation measures and the social impacts of the project. 49

50 4.5 Financing of sub-projects for which environmental documentation already exists In many instances the World Bank projects would include support to sub projects that are already in phase of preparation. In this case, if WB loan is to be used to fund the sub-project, it would be required to review the environmental due diligence documents, identify gaps with the ESMF and propose updates of the existing documents and procedures to fit the guidelines set in this ESMF. Where possible, this is preferable to requiring an entirely new ESMF to be prepared. 50

51 5 ENVIRONMENTAL REVIEW PROCESS (ROLES AND RESPONSIBILITIES OF INSTITUTIONS INVOLVED) 5.1 Roles and Responsibilities during Investment Preparation The PMU which was established in the MoFTER is responsible for overall Project implementation, including procurement and financial management. The PMU assists municipalities / municipal (public utility) companies in preparation of environmental duediligence documents prior to appraisal of the sub-projects and subsequent follow-up requirements. The PMU is responsible for decision making in accordance with the ESMF during the preparation and implementation of investments. Municipalities / municipal (public utility) companies are responsible for obtaining an EP for subprojects that may have impact on the environment. For the purpose of screening, municipalities / municipal (public utility) companies, with the guidance of PMU, need to prepare the initial sub-project concept / minimum required information about the sub-project which will enable adequate categorization. The PMU will play a key role during the screening, and will participate in categorization of investments /sub-projects in accordance with requirements of BiH legislation and WB procedures. The information in this document is intended to guide both, the PMU and the municipalities / municipal (public utility) companies, in defining the various requirements of both BiH and the WB. The results of the screening and categorization should be reviewed and approved by the WB. Due to the small number of sub-projects, the WB should provide assistance during the screening process, especially with respect to safeguards. The PMU will be responsible for the screening process and the WB will review and approve the screening. The PMU will be responsible for overall quality of environmental due-diligence documents and its compliance with the WB safeguards policies. Furthermore, the PMU will advise municipalities / municipal (public utility) companies on the WB s EA requirements (contents of an EA report and/or EMP format, consultation, disclosure and approval procedures), and other essential information. The PMU will also assist municipalities / municipal (public utility) companies in consultations with the competent ministries, related to requirements, procedures and EIA contents for projects requiring EPs. The municipality/municipal (public utility company) is responsible for the selection and contracting of Consultants to be engaged in the preparation of the E(I)A report or EMP. The PMU will oversee the selection and will be responsible for supervision during preparation. E(I)A reports or other separate reports (such as EMP) will be submitted by the borrower through the PMU to the Bank for review and approval. Public consultations will be organized in line with relevant national legislation. In case public consultations are not required by national policies, municipalities / municipal (public utility) companies will be responsible for carrying out the consultation, in agreement with the PMU and by informing the competent ministry/authority. Municipalities / municipal (public utility) companies will send a copy of the consultation record to the PMU. In case significant issues have been identified during the consultations, municipalities / municipal (public utility) companies will inform the WB through the PMU accordingly. 51

52 In general, all sub-projects will follow the environmental review process presented systematically below. STEP 1 Municipality / municipal (public utility) company proposes the sub-project concept The municipality / municipal (public utility) company prepares an initial sub-project concept, following informal discussion with the PMU, in which the PMU alerts the municipality / municipal (public utility) company of its environmental assessment requirements. In the case of sub-project nomination, i.e. the application process, the following information and documents need to be gathered and reviewed by the PMU. The PMU will be responsible for the screening of each candidate sub-project which will be financed within Project Component 1 or 2 as a prerequisite to further consideration: a) The sub project description, or brief information on operations which the current activity comprises; b) Information on location of the existing or planned operation or activity, which will help in identifying the characteristics of the surrounding environment. This should include information on any nearby drinking water sources, natural protected areas, cultural heritage sites, etc.; c) All related permits, clearances or agreements obtained so far for the existing or planned facility/structure to be supported by the Project, including land ownership or tenure documentation and water management or urbanism/construction permits, EP, waste management permit, water management or other related documents; d) To the extent possible, information must be provided on any previous complaints concerning the candidate s past activities or ongoing activities. It is the responsibility of the municipalities to provide the necessary information to PMU, as well as the appropriate permits and licenses obtained so far. STEP 2 PMU determines the environmental category and assigns environmental due diligence reports The PMU will first determine the sub-project category and environmental category of the subproject. The proposed sub-project should be classified depending on the type, location, sensitivity, and scale of the sub-project and the nature and magnitude of its potential environmental impacts. At this time, it is the responsibility of the municipality / municipal (public utility) company to initiate discussions with the competent entity or cantonal ministry in order to fulfil any local and national environmental review requirements (such as opinion on EIA procedure and/or other official approval/permits). Response of the competent entity or cantonal ministry needs to be sent to the PMU. It is the responsibility of the municipality / municipal (public utility) company to obtain the appropriate permits and licenses as required by national law in order to facilitate the clearance process with the competent entity or cantonal ministry. After initial review of the required documentation and based on the notification from the competent entity or cantonal ministry, the PMU will reply to the municipality/ municipal (public utility) company regarding the content of the document or inform that the category will need to be additionally agreed with the WB. If there are any differences between national and WB 52

53 categorization, the PMU informs the municipalities / municipal (public utility) companies on due diligence. The PMU assists municipalities in preparation of environmental due-diligence documents prior to appraisal of the sub-project and subsequent follow-up requirements. STEP 3 Municipality / municipal (public utility) company prepares documents and necessary permits Based on the categorisation and inputs from the competent entity or cantonal ministry the municipality / municipal (public utility) company prepares the required documents. If, needed, the municipality / municipal (public utility) company may be assisted by specialists / consultants. The specialists / consultants will be contracted by the municipality / municipal (public utility) company. Even if no action is required by national laws, the municipality / municipal (public utility) company is responsible for following the WB EA requirements. STEP 4 Municipality / municipal (public utility) company submits the request for Environmental Permit / Preliminary Environmental Impact Assessment In case an EP is required, the municipality / municipal (public utility) company submits the Request (application) for PEIA to the competent entity ministry (if EIA is required), or Request for EP to competent entity or cantonal ministry (if EIA is not required). Table 4 defines the E(I)A document requirements based on the separate categorization /screening of the BiH and WB systems. For any environmental due diligence reports required, the PMU shall inspect the reports, including the data presented, and consult with its experts and other appropriate bodies, if necessary. The PMU will review due diligence reports prior to the public consultation. STEP 5 Consultations and Disclosure In case the EIA is required, the competent authority (in Step 4) makes documents available to interested parties for comments and (only if found necessary) arranges public consultations as near as possible to the subject location. In case the EIA is not required, the Request for EP must be made accessible to the public. STEP 6 Review and Approval of the EA After the public consultation, the final document will be approved by the PMU and send to the WB. After reviewing the PMU a decision will be made, in writing, recommending the approval or refusal of the sub-project EA, with justification(s). The final approval of sub projects which require environmental permitting will be made after the approval of the competent ministry. The PMU will also forward the decision to the WB, including the Executive summary and EMP, written in English. They will confirm to the Bank that the applicable environmental procedures have been followed, and submit the documentation for review. The PMU will ask the Bank for preapproval of Category B projects. For Category C projects, PMU will inform the Bank of the justification for this rating (no additional documentation is necessary for sub-projects in this category). 53

54 The WB will review the information provided and, if it considers that the assessment and the EMP are appropriate and satisfactory, will provide a no objection which may result in the subproject proceeding to design completion. Alternatively, it will suggest areas where strengthening is needed before the above process can be completed. Whether for new or existing facilities/ activities, the BiH institutions in charge (competent entity or cantonal ministries) usually form internal commissions for environmental review which comprises of internal Environmental Permitting Department staff and external experts who are contracted as required. The BiH review, approval and permitting procedure (including the activities of the PMU) comprises of the following steps: Review and approval process in the FBiH In case EIA is not required, and in case there are no comments from interested parties, the competent entity or cantonal ministry issues an EP based on Request/Application for issuing an EP. The EP is then used for obtaining other permits (Urban Consent, Construction Permit and Usage Permit). In the case of direct permitting (without PEIA/EIA requirement), granting of an EP will occur within 120 days from the Request/Application receipt; In case EIA is required, the EIA procedure can be carried out in two phases: (i) PEIA and (ii) development of the EIS. Following the screening and PEIA 13, sub-projects will either receive and EP from competent ministry or will be required to prepare an EIS. If the competent ministry decides that no further EIS is required, the Request for the PEIA is automatically considered a Request/application for an EP. If the sub-project is required to prepare an EIS, within 30 days from the submission of the PEIA Request and based on the PEIA findings, the competent ministry determines the scope and the contents of the EIS in the Conclusion on the EIS. The decision on whether an EIA is required or not is based on a case-by-case basis, taking into account other similar projects/activities in the area and the location/environment sensitivity; The municipality / municipal (public utility) company is required to contact institution / company that will prepare the EIS, based on the ToR approved by the PMU (to ensure the compliance with national procedures and to update ToR to be compliant with the ESMF and WB operational policies). The lists of institutions / companies authorised for preparation of EIA reports are available with competent ministry. The municipality / municipal (public utility) company submits draft EIS for review and approval (in local language) to the competent ministry and (in English language) to the PMU / WB for clearance. The PMU needs to ensure that EIS is consistent with the ToR; The competent ministry sends a copy of the draft EIS to relevant authorities and other interested parties, allowing 30 days for receiving comments to the report. Additionally, the EIS in English language needs to be sent by the municipality / municipal (public utility) company through the PMU to the WB for disclosure at the Infoshop; The competent ministry organizes a public discussion as near as possible to the subproject location, and invites the public to the consultation via printed (or electronic) media/radio/tv. The public needs to be informed on the public consultation at least 15 days prior to the public hearing. Comments and suggestions on the EIS must be received within 30 days starting from the date of invitation for public consultation. The 13 The content of the Request for PEIA is presented in Table 4. 54

55 municipality / municipal (public utility) company needs to assist the competent ministry during the consultation process; After the EIS is revised and incorporated all the relevant comments received form interested parties, and based on the evaluation of the EIS, the competent ministry issues a Decision on EP (within 30 days following receipt of the evaluation of the EIS). The EP will not be issued in case that sub-project: (i) could have significant environmental impacts, (ii) is not in line with Federal Environmental Protection Strategy and entity and inter-entity environmental action plan or (iii) is not in line with international environmental obligations of BiH. Overall, the competent ministry issues EP within 60 days from EIS receipt. Figure 1 presents the EIA process in the FBiH. Review and approval process in the RS Figure 1: The EIA procedure in the FBiH In case EIA is not required, and in case there are no comments from interested parties on the Request for EP, the competent entity ministry issues an EP based on the Request. The EP is then used for obtaining other permits (Construction Permit and Usage Permit); For projects for which the EIA is obligatory and projects for which the Ministry decides on the EIA necessity, the procedure for the PEIA starts with the Request the project owner submits to the Ministry. Following the screening and PEIA, sub-projects will either receive and EP from competent ministry or will be required to prepare an EIS. If the sub-project is required to prepare an EIS, within 60 days from the submission of the PEIA Request and based on the PEIA findings, the competent entity ministry determines the scope and the contents of the EIS in the Decision on the EIS; The municipality / municipal (public utility) company is required to contact institution / company that will prepare the EIS, based on the ToR approved by the PMU (to ensure 55

56 the compliance with national procedures and to update ToR to be compliant with the ESMF and WB operational policies). The lists of institutions / companies authorised for preparation of EIS are available with competent ministry. The municipality / municipal (public utility) company submits draft EIS for review and approval (in local language) to the competent ministry and (in English language) to the PMU / WB for clearance. The PMU needs to ensure that EIS is consistent with the ToR; The competent ministry sends a copy of the draft EIS to relevant authorities and other interested parties, allowing 30 days for receiving comments to the report. Additionally, the EIS in the English language needs to be sent by the municipality / municipal (public utility) company through the PMU to the WB for disclosure at the Infoshop; The municipality / municipal (public utility) company organises a public discussion in the local self government unit where the location of the sub-project is situated and invites the public to the consultation via printed (or electronic) media/radio/tv. The public needs to be informed on the public consultation at least 15 days prior to the public hearing. The representative of the competent ministry participates in the public consultations and leads the consultation process. The interested parties may submit the comments and opinions on the draft EIS within 30 days from the date of public hearing; After the EIS is revised and incorporated all the relevant comments received form interested parties the competent ministry issues a Decision on Approval of the EIS (within 60 days following receipt of the final EIS). The Decision on Rejection of the EIS is issued in case the sub-project: (i) could have significant environmental impacts, (ii) is not in line with entity and inter-entity environmental action plan or (iii) is not in line with international environmental obligations of BiH. The Decision on Approval of the EIS shall expire if the municipality / municipal (public utility) company does not obtain the EP or Construction Permit (or other decision in accordance with special regulations) within two years from the date of receipt of the decision. Figure 2 presents the EIA process in the RS. Both in the FBiH and RS, Entity level Agencies for Cultural Heritage Protection are involved in the processes of environmental impact assessment and issuance of urban consents. EPs are granted for a period of 5 years and upon expiry must be renewed. 56

57 STEP 7 Finalization of sub-project package Figure 2: The EIA procedure in the RS The municipality / municipal (public utility) company incorporates recommendations of the EA into the sub-project design and implementation plan, including associated estimated costs. The municipality / municipal (public utility) company finalizes the sub-project package, including the relevant environmental documentation and submits it to PMU for its appraisal. 5.2 Roles and Responsibilities during Construction and Operation Environmental screening, assessment, and approval procedures described above are part of the procedures of selecting and approving the sub-projects. During both the construction and operating phases the municipality / municipal (public utility) company will carry out the routine monitoring to ensure that mitigation requirements specified in the EMP and any other environmental requirements specified in the EP (this is especially important where contractors are engaged for construction work). The EMP format and other relevant EA documents (Environmental Appraisal Form) need to be included in the loan package. The Laws on Environmental Protection 14 in BiH require that the borrower (municipality / municipal (public utility) company) reports to the competent authority (that issued the permit) on emission monitoring results, accidents, and other information requested by the permit(s), during the initial and last phases of construction, operation and decommissioning. Therefore, municipalities/municipal (public utility) companies in which the sub-projects are implemented should ensure efficient implementation of impact mitigation measures and monitoring by dedicating one person for regular monitoring checks during the construction phase; and where applicable, for occasional monitoring checks, conducted by operators, of the 14 Official Gazette of RS, No. 71/12 57

58 facilities. Records of all monitoring data should be kept by the party responsible for the monitoring. 58

59 6 MONITORING ENVIRONMENTAL COMPLIANCE In the course of a sub-project implementation municipalities/ municipal (public utility) companies are responsible for carrying out their daily activities in compliance with the recommendations of the EA reports and for applying mitigation measures as prescribed by EMPs, and EPs. Municipalities will be expected to monitor sub-projects compliance with EMPs and report to the PMU on the environmental performance as an integral part of their regular reporting on the status of projects. When required by national policies, and if the PMU finds it necessary (due to lack of equipment or capacity), specialized institutions/companies will perform the required monitoring and data collection. Implementation of mitigation measures specified in the EMP and EP must be supervised by the PMU on a regular basis. Reports on mitigation measures and monitoring results are submitted by the municipality / municipal (public utility) company to the PMU quarterly. The PMU is responsible for reviewing and analyzing the reports received from the municipality / municipal (public utility) company and can request additional monitoring in order to ensure that all environmental guidelines and permit requirements are satisfied. It is recommended the PMU periodically takes random visits to sub-project implementation sites to ensure that reporting of municipalities/ municipal (public utility) companies on compliance with EMPs realistically reflects situation on the ground. The review of evaluations will ensure that: the work was of satisfactory quality, the community participation took place when appropriate, the appropriate recommendations were made, all documentation was properly filed and recorded, and that the conditions of approval by the competent ministries were met. The PMU will inform the WB on the environmental due diligence applied through the general reporting on the project progress. The environmental compliance reports will be attached annually to financial reports submitted by the PMU to the WB. The WB will track environmental performance of the PMU and the municipalities by regular review of their reports as well as by supervision of the overall screening process and implementation of environmental recommendations for the selected sub-projects, including random visits to the sub-project sites. Therefore, municipalities/municipal (public utility) companies shall properly keep all subproject documentation on file and make it available for the PMU and the WB as needed. Table 11: Institutional Arrangements during Implementation WB PMU Institution Municipality / municipal (public utility) Mitigation measures Annually reports to the WB on compliance with mitigation measures Implementation of mitigation measures; Monitoring Permitting Review Reviews the reports concerning implementation of monitoring plan Data analysis and review; Reports to the WB (together with mitigation); If required, requests additional monitoring Implementation of selfmonitoring in accordance with Assistance in obtaining necessary permits Request for renewed EP every 5 years or a new Reviews the reports received from PMU Reviews quarterly reports sent by the municipality / municipal (public utility) company 59

60 Institution company Competent ministry Institutions authorized for monitoring Mitigation measures Quarterly sends reports to PMU on mitigation measures and monitoring results Through inspection ensures that measures proposed in the EP are implemented Monitoring Permitting Review requirements of the EP Inspection and monitoring as per requirements of the EP Periodical monitoring during the operation of the facility permit if there are major modifications in the project/facility Issues the new or renewed permit (ministry competent for environment); Issues urbanism and construction permits (ministry competent for physical planning) Reviews reports sent by institutions authorized for monitoring / inspection 60

61 7 ENVIRONMENTAL MANAGEMENT PLAN MOSTAR LANDFILL SOLID WASTE LEACHATE (WASTEWATER) TREATMENT PLANT The Environmental Management Plan for Mostar landfill solid waste leachate treatment plant was prepared based on the available information and it is presented in Annex 8. If a separate EIA for the leachate treatment plant would need to be prepared during the course of the project, the EMP will be updated, re-disclosed and consulted with the public. 61

62 8 ANNEXES 62

63 8.1 Annex 1 Roles and Responsibilities of Key Participants Participant Activity Supporting Documentation Municipality / municipal (public utility) company PMU WB Submission of sub-project concept to PMU Arrangement and financing of EA and/or EMP Obtain clearance from competent ministry / cantonal/local authority if required Obtain required permits/ licenses Implementing and financing of EA Preparation of initial environmental screening from Finalize the environmental screening form Review of sub-loan application package for required environmental documentation and licenses/permits from the competent authorities Proposing environmental category Maintain complete files of environmental documentation for review by the WB Monitoring compliance with mitigation plans (if necessary) Co approving EA category Ensuring that environmental due diligence documents are in compliance with WB requirements Disclosure of EA documents Organization of training for PMU staff regarding environmental review procedures Reviews of the reports concerning implementation of monitoring plan Identification of problems / issues and proposal of solution Copies of permits, licenses Clearance statement Quarterly reports to PMU on mitigation measures and monitoring results Sub-project completion report Conclusion/Decision on the need for E(I)A from the competent ministry Include environmental information with sub projects Include environmental category and EA status in normal periodic reporting activities Annual reports to the WB on compliance with mitigation measures Semi-annual monitoring reports (if necessary) Document status of project implementation in Implementation Status and Results reports and the mission Aide-Memoires 63

64 8.2 Annex 2 The Main Elements of the Wider Process for Environmental Protection in Bosnia and Herzegovina (Excluding EIA Process) Spatial Planning The entry point for the regulatory system in BiH are the entity laws that define the area of spatial (physical) planning. Law on Physical Planning and Land Use of FBiH (Official Gazette of FBiH, No. 2/06, 72/07, 32/08, 4/10, 13/10), Decree on Building Structures and Interventions Important for FBiH and on Building Structures, Actions and Interventions that Can Largely Affect Environment, Life and Health of People in FBiH, for which the Urban Development Permit is Issued by the Federal Ministry of Spatial Planning (Official Gazette of FBiH, No. 85/07 and 29/08) and Law on Physical Planning and Construction in the RS (Official Gazette of RS, No.55/10) provide the legal basis for planning and permitting. The spatial plans identify appropriate land uses and allowable locations for particular types of facilities. At the highest level, Spatial Plan of the FBiH and Spatial Plan of the RS set long-term goals and measures of spatial development in line with the overall economic, social and historical development of importance to the FBiH and the RS. Spatial Plans contain land use policy, and directs the development of functions and activities on the territory of the FBiH and the RS. The process of preparing a spatial plan involves investigation, analysis and consultation aimed at, among other things, ensuring that different types of development are located in suitable environmental conditions (e.g. waste disposal facilities not be too near sensitive water bodies or on permeable soils, road alignments to avoid protected areas, etc.). The FBiH has not yet adopted its Spatial Plan. The Draft Spatial Plan of the FBiH for the period is currently undergoing the procedure of public consultations and is expected to be adopted in the upcoming period. In the FBiH, the cantons develop their own spatial plans that need to be in line with the spatial planning documents on federal level. The Spatial Plan of HNC is currently being developed, the Draft Spatial Plan of WHC exits and is expected to be adopted in the following period, and Spatial Plan of Canton 10still needs to be developed. The RS has adopted its Spatial Plan for the period up to 2015 in The Spatial Plan of the RS, as the strategic development document for the period up to 2015, defines land use policy as comprehensive care about natural and built area as a whole. Permitting The main instruments for implementing spatial plans are permits which set out the environmental and other requirements and standards which must be met during construction and operation (e.g. regarding air emissions, effluents, noise, worker and public safety, etc.). In general, there are three stages involved in the new project approval process: Obtaining the Urban Consent in the FBiH / Location Conditions in the RS Obtaining the Construction Permit Obtaining the Usage Permit The exact procedure for obtaining the three required permits and approvals of various depends on the administrative jurisdiction of future construction site, since the procedures are 64

65 governed by laws and regulations at each administrative level: entity, the BD, cantonal and municipal. The procedure and documents to be submitted with the application depends on several factors: Location of construction site (in which the entity, canton or municipality); Whether the construction activities are within the boundaries of one municipality or cross the border and enters another municipality; Planning documents that regulate particular area (spatial, urban, etc.); Type of construction works (new construction, renovation, type, etc.). These differences are dictated by the administrative structure of the country. However, construction regulations have common roots (laws of the former Yugoslavia) and are very similar. Urban Consent (Location Conditions in RS) determines the location of the facility and determines the existing points (this may change if the change in infrastructure occurs) of connection to city infrastructure, i.e. electricity, water, telephone, etc., as well as all urban and technical conditions. Construction Permit is issued on the basis of Urban Consent (Location Conditions) and represents the authorisation for commencement of works. It is based on detailed plans and other documentation that defines the structure, materials, construction techniques, different construction phases and compliance with more than 140 potentially applicable laws. Usage Permit is issued on the basis of construction permit and it verifies that the construction was done in line with all relevant regulations and is suitable for residential use and can be entered in the Land Registry. Law on Waters (Official Gazette of the Federation of BiH, no. 70/06) and Law on Waters (Official Gazette of Republika Srpska, no. 50/06, 92/09) specify the provisions regarding water management issues. In line with entity Laws on Environmental Protection, EP for plants and facilities subject to obligatory environmental impact assessment is issued on the basis of Prior Water Consent for the facilities subject to obligatory issuance of prior water consent as determined by the entity Laws on Waters. Prior water consent is obtained in the procedure of issuing the EP, urban planning consent for the facilities and activities that do not require EP and in the process of issuing concessions on water and water well. For facilities or activities for which prior water consent is obtained, a request for issuance of Water Consent must be submitted within the period of 3 years, otherwise, prior water consent shall cease to expire. A construction permit for the construction of new facilities or reconstruction of existing ones, in terms of regulations on spatial planning, is issued on the basis of water consent for the facilities subject to obligatory issuance of water consent as determined by the entity Laws on Waters. Upon issuing water consent, the Investor is obligated to obtain the construction permit and commence the works within the time limit of two years. 65

66 Upon the completion of works, the Investor submits a request for the issuing of Water Permit. In terms of physical planning regulations, water permit is necessary for receiving the usage permit. Water Permit is issued for a specified time period, and no longer than 15 years. In the FBiH, Law on Waters (Official Gazette of the FBiH, No. 70/06) defines the list of activities that are required to obtain water permit (Article 109) and the activities that are exempt from water permitting (Article 110). In RS, Law on Waters (Official Gazette of RS, No. 50/06, 92/09) also defines the list of activities that are required to obtain water permit (Article 121) and the activities that are exempt from water permitting (Article 122). Figure 3and Figure 4 present the permitting process in the FBiH and RS, respectively. Figure 3: Permitting process in the FBiH Figure 4: Permitting process in the RS 66

67 8.3 Annex 3 Questionnaire for TAs for WWTP and Leachate TP To be filled out by the final beneficiary Instructions for completing the questionnaire The questionnaire shall be completed by a highly ranked representative of your company, who submits the questionnaire, together with other requested documents, for assessment to the PMU. The questionnaire shall be signed by a person authorised to represent the company. Please, whenever possible, provide a complete answer to all questions. The questionnaire has been divided into sections as follows: Section 1: Main data Section 2: General Section 3: Site location Section 4: Technical documentation / Permits / state of the environment In case of any doubts, or should help be needed when completing the questionnaire, feel free to contact PMU s Jovanka Aleksic Phone: SECTION I: MAIN DATA ON APPLICANT (please write in block letters) Applicant s name (crafts business/company): Address (street and number, postal code and city): Phone & Fax: Main activity of the company / beneficiary (description of activity): First name and last name of responsible person completing the questionnaire: Signature: Questionnaire completion date: 67

68 SECTION II: GENERAL II. Nature of sub-project Name of sub-project Purpose of the sub project: Wastewater treatment plant Landfill leachate treatment plant Other, please specify Please provide a description of current facilities and installations on site (here in after parent project). Provide brief description of technological process and characteristics of the parent project. Parent project: All facilities and installations on site, which represent the basis for upgrade (upgrade of existing WWTPs implies tertiary treatment, and for landfills leachate treatment). Describe provide brief technical description of the proposed sub project and how it would fit to the current situation on site, i.e. relate to parent project. 68

69 SECTION III: SITE LOCATION III. a. Planned activities at site Is the parent project and planned sub project located in or affects natural habitats or a protected area? 15 Yes No Natural habitats: Land and water areas where (i) ecosystems biological communities are formed largely by native plant and animal species, and (ii) human activity has not essentially modified the area s primary ecological functions. Protected areas: national park, nature park, nature reserve, monument of nature and horticultural monument, important landscape, protected woodland Is the parent project and planned sub project located in or affects physical cultural resources or a cultural site? 16 Yes No Physical cultural resources: movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic or other cultural significance. Physical cultural resources may be located in urban or rural settings and may be above or below ground, or under water. Cultural site: Potentially archaeologically significant site/in the vicinity of a historical site Have any complaints of the public been filed against your current or planned activities (this includes all complaints in the written form)? Yes No If YES, please describe the respective complaints. 15 Data on protected areas can be downloaded from the website of FMoET: and website of the Republic Institute for Protection of Cultural, Historical and Natural Heritage of the RS: 16 Data on cultural protected national monuments can be downloaded from the website of Commission to Preserve National Monuments of BiH: ; data on cultural protected areas in the RS can be downloaded from the website of the Republic Institute for Protection of Cultural, Historical and Natural Heritage of the RS: and for the FBiH can be obtained by contact to Institute for the Conservation of the FBiH 69

70 Is parent project and planned sub project located in the forest area and as such would cause damage to the forest or cutting of forest? Yes No If YES, please describe the impact. Will the project construct any kind of dam or involve dam rehabilitation? Also, will the project depend on a dam or would otherwise be affected by the failure of an existing dam? Yes No If YES, please describe how. 70

71 III. b. Site profile Please indicate the nature of location of your site parent project and sub project (according to physical plan): Industrial area/business zone Developed part of construction area Urban area Agricultural area Natural habitats or protected natural area Coastal area Other (please specify): Please describe in brief describe the nature of the site (land ownership, distance from households, distance from agricultural land in use, etc.) If possible, provide map of the area: Who is the current owner of the plot / real estate, on which the project is planned to be carried out? Please provide the number of cadastral plot and land register plot, state the cadastral municipality, the number of land register file and the name of the owner (address, contact person and telephone number if the owner is not the investor) Please submit a copy of a land register excerpt. Is the property being used by any other person besides the owner, i.e. does any other person (besides the owner) receive income from the use of land / site / plot? Yes No (Lease, contract, concession, protected lease-holder etc.) 71

72 Are there any illegal users of the land / estate? Yes No If YES, please provide details. 72

73 SECTION IV: TECHNICAL DOCUMENTATION, PERMITS, STATE OF THE ENVIRONMENT IV. a. Parent project (current state) Is the parent project envisaged / recorded in the physical plan? Yes No Please provide details / explain. Have you obtained the below listed permits for the facilities already constructed (parent project)? Please indicate those you have obtained: Environmental Permit Urban Consent Construction Permit Usage Permit Water Permit Please, enclose the copies of all permits with the questionnaire. If not, please provide reasoning for each individual permit: 73

74 IV. b. Proposed sub-project Have you obtained the below listed permits for the facilities you plan to construct? Please indicate those you have obtained: Environmental Permit Urban Consent Construction Permit Confirmation of main design Decision on construction requirements Please, enclose the copies of all permits with the questionnaire. Please indicate projects documents already prepared: Feasibility study EIA Conceptual design Preliminary design Main design Final design Other (please specify): Please provide basic data on the: a) company that prepared it, b) date of approval/ preparation 74

75 IV. c. Environmental due diligence for planned sub project Is it necessary to carry out an environmental impact assessment procedure according to national legislation with regard to your project? Yes No Is it, for your project, necessary to carry out a procedure of establishing the need to assess the environmental impact? 17 Yes No If the establishment procedure has been carried out, has the Conclusion or Decision on the need to assess the environmental impact already been obtained? Please, enclose a copy of the Conclusion or Decision with this questionnaire. Yes No Instructions for completing of this questionnaire The questionnaire is to be filled out by the sub project proposer (municipality or municipal (public utility) company). The questionnaire must be signed by an authorised person. In case of possible doubts and for assistance in filling out this questionnaire, please contact 17 Required environmental due dilligence is presented in Table 9 of the ESMF. 75

76 8.4 Annex 4 Tentative Contents of the EIA for Waste Water Treatment Plants EXECUTIVE SUMMARY 1. INTRODUCTION 1.1. Project components description 1.2. Project task of the EIA study preparation 2. PROJECT DESCRIPTION 2.1. Operation description Effluent standards Hydraulic load Waste matter load 2.2. Plant description Location and land use (incl. data from physical planning documents) Treatment process (Preliminary treatment, Primary treatment, Secondary treatment facilities, Sludge treatment facilities, etc.) Data on emissions (emissions to water, air, soil, generation of waste, noise emissions, vibrations, etc.) Energy consumption Treatment and final disposal of waste 3. ASSESSMENT OF CONSTRUCTION AND OPERATING COSTS 3.1. Construction costs 3.2. Operation costs 3.3. Annual operational expenses 4. REVIEW OF RELEVANT LEGISLATION AND INSTITUTIONAL FRAMEWORK 4.1. Relevant legislation 4.2. Institutional Framework 5. ANALYSIS OF ALTERNATIVES 5.1. Variant solutions for the project 5.2. Elaboration of the reasons for selecting a certain variant of the project 5.3. Analysis of other designs 6. BASELINE DATA 6.1. Meteorological and climatic conditions (temperatures, precipitation and runoff characteristics, relative air humidity, air circulation, speed and direction of winds) 6.2. Geology and soil characteristics 6.3. Seismology 76

77 6.4. Hydrogeology 6.5. Hydrology 6.6. Classification of water courses 6.7. Current environmental baseline State of the waters Water quality Air quality 6.8. Flora and fauna, rare or endangered species Flora (Vegetation, Species of importance for the studied area, etc.) Fauna Protected zones 6.9. Landscape and sensitive habitats Health statistical data Data on settlements and infrastructure Data on protected natural and cultural heritage 7. PROJECT ENVIRONMENTAL AND SOCIAL IMPACTS 7.1. Impacts during construction Impacts on surface and underground water quality Impacts on soil quality Impacts on air quality Impacts on ecology and biotic resources Impacts from noise and vibration Impacts on land use Impacts on local population Impacts on resettlement Impacts on traffic infrastructure 7.2. Impacts during operation Impacts on surface and underground water quality (Potential wastewater infiltration) Impacts on soil quality (sludge management) Impacts on air quality (emission of aerosols, emission of GHGs, occurrence of insects, etc.) Impacts on ecology and biotic resources Impacts on land use (decline in the value of construction land) Impacts on local population (odour, noise emissions, vibration) Impacts during disposal of waste matter 7.3. Impacts associated with closure and decommissioning (unprofessional maintenance, equipment failure, power failure, etc) Impacts in case of ecological accidents (condition of the environment, in case of ecological accidents caused by force majeure (devastating earthquakes, ravages of war and the like)) 77

78 7.5. Summary of impacts regarding the WWTP construction and operation comparison of positive and negative impacts 8. ENVIRONMENTAL MITIGATION MEASURES AND MONITORING PLAN WITH THE EMP 8.1. Environmental Mitigation Plan Mitigation measures during design Mitigation measures during construction Mitigation measures during operation Prevention and mitigation of consequences of potential accidents Mitigation measures during decommissioning and after use 8.2. Environmental Monitoring Plan Monitoring programme during construction (surface and ground water quality monitoring, air quality monitoring, soil quality monitoring, noise level monitoring, waste generation and management, traffic safety, traffic disruptions and congestion, community safety) Monitoring programme during operation (surface and ground water quality monitoring, sludge management, air quality monitoring, monitoring of flora and fauna, waste generation and management, leaks and spills of hazardous substances, compliance with legal regulations and internal procedures for safe material handling) Monitoring programme during decommissioning and after use (air quality monitoring, water quality monitoring, noise level monitoring, traffic disruptions and congestion, leaks and spills of hazardous substances, etc.) 9. MAJOR CONCLUSIONS AND COMMENTS MADE DURING THE PUBLIC CONSULTATIONS 10. ANNEXES (Sources of data (studies and projects, books, papers and other literature); List of acts and other regulations; Copies of permits, etc.) 78

79 8.5 Annex 5 Tentative Content of the SEP 1. INTRODUCTION 1.1. Project Summary 1.2. Scope of the Document 2. LAWS AND REGULATIONS 2.1. Local legislation 2.2. Statutory Consultations 2.3. Applicable WB policy 3. PREVIOUS STAKEHOLDER ENGAGEMENT 3.1. Public Hearings 3.2. Project s Census and Socio-economic Survey 4. PROJECT STAKEHOLDERS 5. STAKEHOLDER ENGAGEMENT PROGRAM 5.1. Available Information and Communication Tools 5.2. Consultations 5.3. Timetable 5.4. Formal Request for Information 6. IMPLEMENTATION RESPONSIBILITIES 7. GRIEVANCE MECHANISM 8. MONITORING AND REPORTING ANNEX. PUBLIC GRIEVANCE FORM 79

80 8.6 Annex 6 Summary of Current Status of Potential (Known) Investments and TA Municipality Name of project Value of project (EUR) Type of project Project documentation Status of project Comment Mostar Waste leachate treatment plant for sanitary landfill Uborak Not determined yet (will depend of type of WWTP facility selected) Wastewater treatment plant for leachate water Plan of activities with measures and deadlines for gradual reduction of emissions and compliance with BATs Landfill Uborak, Mostar ( HERCEGOVINA, d.o.o., Mostar, 2009) Preliminary design Amendment of the Main design for solid waste landfill Uborak (IPSA, d.o.o., Sarajevo, 2012) Main design - Amendment of the Main design for solid waste landfill Uborak: Books 1-8 (IPSA, d.o.o., Sarajevo, 2012) Preliminary water consent (No. UP/40-1/ /13) issued on 18 March 2013 by the Agency for Adriatic Sea catchment area, valid until Request for issuance of Urban consent (dated ) by Town of Mostar with Explanation of request containing necessary data for determination of urban, technical and other conditions for solid waste landfill Uborak Mostar Request for clarification (UPI/ /13 ID) issued by Federal Ministry of Environment and Tourism Environmental permit for PUC Deponija Uborak-Mostar (No. UP- I/ /07 SN) issued by Federal Ministry of Environment and Tourism on 08 June 2009 (valid for 5 years) In progress. The Municipality lacks funds for construction of WWTP for leachate at the moment. The project is not located in any nature, forest or cultural heritage protected areas. The land where the landfill is located is owned by the Municipality. 80

81 Municipality Neum Name of project Interstate project Protection of Mali Ston and Neum bay from sewage and coastal leachate Value of project (EUR) (out of which for the main collector to the border with the Republic of Croatia) Type of project Project documentation Status of project Comment Collection and treatment of sewage Collection and treatment of storm water and discharge in underwater of Neum bay Interstate drainage system Komarna- Neum-Mljet channel to the border with the Republic of Croatia - Book 1 and Book 2 (ZAVOD ZA VODOPRIVREDU d.o.o. MOSTAR) Drainage of wastewater and storm waters of the coastal area of BiH (update of the main design is needed) The construction of the main interstate drainage system Komarna-Neum- Mljet channel is on-going Conditions for the connection of wastewaters form the Croatian territory is the construction of the main collector, length of 700 m The constructed collector in the area of Klek (Croatia) cannot be connected tp the main drainage system, and therefore the waters of Neum bay are not protected Infiltration leachate and sewage from septic black tanks are not collected (the construction of the Neum secondary collection system This project is contained in the urban-planning documentation of the Municipality. The project location is partially within the roads, and partially in the protected area of the maritime domain boundary (public good privately owned). Property issues on the route of the main collection length of 600 m are currently being resolved. 81

82 Municipality Posusje Livno Name of project Treatment of sanitary wastewater Wastewater treatment plant for sanitary waters of Livno Town Value of project (EUR) Approx ,00 Currently unknown Type of project Project documentation Status of project Comment Wastewater treatment plant for sanitary waters Wastewater treatment plant for sanitary waters Project documentation for WWTP of 5000 PE (1985) Preliminary design of sewage system for Posušje Municipality (1998) Main design of main collector for sewage system (1998) Environmental impact assessment for the sewage system (1998) Posušje Water and Wastewater Project Feasibility Study (JE Jacobs, 2008) financed by EIB and EC Preliminary design for WWTP ( HIGRACON Sarajevo, 2012) is realised approximately 20% The Municipality lacks funds The Municipality lacks the funds for implementation of this project. The tender for selection of the executor of the Main design is underway. It is expected that the Main design will be completed by October 2013 This project is contained in the urban-planning documentation of the Municipality Spatial plan which is expected to be adopted by the end of The project is not located in any nature, forest or cultural heritage protected areas. This project is contained in the urban-planning documentation of the Municipality Urban plan Livno 2000 (1987). The land where the project is to be located is owned by Livno Municipality. The project is not located in any nature, forest or cultural heritage protected areas. Glamoc Wastewater Currently Wastewater No documentation pertaining to the Not started In the Action Plan 82

83 Municipality Name of project treatment plant for sanitary waters of Glamoc Value of project (EUR) unknown Type of project Project documentation Status of project Comment treatment plant for sanitary waters project has been drafted yet, but this project is listed as a priority in the Local Environmental Action Plan (LEAP) of Glamoc Municipality contained in the LEAP of Glamoc Municipality, it the deadline for construction of adequate sewage system and WWTP is 2017 Gacko No information was received from the Municipality officials Trebinje Reconstruction and rehabilitation of sewage network the settlement Crnac Reconstruction and rehabilitation of sewage network Parcelling Plan and Urban-technical Conditions for the settlement Crnac Location Conditions No /10 issued by the Department of Physical Planning of City of Trebinje on 11 March 2013 Main design of the reconstruction and rehabilitation of sewage network the settlement Crnac The contact person from the Municipality stated that at this moment, the existing documentation, including the Location Conditions is sufficient for the commencement of construction works - 83

84 Environmental and Social Management Framework for the Adriatic Sea Environmental Pollution Control Project (I) 8.7 Annex 7 Template for Environmental Management Plan (EMP) Content of EMP A project's EMP consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation and operation to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels. The plan also includes the actions needed to implement these measures. Management plans are essential elements of EA reports for Category A projects; for many Category B projects, the EA may result in a management plan only. To prepare a management plan, the borrower and its EA design team (a) identify the set of responses to potentially adverse impacts; (b) determine requirements for ensuring that those responses are made effectively and in a timely manner; and (c) describe the means for meeting those requirements. More specifically, the EMP includes the following components: Mitigation The EMP identifies feasible and cost-effective measures that may reduce potentially significant adverse environmental impacts to acceptable levels. The plan includes compensatory measures if mitigation measures are not feasible, cost-effective, or sufficient. Specifically, the EMP: identifies and summarizes all anticipated significant adverse environmental impacts (including those involving indigenous people or involuntary resettlement); describes with technical details each mitigation measure, including the type of impact to which it relates and the conditions under which it is required (e.g., continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate; estimates any potential environmental impacts of these measures; and provides linkage with any other mitigation plans (e.g., for involuntary resettlement, indigenous peoples, or cultural property) required for the project. Monitoring Environmental monitoring during project implementation provides information about key environmental aspects of the project, particularly the environmental impacts of the project and the effectiveness of mitigation measures. Such information enables the borrower and the Bank to evaluate the success of mitigation as part of project supervision, and allows corrective action to be taken when needed. Therefore, the EMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the EA report and the mitigation measures described in the EMP. Specifically, the monitoring section of the EMP provides(a) a specific description, and technical details, of monitoring measures, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate), and definition of thresholds that will signal the need for corrective actions; and (b) monitoring and reporting procedures to (i) ensure early detection of conditions that necessitate particular mitigation measures, and (ii) furnish information on the progress and results of mitigation. 84

85 Environmental and Social Management Framework for the Adriatic Sea Environmental Pollution Control Project (I) Capacity Development and Training To support timely and effective implementation of environmental project components and mitigation measures, the EMP draws on the EA's assessment of the existence, role, and capability of environmental units on site or at the agency and ministry level. If necessary, the EMP recommends the establishment or expansion of such units, and the training of staff, to allow implementation of EA recommendations. Specifically, the EMP provides a specific description of institutional arrangements - who is responsible for carrying out the mitigation and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). To strengthen environmental management capability in the agencies responsible for implementation, most EMPs cover one or more of the following additional topics: (a) technical assistance programs, (b) procurement of equipment and supplies, and (c) organizational changes. Implementation Schedule and Cost Estimates For all three aspects (mitigation, monitoring, and capacity development), the EMP provides: an implementation schedule for measures that must be carried out as part of the project, showing phasing and coordination with overall project implementation plans; and the capital and recurrent cost estimates and sources of funds for implementing the EMP. These figures are also integrated into the total project cost tables Sample mitigation and monitoring tables Mitigation Plan Activity Expected Environmental Impact Proposed Measure for Mitigation Responsibility for Implementing Mitigation Measure Period of Implementing Mitigation Measure Cost associated with implementation of mitigation measure Construction Phase Operation Phase

86 Environmental and Social Management Framework for the Adriatic Sea Environmental Pollution Control Project (I) Monitoring Plan WHAT parameter is to be monitored? WHERE is the parameter to be monitored? HOW is the parameter to be monitored (what should be measured and how)? WHEN is the parameter to be monitored (timing and frequency)? BY WHOM is the parameter to be monitored (responsibility)? HOW MUCH is the cost associated with implementation of monitoring Construction Phase Operation Phase

87 Environmental and Social Management Framework for the Adriatic Sea Environmental Pollution Control Project (I) 8.8 Annex 8 - Environmental Management Plan for Mostar Landfill Solid Waste Leachate (Wastewater) Treatment Plant 87

88 Environmental and Social Management Framework for the Adriatic Sea Environmental Pollution Control Project (I) 8.9 Annex 9 - Minutes of Meeting from the Public Consultations and Attendance Sheet Public consultations under Adriatic Sea Environmental Pollution Control Project (I) Croatia and Bosnia and Herzegovina (ASEPC) were held in the premises of the Ministry of Foreign Trade and Economic Relations of Bosnia and Herzegovina (MoFTER), in Sarajevo on 27 June 2013 at 10:00 a.m. List of the participants is attached to the Minutes. The draft of Environmental and Social Management Framework (ESMF) including Environmental Management Plan (EMP) for Mostar Landfill Solid Waste Leachate (Wastewater) Treatment Plant was presented during the public consultations. Consultation meeting started at 10:00 a.m., as envisaged. Ms. Senija Pirija (MoFTER) gave a short introduction to the ASEPC project, and Ms. Maja Maretic Tiro, the Individual Consultant who prepared draft of ESMF including EMP, presented the documents. Presentation was focused on the main findings and recommendations of the ESMF and EMP, including: The main Project goals and investments to be financed; Relevant environmental and social policy relevant to the Project (including national policies, procedures and relevant legislation, as well as the WB operational policies and guidelines); Environmental and social due diligence process (environmental screening, environmental due diligence documentation, disclosure and consultation process, environmental permitting process in the FBiH and RS); Roles and responsibilities of the institutions involved; Environmental Management Plan (main content of the EMP, mitigation measures and monitoring requirements). Public consultation discussion started at 10:50 a.m. The discussion included the various environmental issues from the general ones to those specific to the documents presented, and the questions related to drafts of ESMF and EMP. 1. Question Mr. Tomislav Grizelj (Grizelj d.d) indicated several environmental issues in Bosnia and Herzegovina, particularly in the Neretva basin, including the existing municipal landfill Uborak in Mostar which is called sanitary although it does not meet relevant criteria for a sanitary landfill. Answer Mr. Anto Sain (JP Deponija do.o. Mostar) said that the existing municipal landfill Uborak (old landfill) was to be closed 5-6 years ago. It is commonly called sanitary landfill because it is not illegal one. He stressed out that the new sanitary landfill, constructed near the old one, meets all the necessary criteria for sanitary landfilling. Mr. Sain also pointed out that the management of the JP Deponija do.o. Mostar is willing to provide support in the process of remediation of the old landfill - which will be obligatory after its closing, through the connection of the leachate from the old landfill on the solid 88

89 Environmental and Social Management Framework for the Adriatic Sea Environmental Pollution Control Project (I) waste leachate treatment plant which is planned to be constructed on the new landfill. However, this issue is still to be discussed among the management of both landills. 2. Question Ms. Ozana Bulic (The Adriatic Sea River Basin District, Mostar) said that certain activities (investments) listed in the ESMF are approved and asked what is the situation with the other activities planned (are they approved). In the Annex 6 of the presented ESMF is stated that the main design for regional sewage system in Neum is prepared. She thinks that that investment is finished and she proposed to check it. In addition, Ms. Bulic suggested that the document should contain comparison between the FBiH and RS environmental permitting process in the light the overall permitting process (urban consent, construction permit, water permits, etc.) Answer Ms. Senija Pirija (MoFTER) stated that the remaining project activities have not been approved yet. Ms. Maja Maretic Tiro (Individual Consultant) stated that information presented in Annex 6 of the ESMF is received from the representatives of the Municipality of Neum, during the development of the document. Nevertheless, it will be checked. Ms. Maretic Tiro also stated that overall permitting process is described in the Annex 2 of the ESMF. However, a simplified diagram can be added to this chapter. 3. Question Mr. Tomislav Grizelj (Grizelj d.d) posed a question about the final disposal of the sludge from the solid waste leachate treatment plant. Answer Ms. Maja Maretic Tiro (Individual Consultant) answered that sludge needs to be treated and stabilised before its final disposal. However, the technology to be used has not yet been selected. She stated that, at this point, the consultant had very few information on the planned WWTP. This EMP will need to be updated during the project preparation/implementation when more information on selected WWTP technology and the selected option for sludge management will be available. 4. Question Mr. Josip Njavro (The Municipality of Neum) stated that Neum Municipality does not have sufficient information related to this project. Regarding sub-projects for Neum Municipality listed in the presented ESMF, he said that those sub-projects are not of the highest priority. Although the information to consultant were given by the representatives of the Municipality, Mr. Njavro asked if the Annex 6, in the part concerning Neum, could be amended in a way which will enable Municipality of Neum to implement the project of the highest priority. Answer Ms. Maja Maretic Tiro (Individual Consultant) and Ms. Ms. Senija Pirija (MoFTER) agreed that the Annex 6 of the final ESMF will be revised accordingly. 5. Question Ms. Senija Pirija (MoFTER) stated that presented ESMF indicates the activities planned for Mostar landfill as confirmed. However, only investment for solid waste leachate treatment plant (treatment to reduce nutrient discharges into Adriatic from hot-spots in 89

90 Environmental and Social Management Framework for the Adriatic Sea Environmental Pollution Control Project (I) BiH Mostar landfill) is approved through procurement plan while the other (related to supervision and monitoring) are proposed by MoFTER and have not been approved for the time being. Answer Ms. Maja Maretic Tiro (Individual Consultant) answered that the final document will be revised accordingly. Public consultation discussion ended at 12:30 p.m. Note: It was agreed among the participants of public consultations that Minutes should include only those questions, comments and suggestions related to the documents presented. Attendance Sheet 90