ARMENIA SOCIAL INVESTMENT FUND PROJECT III

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized ARMENIA SOCIAL INVESTMENT FUND PROJECT III GUIDELINES FOR ENVIRONMENTAL PROCEDURES FOR THE OPERATIONAL MANUAL November 2009

2 2.6 Guidelines on Environmental Procedures Introduction These Guidelines are designed for use by Armenia Social Investment Fund (ASIF) staff, local communities and implementing agencies, engineers, environmental consultants, and other stakeholders. Specifically, the Guidelines are intended to ensure that environmental concerns are duly taken into account in the process of microprojects design, selection, approval, and implementation in accordance with the environmental legislation in Armenia, and the World Bank s environmental policies. This chapter of the Operational Manual (OM) lays out procedures and implementation arrangements for ensuring good environmental performance of ASIF. It describes existing environmental regulations and standards of Armenia relevant to the project and makes reference to institutions at the local and national levels responsible for issuing permits, licenses, and enforcing compliance with environmental standards. This chapter also provides detailed guidelines for the ASIF staff and the project proponents on environmental screening, appraisal, and monitoring applied to the microprojects. Each microproject will be individually screened and reviewed by the ASIF to identify any negative impacts and propose respective mitigations measures (template for a simple Environmental Management and Monitoring Plan is included in the OM for those projects with more complex environmental impacts). Training will be provided to technical specialists of ASIF on carrying out the evaluation and monitoring of microprojects according to agreed environmental standards. The main part of the Guidelines relates to recommendations/requirements on the environmental assessment at various stages of the community based microproject cycle. It contains formats of environmental checklists, which are an important tool for environmental review of proposals Environmental Legislation and the Institutional Framework in Armenia Environmental Laws. Since independence, the Republic of Armenia (RoA) has adopted a number of laws relating to environmental protection. Article 10 of the Constitution of RoA guarantees the protection of the environment by the State, as well as the rational use and renewal of natural resources. The legal framework -- which reflects, inter alia, the deliberations of the World Summit in Rio on Environment and Development -- consists of the Law on Environment Impact Assessment (EIA) and a number of other laws which are listed below. 1. Principles on Nature Protection of RoA (1991) 2. RoA Law on Specially Protected Areas (1991) 3. RoA Land Code (2001) (a prior code was adopted in 1991) 4. RoA Water Code (2002) (a prior code was adopted in 1992) 5. RoA Code on Underground Resources (2002) (a prior code was adopted in 1992) 6. RoA Forest Code (1994)

3 7. RoA Law on Atmospheric Air Protection (1994) 8. RoA Law on Environmental Impact Assessment (1995) 9. RoA Law on Environmental and Nature Use Charges (1998) 10. RoA Law on the Purposeful Use of Environmental Charges paid by companies (2001) 11. RoA Law on Flora (1999) 12. RoA Law on Fauna (2000) 13. RoA Law on Hydro-meteorological Activity (2001) 14. RoA Law on Lake Sevan (2001) 15. RoA Law on Fauna (2000) 16. RoA Law on Hydro-meteorological Activity (2001) 17. RoA Law on Complex Program for the Lake Sevan Ecosystem Restoration, Conservation, Reproduction and Use (2001) 18. RoA Law on the Annual Program for the Lake Sevan Ecosystem Restoration, Conservation, Reproduction and Use (2001) 19. RoA Law on Environmental Education (2001) 20. RoA Law on Seismic Protection (2002) 21. RoA Law on Concession of Subsoil for Surveying and Mining for the Purpose of Exploiting Useful Ores (2002) 22. RoA Law on Amending the Code on Administrative Violations (2002) Institutional Framework. At the national level, the Ministry of Nature Protection has the mandate for environmental protection, the sustainable use and regeneration of natural resources and the improvement of the environment. These functions are carried out through the following agencies: (i) The State Environmental Inspectorate and its 11 Regional Environmental Inspectorates who perform the enforcement of laws and regulations pertaining to air and water pollution, land use, biodiversity conservation and forest protection; (ii) The State Environmental Expertise, which is a body responsible for Environmental Impact Assessment; (iii) The Environmental Monitoring Center, which is responsible for air and surface water quality monitoring; and (iv) Hydromet, which is responsible for monitoring water flow, water balance and water level fluctuations, organization of research in the field of environmental pollution and weather forecasting. At the regional level, a marz carries out the following functions: (i) participates in the development of national environmental programs and make provisions for their implementation within a marz; (ii) enforces environmental legislation within a marz;

4 (iii) supports specially protected areas, natural resource utilization, and executes measures against illegal hunting, fishing, and logging; and (iv) works in cooperation with environmental NGOs. ASIF will carry out environmental screening of microproject proposals, will classify them by environmental categories, and assess potential impacts of microprojects and adequacy of the proposed mitigation measures. ASIF will also assist Project Implementing Agencies (PIAs) with the development of environmental management and monitoring plans for microprojects as required. Screening of microproject proposals will (i) determine their potential environmental and social impacts and risks, (ii) turn down proposals implementation of which would violate legislation and would be detrimental for the environment, (iii) classify selected proposals by environmental categories, and (iv) define what type of environmental assessment is required. Most microprojects are likely to fall under environmental category C and require no environmental assessment. Proposals classified as category B will require a simple environmental overview and development of environmental management and monitoring plans. Category A microprojects which potential irreversible, multiple, or broad environmental impacts will not be financed by ASIF ASIF Environmental Policy The ASIF III Project and its Additional Financing (AF) 1 and 2 invest in community infrastructure microprojects as a short-term solution to the crisis by addressing priority social needs generating immediate temporary work opportunities. ASIF III, and AF 1 and 2 trigger the World Bank safeguard OP/BP 4.01 Environmental Assessment and fall under Environmental Category FI (Financial Intermediary). Microprojects supported from the proceeds of these projects may be of environmental categories B and C. No category A microprojects will be financed. AF 1 and 2 will not support new construction; therefore, the World Bank safeguard OP/BP 4.12 Involuntary Resettlement is not triggered. If the proposed reconstruction/rehabilitation of the existing infrastructure may negatively affect informal users of it or the land under it, or the envisaged civil works may restrict access/use of land or other property by their owners, such microproject shall not be financed either. While reviewing microproject proposals for rehabilitation of public buildings, ASIF must check that none of them are classified as historical and/or cultural property of the RoA. Civil works contractors of ASIF will be obligated to immediately take activities on hold and notify the client if any chance finds are encountered in the course of earth works. ASIF will contact relevant national authority to ensure that a due course of action is taken. Contractor may resume works upon formal notice from ASIF. ASIF III Project and AF 1 and 2 do not trigger OP/BP 7.50 Projects on International Waterways. If a potable water supply microproject is selected for financing, ASIF must ensure that the new schemes are designed to abstract water exclusively from wells and small surface springs. Rehabilitation of the existing water supply and irrigation schemes will be allowed if that does not alter the designed water intake parameters. Therefore, no microproject will affect quality or quantity of water streams in the international waterways.

5 PIAs, communities, and municipal governments will be the key stakeholders of community infrastructure microprojects. Stakeholders will be consulted on a case-bycase basis, depending on the nature of a proposed microproject, in the course of proposal screening, planning mitigation measures to address potential environmental impacts, and during microproject supervision. Typically, ASIF promotion staff and appraisal engineers will hold discussions on-site with the community and the municipality in preparing and reviewing environmental assessments and EMPs if and when required. When possible, experts within the municipality will participate directly in the preparation of environmental assessments and plans. Communities must obtain all necessary permits and clearances from the municipality prior to the final approval of any microproject proposal. During microproject implementation, ASIF engineers will monitor the quality of works, including their environmental compliance, of category B microprojects, as well as of a number of selected category C microprojects of various types. The coverage and depth of the environmental due diligence applied to individual microprojects depends on the nature, scale, and potential impact of a proposed microproject. It is anticipated that majority of ASIF-funded community microprojects will fall under category C and will not require environmental assessment. For category B microprojects a simple EA will be carried out using the checklist provided in Annex Environmental Management Plans and Environmental Monitoring Plans will also be developed following the suggested format (Annex 11-3). Key considerations to be taken into account during EA process include: compliance with existing environmental regulations in Armenia; linkages with social assessment; costing of the main mitigation measures; public participation and consultation with affected communities; and disclosure of information. Like economic, financial, institutional and engineering analysis, EA is part of project preparation and, therefore, is the responsibility of a microproject proponent Environmental Assessment at Various Stages of the Microproject Cycle The three stages of the environmental assessment during the microproject cycle are: Preliminary Appraisal Stage Final Appraisal Stage Implementation Stage Environmental Assessment at the Preliminary Appraisal Stage The goals of the preliminary environmental assessment are to:

6 - collect evidence that a proposed community based microproject does not violate existing environmental regulations is not detrimental for the environment, and is not expected to have irreversible, multiple, or broad environmental impacts; - evaluate potential adverse environmental impacts; - classify a microproject by environmental category (B or C); - verify presence of any applicable environmental permits to be obtained by the beneficiary community, as well as identify a need for any permits/licenses to be held/obtained by works contractor(s); provide environmental clearance for a category C microproject financing or clear a microproject for further processing and provide recommendations on the EA for a category B subproject. Environmental classification of microprojects shall follow the principles of the World Bank OP/BP 4.01 Environmental Assessment. Generally, it is expected that microprojects for the (i) refurbishment of the existing public buildings (replacement of windows and/or roofing, re-plastering, re-painting, etc.), (ii) repair of the existing community power supply, water supply, and individual building heating systems, (iii) provision of goods (IT equipment, furniture, etc.), and (iv) upgrading of recreational areas and green zones within municipalities will fall under category C. Microprojects for the (i) reconstruction/extension of the existing buildings, (ii) provision of the new power and water supply, and heating systems, (iii) rehabilitation of sewerage schemes, and (iv) activities implying physical works in the river beds or water streams (repair of bridges, reinforcement of embankments, etc.) are expected to fall under category B. Environmental assessment at the preliminary appraisal stage implies the desk review of the microproject proposal and the field visit of ASIF staff to a microproject site, with the purpose of verifying information provided in the proposal and identifying any circumstances which may not appear in the proposal. Findings of the environmental assessment at the preliminary appraisal stage must be documented by ASIF staff using the template provided in Annex Environmental Assessment at the Final Appraisal Stage Microprojects classified as category B will require environmental assessment at the Final Appraisal Stage. The goals of the environmental assessment at Final Appraisal Stage are to: - review outputs of the environmental assessment of a subproject and evaluate adequacy of the produced Environmental Management Plan; - obtain evidence on the disclosure of the Environmental Management Plan to the affected community; - discuss and agree with a microproject proponent the proposed Environmental Monitoring Plan; and

7 Provide environmental clearance for financing a category B microproject. Environmental assessment at the Final Appraisal Stage implies the desk review of the EA report, including environmental management and monitoring plans and the discussion with a microproject proponent to ensure full understanding of the proponent s responsibility for the adherence to the environmental management plan. At this stage of appraisal ASIF staff may consider undertaking an additional visit to a microproject site in case of a special need for that. Findings of the environmental assessment at the final appraisal stage must be documented by ASIF staff using the template provided in Annex Environmental Monitoring at the Implementation Stage (construction and operation) At the construction and operational stage, the main goal of environmental specialists is to monitor application of good environmental practice under all types of microprojects, and adherence to the Environmental Management Plans for category B microprojects. To achieve this goal, ASIF staff and local supervising engineer should provide general advice on the sound environmental behaviour to the works contractors while visiting microproject sites for supervising their progress. While no special environmental monitoring is mandatory for category C microprojects, supervising engineers should use environmental impact checklists completed at the Preliminary Appraisal Stage for tracking environmentally sensitive aspects of the ongoing activities and ensuring site clean-up upon completion of works. Environmental oversight of category C microprojects, provided as a part of the general progress monitoring process, as well as through random or planned environmental supervision visits should be documented by supervising engineers or other ASIF staff using the Field Inspection Checklist provided in Annex For category B microprojects environmental oversight of the ongoing works must follow the agreed upon environmental monitoring plans and monitoring reports should be produced using the prescribed criteria. Such monitoring reports should be developed using the environmental monitoring table (Annex 1-4). In case a works contractor persistently fails to adhere to the Environmental Management Plan and does not remediate tangible environmental damage resulting from it, ASIF shall consider suspension/termination of a contract and application of penalties as provided by the contract terms.

8 Annex 11-1 PRELIMINARY ENVIRONMENTAL ASSESSMENT CHECKLIST This checklist must be completed for each received microproject proposal based on the desk review of an application and the field visit to its implementation site. Field visit may not be undertaken if the submitted documentation is unacceptable and the application is turned down on that basis. Microproject title Microproject # Estimated total cost Requested grant amount Municipality Community Land and infrastructure ownership and use Is the land under the microproject site a state/public property? Is the infrastructure to be rehabilitated under the microproject a state/public property? Is there any encroachment or other informal use of the land under the microproject site or an infrastructure within the site at present? Is the current type of use of the microproject site and the existing infrastructure intended for change after microproject implementation? If yes, please explain how. Physical and natural environment Briefly describe surroundings of the microproject site: - is the area urban or rural? - is the area residential, industrial, farming, natural landscape? - what are the sensitive receptors in the neighborhood: protected area, water body, clinic (or other medical institution), school (or other children s institution), etc.? - is the area prone to any known geohazards (high ground water table, flooding, landslides, avalanches, etc.)?

9 - is the area known or appears to be significantly polluted (municipal waste, previous construction waste, historical chemical spill, etc.)? Permitting Requirements List all permits, licenses, and other authorizing documents which the microproject beneficiary PIA and its contractors will need for carrying out the proposed activities (e.g. construction permit, license for civil construction, license for aggregate extraction, water use permit, letter from local municipality on waste disposal arrangements, etc.) Potential environmental and social impacts Type of Impact Likelihood of Impact Soil pollution Constr. Yes --- Oper. Yes --- Water pollution Constr. Yes --- Oper. Yes --- Air pollution Constr. Yes --- Oper. Yes --- Damage to flora and fauna Deterioration of landscape and/or aesthetical look Damage to public health Nuisance for surrounding human settlements/public institutions/businesses Constr. Yes --- Oper. Yes --- Constr. Yes --- Oper. Yes --- Constr. Yes --- Oper. Yes --- Constr. Yes --- Oper. Yes --- Expected Magnitude of Impact Minor Moderate Severe

10 If any of the expected impacts are severe and their mitigation is overly costly and difficult, then the microproject proposal must be rejected. If one of more expected impacts is moderate, then the microproject is likely to be classified as category B and the environmental checklist provided in attachment 11-X shall be filled out for it. If all or majority of the expected impacts are minor, then the microproject is likely to be classified as category C. For such microprojects provide general recommendations for mitigation of impacts here: Conclusion of the primary environmental appraisal (select one of the below three options) Microproject proposal is rejected (it violates the national environmental legislation and regulations, or has severe environmental impacts and is classified as category A) Microproject is classified as category B and is accepted and transferred to the final environmental appraisal (environmental assessment required using checklist provided in Annex 11-3) Microproject is classified as category C, environmental appraisal is completed, and the proposal is cleared for financing.

11 FINAL ENVIRONMENTAL ASSESSMENT CHECKLIST Annex 11-2 This checklist must be completed for microprojects classified as category B based on the review of completed environmental checklist provided in Annex Microproject title Microproject # Estimated total cost Requested grant amount Municipality Community Land and infrastructure ownership and use Is the environmental assessment checklist completed using the proposed format and carries full information? Are all potential impacts identified through the preliminary environmental appraisal covered in the environmental assessment? Are the mitigation measures proposed in the Environmental Management Plan adequate and realistic? Are the costs of mitigation measures estimated for the refection in the bill of quantities of civil works? Explain how the Environmental Management Plan was disclosed and consulted upon with the microproject beneficiary community: Conclusion of the final environmental appraisal Microproject proposal is rejected (the proposed environmental mitigation measures are inadequate or unrealistic) Environmental appraisal is completed, and the proposal is cleared for financing.

12 Annex 11-3 ENVIRONMENTAL ASSESSMENT FOR SMALL CIVIL WORKS PART A: GENERAL PROJECT AND SITE INFORMATION INSTITUTIONAL & ADMINISTRATIVE Municipality, community Microproject title, number Scope of project and activity Institutional arrangements (Name and contacts) Head of municipality Leader of Project Implementing Agency Contractor SITE DESCRIPTION Name of site Describe site location Who owns the land? Description of geographic, physical, biological, geological, hydrographic and socio-economic context Locations and distance for material sourcing, especially aggregates, water, stones? LEGISLATION Identify national & local legislation & permits that apply to project activity PUBLIC CONSULTATION Identify when / where the public consultation process took place INSTITUTIONAL CAPACITY BUILDING Will there be any [ ] N or [ ]Y if Yes, Attachment 2 includes the capacity building program capacity building?

13 PART B: SAFEGUARDS INFORMATION ENVIRONMENTAL /SOCIAL SCREENING Activity/Issue Status Triggered Actions A. Building rehabilitation [ ] Yes [ ] No See Section A below B. New construction [ ] Yes [ ] No See Section A below Will the site activity include/involve any of the following? C. Individual wastewater treatment system [ ] Yes [ ] No See Section B below D. Historic building(s) and districts [ ] Yes [ ] No See Section C below E. Acquisition of land 1 [ ] Yes [ ] No See Section D below F. Hazardous or toxic materials 2 [ ] Yes [ ] No See Section E below G. Impacts on forests and/or protected areas [ ] Yes [ ] No See Section F below H. Handling / management of medical waste [ ] Yes [ ] No See Section G below I. Traffic and Pedestrian Safety [ ] Yes [ ] No See Section H below 1 Land acquisitions includes displacement of people, change of livelihood encroachment on private property this is to land that is purchased/transferred and affects people who are living and/or squatters and/or operate a business (kiosks) on land that is being acquired. 2 Toxic / hazardous material includes but is not limited to asbestos, toxic paints, noxious solvents, removal of lead paint, etc.

14 PART C: MITIGATION MEASURES ACTIVITY PARAMETER MITIGATION MEASURES (provide costs where applicable) 0. General Conditions Notification and Worker Safety A. General Rehabilitation and /or Construction Activities B. Individual wastewater treatment system Air Quality Noise Water Quality Waste management Water Quality (a) The local construction and environment inspectorates and communities have been notified of upcoming activities (b) The public has been notified of the works through appropriate notification in the media and/or at publicly accessible sites (including the site of the works) (c) All legally required permits have been acquired for construction and/or rehabilitation (d) The Contractor formally agrees that all work will be carried out in a safe and disciplined manner designed to minimize impacts on neighboring residents and environment. (e) Workers PPE will comply with international good practice (always hardhats, as needed masks and safety glasses, harnesses and safety boots) (f) Appropriate signposting of the sites will inform workers of key rules and regulations to follow. (a) During interior demolition debris-chutes shall be used above the first floor (b) Demolition debris shall be kept in controlled area and sprayed with water mist to reduce debris dust (c) During pneumatic drilling/wall destruction dust shall be suppressed by ongoing water spraying and/or installing dust screen enclosures at site (d) The surrounding environment (side walks, roads) shall be kept free of debris to minimize dust (e) There will be no open burning of construction / waste material at the site (f) There will be no excessive idling of construction vehicles at sites (a) Construction noise will be limited to restricted times agreed to in the permit (b) During operations the engine covers of generators, air compressors and other powered mechanical equipment shall be closed, and equipment placed as far away from residential areas as possible (a) The site will establish appropriate erosion and sediment control measures such as e.g. hay bales and / or silt fences to prevent sediment from moving off site and causing excessive turbidity in nearby streams and rivers. (a) Waste collection and disposal pathways and sites will be identified for all major waste types expected from demolition and construction activities. (b) Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical wastes by on-site sorting and stored in appropriate containers. (c) Construction waste will be collected and disposed properly by licensed collectors (d) The records of waste disposal will be maintained as proof for proper management as designed. (e) Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos) (a) The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction) must be approved by the local authorities (b) Before being discharged into receiving waters, effluents from individual wastewater systems must be treated in order to meet the minimal quality criteria set out by national guidelines on effluent quality and wastewater treatment (c) Monitoring of new wastewater systems (before/after) will be carried out (d) Construction vehicles and machinery will be washed only in designated areas where runoff will not pollute natural surface water bodies. C. Historic building(s) Cultural Heritage (a) If the building is a designated historic structure, very close to such a structure, or located in a designated historic district, notification shall be made and approvals/permits be obtained from local authorities and all construction activities planned and carried out in line with local and national legislation. (b) It shall be ensured that provisions are put in place so that artifacts or other possible chance finds encountered in excavation or construction are noted and registered, responsible officials contacted, and works activities delayed or modified to account for such finds.

15 ACTIVITY PARAMETER MITIGATION MEASURES CHECKLIST D. Acquisition of land Land Acquisition Plan/Framework (a) If expropriation of land was not expected but is required, or if loss of access to income of legal or illegal users of land was not expected but may occur, that the Bank s Task Team Leader shall be immediately consulted. (b) The approved Land Acquisition Plan/Framework (if required by the project) will be implemented E. Toxic Materials Asbestos management (a) If asbestos is located on the project site, it shall be marked clearly as hazardous material (b) When possible the asbestos will be appropriately contained and sealed to minimize exposure (c) The asbestos prior to removal (if removal is necessary) will be treated with a wetting agent to minimize asbestos dust (d) Asbestos will be handled and disposed by skilled & experienced professionals (e) If asbestos material is be stored temporarily, the wastes should be securely enclosed inside closed containments and marked appropriately. Security measures will be taken against unauthorized removal from the site. (f) The removed asbestos will not be reused F. Affected forests, wetlands and/or protected areas G. Disposal of medical waste H Traffic and Pedestrian Safety Toxic / hazardous waste management Protection Infrastructure for medical waste management Direct or indirect hazards to public traffic and pedestrians by construction activities (a) Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of composition, properties and handling information (b) The containers of hazardous substances shall be placed in an leak-proof container to prevent spillage and leaching (c) The wastes shall be transported by specially licensed carriers and disposed in a licensed facility. (d) Paints with toxic ingredients or solvents or lead-based paints will not be used (a) All recognized natural habitats, wetlands and protected areas in the immediate vicinity of the activity will not be damaged or exploited, all staff will be strictly prohibited from hunting, foraging, logging or other damaging activities. (b) A survey and an inventory shall be made of large trees in the vicinity of the construction activity, large trees shall be marked and cordoned off with fencing, their root system protected, and any damage to the trees avoided (c) Adjacent wetlands and streams shall be protected from construction site run-off with appropriate erosion and sediment control feature to include by not limited to hay bales and silt fences (d) There will be no unlicensed borrow pits, quarries or waste dumps in adjacent areas, especially not in protected areas. (a) In compliance with national regulations the contractor will insure that newly constructed and/or rehabilitated health care facilities include sufficient infrastructure for medical waste handling and disposal; this includes and not limited to: Special facilities for segregated healthcare waste (including soiled instruments sharps, and human tissue or fluids) from other waste disposal; and Appropriate storage facilities for medical waste are in place; and If the activity includes facility-based treatment, appropriate disposal options are in place and operational (a) In compliance with national regulations the contractor will insure that the construction site is properly secured and construction related traffic regulated. This includes but is not limited to Signposting, warning signs, barriers and traffic diversions: site will be clearly visible and the public warned of all potential hazards Traffic management system and staff training, especially for site access and near-site heavy traffic. Provision of safe passages and crossings for pedestrians where construction traffic interferes. Adjustment of working hours to local traffic patterns, e.g. avoiding major transport activities during rush hours or times of livestock movement Active traffic management by trained and visible staff at the site, if required for safe and convenient passage for the public. Ensuring safe and continuous access to office facilities, shops and residences during renovation activities, if the buildings stay open for the public.

16 PART D: MONITORING PLAN What Where How When Why Who Phase (Is the parameter to be monitored?) (Is the parameter to be monitored?) (Is the parameter to be monitored?) (Define the frequency / or continuous?) (Is the parameter being monitored?) (Is responsible for monitoring?) Construction Operaiton

17 Annex 11-4 FIELD INSPECTION CHECKLIST Microproject title Microproject # Municipality Community Date of Visit Name of engineer Brief description of the microproject implementation progress on site: List in the table potential impacts identified at the preliminary environmental appraisal and mitigation measures recommended. Mark which of this measures are applicable at the current stage of microproject implementation and assess adequacy of their application on the site. Type of expected impac Recommended mitigation measures Assessment of mitigation efforts