Environmental Management and Sustainable Development, Study notes of Environmental Management

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Environmental Management and Sustainable Development IFAD’s Environmental and Social Assessment Procedures IFAD Environmental and Social Assessment Procedures v ACRONYMS ADB Asian Development Bank AfDB African Development Bank AP/PD Assistant President/Programme Management Department CAS Country Assistance Strategy CBD Convention on Biological Diversity CBO Community Based Organization CCA Common Country Assessment CEA Country Environmental Analysis CPM Country Programme Manager CPMT Country Programme Management Team ESA Environmental and Social Assessment EB Executive Board EC European Commission EEC European Economic Community ESIA Environmental and Social Impact Assessment ESIS Environmental and Social Impact Statement ESS Environmental Screening and Scoping ESRN Environmental and Social Review Note EU European Union EUGAP European Union Good Agricultural Practices FAO Food and Agriculture Organization of the United Nations GIS Geographic Information System IADB Inter-American Development Bank IAIA International Association for Impact Assessment IBRD International Bank for Reconstruction and Development IEE Initial Environmental Examination IFAD International Fund for Agricultural Development IFDC International Centre for Soil Fertility and Agricultural Development ILRI International Livestock Research Institute KSF Key Success Factor MAT Maturity Assessment Template (Assessment of Program/Project Design Maturity) MDG Millennium Development Goal MFI Multilateral Financial Institutions NAP National Action Programme NAPA National Adaptation Programmes of Action NEAP National Environment Action Plan NGO Non-Governmental Organisation NRM Natural Resource Management OECD Organisation for Economic Co-operation and Development OS Operational Statements OSC Operational Strategy and Policy Guidance Committee PB President’s Bulletin PDR Project Design Report IFAD Environmental and Social Assessment Procedures vi PPP Policy, Plan and Programme PRSP Poverty Reduction Strategy Paper PT Technical Advisory Division QA Quality Assurance QE Quality Enhancement RB-COSOP Results-Based Country Strategic Opportunities Programme RD Regional Director REA Regional Environmental Assessment RIMS Results and Impact Management System RRN Reviewers’ Recommendations Note SEA Strategic Environmental Assessment SIA Social Impact Assessment SWAp Sector-Wide Approach TOR Terms of Reference UNCCD United Nations Convention to Combat Desertification UNCED United Nations Conference on Environment and Development UNCT United Nations Country Team UNDAF United Nations Development Assistance Framework UNFCCC United Nations Framework Convention on Climate Change UNDAF United Nations Development Assistance Framework WB World Bank WSSD World Summit on Sustainable Development IFAD Environmental and Social Assessment Procedures 1 INTRODUCTION IFAD’s Commitment to Environmental Management IFAD’s mission statement “To enable poor rural people to overcome poverty” 1. As a development institution, IFAD has been involved in addressing environmental issues for many years. IFAD’s ‘Administrative Procedures for Environmental Assessment in the Project Cycle’ – PB/94/03 was approved in 1994, broadly mandating the Fund to ensure that all environmental issues associated with its operations are adequately addressed. The Administrative Procedures included provisions for: (i) improving environmental quality of operations financed by the Fund; (ii) promoting the conservation and sustainable management of natural resources with specific references to environmentally sustainable practices for biological diversity and protected area management, fisheries, range resources, forest resources, wetlands and water resources; (iii) environmental categorisation of projects entering the pipeline; and (iv) environmental impact assessments (EIA) for all projects with classification of Category A. 2. The imperative to recognize and act upon the linkages between poverty and environment in IFAD’s operations is particularly strong given the generally negative changes in the world’s ecosystems. The 2006 Millennium Ecosystem Assessment (MA) summarized the importance of ecosystem goods and services to the well-being of human populations throughout the world. It also highlighted the particular vulnerability of poor people to declines in ecosystem goods and services, because their lifestyles are disproportionately dependent upon the provisioning services of ecosystems and they frequently lack other options. As a specialised agency of the United Nations, IFAD actively embraces the principles of sustainable development and is demonstrated in its support to the Global Mechanism of the United Nations Convention to Combat Desertification (UNCCD) and the International Land Coalition (ILC). As an executing agency for the Global Environment Facility, IFAD has taken a key role in dealing with threats to the global environmental commons, such as biodiversity loss, deteriorating International Waters, Climate Change, desertification and Land Degradation, with a special focus on the latter three because related issues (in isolation or combined) threaten the livelihoods of nearly one billion poor rural people around the globe. These threats present new urgent challenges, especially to poor rural communities many of whom depend entirely on natural resources for their daily livelihoods. The Fund’s commitment to sustainable development is also illustrated in its Strategic Objectives wherein, a balance of economic growth, social cohesion and equity, agricultural productivity/production, environmental protection and sustainable natural resource management are considered as fundamental to its core mandate of rural poverty reduction – a link recognised by the Comprehensive Development and in the Multilateral Environmental Agreements IFAD Environmental and Social Assessment Procedures 4 Table 1 What’s new in IFAD’s approach to environmental and social issues? Key Factors of Change Strategic Framework Tools/Instruments Institutional Realignment Lessons learned
Build on field realities and impact concerns
Set realistic targets
Focus on country ownership
Emphasis on poverty- environment links.
Focus on targeting and gender equality
Emphasis on Institutional Strengthening
Country diagnostic studies
Guidance/Learning Notes
Operational Statement
Portfolio reviews
Emphasis on poverty and vulnerability assessments
Institutional commitments such as field presence, implementation support, supervision and knowledge management Changing context
Globalisation
Increasing role of public/private partnership
Stronger role of regional organizations and the civil society
Increasing role of research
Focus on comparative advantage
“Mainstreaming” (inter- sectoral linkages) and upscaling (focus on best practices and policy dialogue)
Emphasis on institutional strengthening including Community-Based Natural Resource Management
Strategic Environment Assessments (SEAs)
Policy dialogue
Grant policy
IFAD Supplementary Funds
Innovation mainstreaming
Focus on challenges such as climate change, desertification, food crisis and emerging diseases (i.e. avian flu)
Innovative financing mechanisms such as ecosystem markets
Strategic partnership
Grant/policy processes
Global and Country grants Changing IFAD
Comprehensive Development Framework
Focus on integrated environmental and social assessments
Focus on quality at entry
Focus on Indigenous Peoples & the Marginalised Poor
Focus on agricultural productivity/production
Focus on fragile states
Focus on maximising local and global environmental opportunities
Emphasis on natural resource management
Targeting policy
Gender-sensitive poverty and livelihood analysis
Risk/vulnerability assessments
Key Success Factors
Sector-wide Programmes
Changing lending instruments
Results-based strategic programmes/ approaches
Participatory tools
Free, prior and informed consent
Policy on supervision and implementation support
Framework for Gender Mainstreaming in IFAD’s Operations
Results and impact monitoring
Linking local to global environmental benefits
Quality enhancement and assurance processes
Staff training
Policy Forum IFAD Environmental and Social Assessment Procedures 5 Box 1 IFAD’S Environmental and Social Values and Principles In support of the Fund’s mission to enable poor rural people to overcome poverty, IFAD is committed to adopting the following environmental and social values and principles: A. Address the vulnerability and adaptation needs for the rural poor. In this context: (i) address the cause-effect relationship between rural poverty and environmental degradation; (ii) ensure that its operations support the efficient use of natural resources, subject to their regenerative capacity; (iii) adopt approaches that foster mediation to help rebuild social cohesion and good governance of natural resources; and (iv) wherever possible make use of indigenous knowledge & technologies that improve rural livelihoods while safeguarding the environment. B. Promote the sustainable use of natural resources and protection of key ecosystems. Ensure that its operations (agricultural, fishery, forestry, livestock, micro-enterprise development, promotion of rural finance) do not lead to unnecessary clearing of tropical forests, unsustainable utilisation of natural resources, the inundation of irrigation storage reservoirs, the loss of biodiversity (loss or threat of biodiversity and the elimination of important breeding grounds and habitats such as fish nurseries, etc). This shall apply especially to those activities in which the intensification of agricultural production and value chain development are specific objectives. C. Focus on partnership-oriented initiatives for improved social and environmental quality. Consider the diversity of environmental and social factors which impinge on its activities – such as population dynamics, health and sanitary conditions, institutional strengthening, environmental awareness - to expand use of win-win practices across collaborating institutions and maximise impact. D. Address environmental and social impact assessments of agricultural and non-agricultural activities in an integrated manner. Where impacts are found to be potentially detrimental to the environment and rural livelihoods, undertake suitable measures to mitigate risks and adverse impacts, and thus ensure the sustainability of its rural poverty programmes. E. Incorporate externalities and minimize social costs. Mitigate diseconomies imposed by an IFAD- financed operation on the environment external to the project boundaries. Where possible, its operations shall address the affected areas as well, through joint projects (which may constitute an entire command area or watershed) to minimise social, economic and environmental costs in the affected area and, where possible, to incorporate the externalities. F. Implement participatory approaches, with special emphasis on the role of women. Strengthen local farm-level organizations and user groups, essential for promoting environmental sustainability and social cohesion. In this regard, promote appropriate incentive systems and maximise the opportunities for local grass- root organizations and the target group, with special emphasis on the role of women, to participate in project/programme design and implementation, as well as in cost recovery and delivery systems. G. Promote the development of Indigenous Peoples and other marginalised groups (pastoralists, hunters and gatherers). Through its operations, enhance their livelihoods: secure ownership /access to ancestral land and territories; strengthen their institutions, promote Free Prior Informed Consent (FPIC), and value indigenous knowledge systems. H. Promote environmentally sound agricultural and manufacturing processes. These include Traditional and Indigenous Technologies, Integrated Pest Management (IPM), use of biological control and cleaner technologies. Whenever it is necessary to use agrochemicals in its investment projects, ensure (through enhanced environmental awareness, farmer training & improved field extension services) the proper application, storage and disposal of agricultural chemicals in line with international standards. I. Ensure systematic environmental and social monitoring. Focus on projects identified as ‘at risk’ or in ‘sensitive areas’ centered on its Results and Impact Management Framework to help promote continued diligence in pursuing its environmental objectives. Committed to maintaining transparency, continue the disclosure of any information considered useful in clarifying its operations, within the limitations of its Disclosure Policy. J. Undertake Strategic Environmental Assessments; where appropriate; undertake integrated environmental and social assessments at critical points of the Plan, Policy and Programme cycles centered on results of promoting aid effectiveness, while focussing on promoting better sustainable regulatory and institutional frameworks of countries. IFAD Environmental and Social Assessment Procedures 6 Table 2. Addressing environmental issues in the context of IFAD’s strategic objectives and principles of engagement Strategic objectives, principles of engagement Entry points and priorities from an environmental perspective 1 Natural resources, especially secure access to land and water, and improved natural resource management and conservation practices
Establish links between poverty and NRM
Policy dialogue on incentives to optimize local control over, and access to NR
Environmental awareness for user groups (in water, community forest, etc.)
Indigenous/traditional knowledge and roles in protecting biodiversity and the natural resource base
Positive synergies between relevant activities. 2 Improved agricultural technologies and effective production services
Environmentally friendly technologies (water, soil conservation, energy, etc.) including Indigenous Technologies
Training and extension, Environmental Awareness / Education
Organic Farming
Improved management of indigenous locally adapted plants & animals
Judicious use of agrochemicals
Innovation in agriculture 3 A broad range of financial services
Capacity building of MFI and financial institutions
Environmental screening of activities (including list of unsustainable practices)
Environmental performance, impact of microfinance institutions
Rewards for Environmental Services 4 Transparent and competitive markets for agricultural inputs and produce
Strengthen capacity on good agricultural and manufacturing practices (i.e. EUGAP)
Improved markets for Indigenous products (indigenous grains, wild honey)
Promote clean technologies 5 Opportunities for rural off-farm employment and enterprise development
Mitigate cumulative adverse impacts (exploitation of raw materials)
Mitigate environmental pollution (soils, water, etc.)
Occupational safety and health risks
Tailor skills and vocational training on environmental issues for different target groups
Off-farm activities 6 Local and national policy and programming processes
Use of analytical tools such as Strategic Environment Assessments and Country Environmental Assessments in development of PPPs
Establish positive synergies with relevant frameworks (NAPs, NAPAs, NEAPs, PRSPs etc)
Focus on the community and municipal levels
Influence policy reform on natural resources 7 Emerging issues
Climate change
Alternate energy including bio-energy
Genetically Modified Organisms (GMOs)
Disaster mitigation (Drought, Desertification & Floods)
Risk and vulnerability assessments
Food crisis – agricultural productivity/production
Synergies with Multilateral Environmental Agreements IFAD Environmental and Social Assessment Procedures 9 1.3. General ESA provisions 1.3.1. ESA Responsibility 7. Any ESA required during programme/project design is the responsibility of the borrower country, as is the case for programme/project preparation in general. Any ESA deemed necessary during the implementation phase is also the responsibility of the borrower. In both cases IFAD will support the process to ensure that both IFAD and borrower ESA requirements are met. 1.3.2. Financing of Environmental and Social Assessments 8. The costs of ESA studies undertaken during the preparation of RB-COSOPs and programmes/projects will be part of the Programme Development Financing Facility (as laid out in EB 2001/74/R.7/Rev.1-and any subsequent amendment to this document that may take place). For studies undertaken during implementation, the associated costs are to be included in the loan provision including any additional cost of ensuring full community participation. 1.3.3. Projects initiated by co-financing institutions 9. For projects initiated by co-financing institutions, such as IBRD, ADB, AfDB and IADB, the respective environmental and social safeguards/procedures of the initiating institution will take precedence over the IFAD ESA procedures described below. In these cases: (i) the initiating institution will support the ESA process and ensure that borrower requirements are met; and (ii) fulfilment of the initiating co-financer’s ESA requirements will be deemed, in principle, to satisfy IFAD’s ESA requirements. Unless otherwise specified, the initiating institution will support the borrower in ensuring environmental due diligence throughout the project cycle. 1.3.4. Consultation in the ESA process 10. In conformity with IFAD’s emphasis on participation in programme/project design and implementation, full consultation with the programme/project stakeholders, including beneficiaries, affected populations (especially the marginalized poor), representative non-governmental and community-based organizations and other interested parties, will continue to be sought on environmental/natural resource management issues during the respective programme/project cycle. To ensure active and useful participation, IFAD will also continue to support capacity building of communities and the public with emphasis on critical issues such as Poverty and Environment Biodiversity Loss, Climate Change and Desertification. Community participation should be an integral part of the planned RB-COSOP and project stakeholder consultation process as much as possible. 1.3.5. Disclosure of documentation related to ESA process 11. The sharing of reports with programme/project stakeholders and other interested parties resulting from IFAD’s ESA process will be subject to the same procedures that currently apply to the distribution of IFAD’s Project Design Reports. In line with IFAD’s Disclosure Policy (EB 2006/89/R.5.Rev.1), ESA reports will be made available upon request to stakeholders and other interested parties, subject to agreement by borrowing member countries. 1.4. Incorporation of ESA into IFAD’s Quality Enhancement (QE) process 12. IFAD’s ESA process is fully incorporated into the Quality Enhancement process (PB/2008/01 ‘Guidelines for project design, for internal project review and for quality assurance’). Country IFAD Environmental and Social Assessment Procedures 10 Programme Management Teams and particularly CPMs are assigned the central role of overseeing the ESA process and implementing the ESA procedures with respect to their programme/project proposals. The steps in the ESA process may be merged and not all projects will be subject to all steps. Furthermore, the intensity of action required at each step will depend on the nature of the project. 13. The mainstreaming of the ESA process into IFAD’s Quality Enhancement process can be represented schematically in Figure 2. Figure 2. Quality Enhancement Process: Flow Chart Design Stages (i) The Maturity Assessment Template (MAT) provides a robust indicator of quality at entry (environment and social safeguard issues are incorporated in Key Success Factors 3 and 5). (ii) Each successive MAT should focus on how maturity of design has evolved. (iii) Specific environmental risks for implementation, including Borrower responsibility for due diligence, to be resolved at loan negotiations. (iv) Both ESRN and ESIA reports are part of the Project Life File. IFAD Environmental and Social Assessment Procedures 11 Table 4. ESA Process Mainstreamed in the Project Cycle Project Stage ESA Document requirements Reference Purpose Main contents Responsibility Pre-lending phase SEA, if considered necessary RB-COSOP (contains pipeline with indicatively three proposals) Project Life File - Integrate environmental considerations into policy and planning, evaluate the inter-linkages with economic/social considerations Strategic priorities to enhance institutional capacity on NRM CPMT/STA Environment Project Concept (within the COSOP or Inception Memorandum/ Concept Note for countries without a COSOP) Preliminary ESRN RB-COSOP Mission report Concept Note Project Life File - Collect environmental information on proposed activities - Preliminary categorization Govt policies, institutions addressing environment, Country’s environmental regulatory framework, main site characteristics, major environmental concerns. Linked poverty and environment indicators. CPMT/CPM Project Design (Early design stage) ESRN PDR Mission report Project Life File - Confirm environmental category - Identify magnitude and detail likely environmental and social impacts, propose alternatives, preventive actions, mitigation measures and any design changes required Project description, issues in natural resources management, potential social and environmental impacts and risks, Recommended features of project design to improve NRM and mitigate environmental concerns, Monitoring aspects, components (if any) requiring ESA, justification of category assigned. CPMT/STA Environment Project Design (Final design stage) ESRN ESIA report, if Category A) PDR Project Life File - Integrate design changes and environmental management plans, if any, into the Project Design Report Description of Env/NRM-related activities in the project, description of modifications to project design, environmental management plan details, monitoring and evaluation, conditions to loan agreement, outstanding risks. CPMT/RD Implementation Analysis of env. issues in supervision reports Project Supervision reports Project Life File - Supervise implementation of activities specified in ESRN (Cat. B) or in ESIA (Cat. A) Analysis of environmental impacts, performance of the environmental monitoring plan according to objectively verifiable indicators CPMT/co- financiers Completion/Evaluation Ex post facto ESIA for Cat. A projects Completion Reports, Evaluation Reports Project Life File - Evaluate completion of the activities specified in the ESRN (Cat. B) or in the ESIA (Cat. A) Evaluation of project environmental outcomes, results of the environmental monitoring according to objectively verifiable indicators CPMT/ co- financiers IFAD Environmental and Social Assessment Procedures 14 25. Compliance with ESIA procedures is ascertained in the Reviewers’ Recommendation Note and in the QE Panel Report in the context of the formal QE review. Findings of the ESIA should be reflected in the Maturity Assessment Template (MAT). 1.5.3. ESIA Review and Recommendations 26. The third step in the ESA process is review of the ESIA and incorporation of its recommendations into the project design documentation. For all Category A projects, the Appraisal Mission must review the findings and recommendations of the ESIA Report, including any outstanding issues identified by the QE Panel (see Annex 1.5 for questions to be answered in the technical review of the ESIA), and discuss these with Government and all interested parties, especially affected rural communities. The CPM in conjunction with the Country Programme Management Team will ensure that the recommendations have been adequately addressed in the final Project Design Report. This may include alterations to the project design, incorporation of additional preventive actions and/or mitigation measures, suggested loan covenants, supervision requirements, necessary institutional capacity building for environmental management, and any specific monitoring and evaluation requirements. The ESIA Report is part of the Project Life File. The MAT should also summarize these issues. 1.5.4. Loan Negotiations 27. The fourth step in the ESA process involves negotiation of the loan agreement for the project, which takes place between IFAD and the Government. To ensure proper environmental management under the project, the Loan Document may include Environmental Clauses/Covenants specifying the environmental/NRM actions the Government commits to taking in the context of the implementation phase, as necessary. 1.5.5. Board Approval 28. The fifth step in the ESA process involves review and approval of project documentation by IFAD’s Executive Board. The Executive Board reviews the President’s Report and Recommendations on the project proposal. For Category A projects, the final ESIA report is made available to the Board on request. In cases where the Executive Board raises specific environment-related concerns that have not been addressed adequately, both the President’s Report and the Project Design Report should be revised to take these issues into account. 1.5.6. Project Supervision 29. The sixth and critical step in the ESA process is supervision of project implementation to ensure that recommended environmental actions/measures are effectively addressed. For both Category A and Category B projects, the Regional Director has the responsibility to ensure that project supervision (including the cooperating institution) takes due account of any environmental provisions contained in the Project Design Report. In the event that serious environmental issues/risks arise during project implementation, the Regional Division must ensure that appropriate ameliorative action is undertaken especially if it has any serious implications for the livelihoods of the rural poor. 1.5.7. Project Completion and ex post facto ESIA 30. The seventh and final step in the ESA process is project completion reporting and ex post facto evaluation of project environmental and social impacts. Completion-related reports of all projects IFAD Environmental and Social Assessment Procedures 15 should provide a specific analysis of the impact of environmental and social issues arising from project implementation. The analysis should take special note of views expressed by rural beneficiaries. 31. For Category A projects, an ex post facto ESIA may be undertaken as part of the Completion Evaluation, as appropriate. Such an exercise will evaluate project environmental impacts, the adequacy of the ESIA, and the effectiveness of any preventive actions and/or mitigation measures included in project design. The evaluation exercise should include extensive community consultations. 1.6. Criteria for Project Categorization 1.6.1. Criteria 32. Category A projects are those likely to have significant impacts (environmental and social), which may be sensitive, irreversible, diverse, comprehensive, broad, sector-wide or precedent-setting. The impacts of Category B projects are less significant and not as adverse as those of Category A. Few, if any, of these impacts are irreversible, and remedial measures can be easily designed. If a Category C project has any impacts at all, they are negligible. In practice, the selection of the environmental category depends on the type and scale of the project, the characteristics of the project location and sensitivity of environmental issues, and the significance of potential impacts. 1.6.2. Project Type and Scale 33. Projects supporting/inducing the following activities would normally be considered for classification as Category A (although this will depend on the location and magnitude of impacts):
Construction or rehabilitation of rural roads in “sensitive areas”;
Conversion of significant areas of natural forests or other wild lands;
Loss of natural habitat and loss of biodiversity or environmental services provided by a natural ecosystem;
Wetland development, including small-scale water control;
Groundwater-based development where there is reason to believe that depletion may occur from the effects of climate change;
Fisheries development in situations where little information exists on sustainable yield;
Significant increased use of agrochemicals. 34. In addition, although not currently financed by IFAD, the projects supporting/inducing the following would be considered Category A:
Involuntary displacement or Resettlement of human populations;
Large-scale dam/reservoir construction;
Large-scale irrigation schemes;
Forestry production;
Industrial plants (other than small-scale artisanal production); and manufacture and transportation of hazardous and toxic materials. 35. Projects supporting/inducing the following activities would be considered for classification as Category B:
Construction or rehabilitation of rural roads in “non-sensitive areas”; IFAD Environmental and Social Assessment Procedures 16
Small-scale irrigation and drainage projects (except in wetlands);
Agricultural intensification and/or expansion of cropping area in “non-sensitive areas”;
Rangeland and livestock development;
Artisanal fisheries where there is information on sustainable yield;
Aquaculture and mariculture;
Watershed management;
Large-scale soil/water conservation measures;
Small and micro enterprise development projects1;
Projects involving credit operations through financial intermediaries2; including credit for pesticide/other agrochemicals, livestock purchasing, irrigation, drainage, etc.,
Natural resources-based value chain development. 36. Category C projects generally do not require additional environmental analysis because the activities have negligible or minimal adverse environmental impacts:
Technical assistance grants for agricultural research and training;
Grants to generate global environmental impacts;
GEF activities;
Research;
Extension;
Health;
Nutrition;
Education;
Institutional building. 1.6.3. Project Location 37. The selection of an environmental category will depend substantially on the project setting, as the “significance” of potential impacts is partly a function of the natural and socio-cultural surroundings. This is particularly true for IFAD, which tends to finance a large number of projects in marginal and ecologically fragile areas. “Sensitive areas” include areas such as: protected areas (national parks, wildlife/nature reserves, biosphere reserves); areas of global significance for biodiversity conservation; natural forests; wetlands; coastal ecosystems, including coral reefs and mangrove swamps; small island ecosystems; areas managed by indigenous peoples and other traditional societies; areas most vulnerable to climate change and variability; and lands highly susceptible to landslides, erosion and other forms of land degradation3. Projects located in such “sensitive areas” may be considered for Category A classification and should involve extensive community consultations because of their potentially serious negative impacts on the livelihoods of the rural poor. 1 This is based on the process used by the World Bank, Operational Policies 4.01 January 1999 (updated March 2007). 2 It should be noted that credit operations and SME development components present unique problems during screening because the details of the sub-components may not be known at the time of project screening. In addition, financial intermediation projects present specific challenges because activities to be financed through credit may be difficult to anticipate accurately. 3 May include arid and semi-arid areas. IFAD Environmental and Social Assessment Procedures ANNEXES Supporting Material for Environmental and Social Assessment IFAD Environmental and Social Assessment Procedures 21 Annex 1.1 Environment/Natural Resource Management Environmental and Social Review Note - ESRN (Outline) The ESRN is normally completed on the basis of a field visit and consultations with stakeholders. For this reason, the environmental screening and scoping (ESS) exercise of each project component should be undertaken by the Mission members while in-country in order to allow for such data collection to inform project design. The results are normally made available as part of the preliminary report of project design. The ESRN should follow the outline contained Box 3 below. Box 3. Outline of the ESRN Title of Programme/Project: Although the outline refers to projects, it can also be used for programmes. This outline provides a number of possible topics to assist design teams to develop ESRNs. Thus the sections included herein should be completed only when applicable. 1. Brief description of Programme/Project and components (1 page maximum) Make cross-reference to the relevant sections of the design document and annexes (information should be in relation to the environmental and social issues raised by the programme/project). 2. Major site characteristics (1 page maximum) Describe the existing socio-cultural context (poverty, gender issues, vulnerability, migration patterns, etc.) and those types of land and water aspects that characterize the area. Include whether any of these represent untapped social and environmental impacts and opportunities or might be a determinant in the design and delivery of results/impacts of the intervention. Include information on climate, prediction of impact, vulnerability, and how it relates to specific types of farming systems. 3. Issues in Natural Resources Management (1 page maximum) Mention three to five environmental/social issues that are of key importance in the area. For example, there is ongoing land degradation/desertification, the grazing area potential is smaller than present carrying capacities, or the area is prone to the effects of climate change and variability, such as droughts or floods. Topics to consider also include quality of life of the local population, health concerns such as HIV/AIDS, resettlement issues, land tenure rights and conflicts over use of resources, transboundary issues, fragile or degraded ecosystems, natural resource management productivity and practice, vulnerability to climate change and variability, any past climate change impacts, institutional capacity and the role of children and women, level of environmental awareness, and opportunities to enhance natural resource management; identify environmental and social opportunities. Consultation with local communities, especially the marginalised poor, and other key stakeholders will improve the accuracy of this section. 4. Potential social and environmental impacts and risks (1 page maximum) Identify the key potential impacts (positive, negative, cumulative, externalities) that implementation of the interventions may have on the social and natural environment. Describe how the interventions will address them in an integrated manner. If the project is on agricultural development, for example, indicate whether soil and water conservation, appropriate selection of crops and agrochemicals, associated public health concerns (i.e. HIV/AIDS) and community environmental education, advisory and extension services have been envisaged. 5. Environmental category ( 1/2 page maximum) Provide the justification/rationale for the environmental category designated (with reference to the country’s environmental policies, ratification of relevant conventions, MEAs1, relevant ministries and agencies, country environmental legislation, relevant national strategic frameworks, and any specific ESA requirements of potential co-financiers). Any enforcement mechanisms or institutional capacities to achieve appropriate environmental management and promote sustainable development should be discussed, if not previously done under 3 above. 6. Further information required to complete screening and scoping, if any. (1/2 page maximum) Highlight additional information or studies needed to take better advantage of the opportunities offered by the 1 UNFCC, CBD, UNCCD, RAMSAR, CITES, etc. IFAD Environmental and Social Assessment Procedures 24 (iv) ORGANIZATION OF STUDY7 (v) SCOPING8 B. ESIA STUDY9 (i) DESCRIBE PROPOSED ACTIONS AND THEIR GOALS (ii) IDENTIFY POTENTIAL IMPACTS (ENVIRONMENTAL AND SOCIAL, POSITIVE AND NEGATIVE) (iii) DESCRIBE ALTERNATIVES CONSIDERED10 (iv) PREDICT IMPACTS, INCLUDING DIRECT, INDIRECT, REVERSIBLE, IRREVERSIBLE, AND CUMULATIVE EFFECTS (v) EVALUATE SIGNIFICANCE OF IMPACTS, AND COMPARISON OF ALTERNATIVES (vi) IDENTIFY APPROPRIATE PREVENTIVE ACTIONS AND/OR MITIGATION MEASURES TO ELIMINATE, REDUCE OR MITIGATE NEGATIVE IMPACTS (vii) PREPARE AN ENVIRONMENTAL MANAGEMENT PLAN (viii) DESIGN AN ENVIRONMENTAL MONITORING AND EVALUATION PROGRAM (ix) DESIGN A CAPACITY-BUILDING PROGRAM FOR STRENGTHENING PROGRAMME/PROJECT ENVIRONMENTAL MANAGEMENT (x) PRESENT RESULTS (ESIS) c. POST-ESIA STUDY (i) REVIEW OF THE STUDY, INCLUDING PUBLIC PARTICIPATION/ CONSULTATION11 (ii) DECISION-MAKING (SHOULD PROJECT PROCEED OR NOT; SHOULD PROJECT DESIGN AND IMPLICATION BE MODIFIED)12 (iii) IMPLEMENTATION OF THE ENVIRONMENTAL MANAGEMENT PLAN (iv) POST-STUDY AUDIT, AS NECESSARY13 6 Preliminary Assessment. Sometimes referred to as an Initial Environmental Examination (IEE), the preliminary assessment consists of a first attempt to characterize the environmental impacts of a project proposal. It acts as a further screening mechanism for determining whether an ESIA is required or whether some subsidiary form of environmental investigation would suffice. Further information from the project proponent may be requested by the Technical Advisory Division or the competent body. 7 Organization of Study. If after the review of the preliminary assessment, the competent authority determines that a full ESIA study is required, the organizational modalities for the study are worked out. 8 Scoping. This stage comprises the identification of issues that should be considered in the study and in what depth, by whom, how, and by when. Initial scoping is carried out on the basis of the Preliminary Assessment and other information available on the project proposal. In some countries, procedural guidelines for scoping exist as do requirements for the format and content of ESISs. 9 The ESIA Study is the centrepiece of the ESIA process. It is generally the responsibility of the development proponent. The ESIA study culminates in the preparation of an Environmental and Social Impact Statement (ESIS). The ESIS will outline the major impacts and possible mitigation measures as well as alternatives to the proposal. The ESIS forms the basis for the review and decision-making steps outlined below. 10 Alternatives considered should include the proposed action and no action alternatives. Among the possible alternatives, the report should clearly show which alternatives were considered in detail and the rationale for that choice. Unfortunately, many ESIA reports are deficient in the consideration of true alternatives to the proposed action. Identification of potential impacts should be done for all alternatives considered in detail. 11 Review of the Study. At this stage the ESIA report is reviewed to ensure that it provides the necessary information for decision-making. Depending on the legislative or procedural context, review may entail scrutinization by an independent body or the environmental authority in charge of the ESIA process. There may also be provisions for public review and comment. The review stage may result in revisions being made to the ESIA before it is submitted to the decision-making authority. 12 Decision-Making. The ESIA report is submitted to the Technical Advisory Division or other competent decision-making authority. In some jurisdictions, the ESIA report may be attached to some statutory Government decision on the project. Conditions for accepting the proposal are decided upon based on the recommendations of the ESIA. 13 Post-Study Audit. The ESIA process does not always end with the presentation of the ESIA report and the decision to go ahead with the project or a modified version of the project. A “post-audit” may be carried out to ascertain whether the provisions contained in the ESIA study were adhered to or whether the predictions contained in the ESIA study were accurate. IFAD Environmental and Social Assessment Procedures 25 Depending on the ESIA procedures adopted in a particular country, the exercise generally involves an independent authority which has the responsibility of ensuring that the requirements of the ESIA process are met in a satisfactory manner. These tasks generally include: ensuring that ESIA studies are carried out for relevant projects according to pre-established screening mechanisms, controlling the quality of ESIA studies, and making decisions concerning whether a project may proceed and, if so, what mitigation measures are required. The actual carrying out of the study in compliance with legislated requirements is generally the responsibility of the proposing agency. IFAD Environmental and Social Assessment Procedures 29 Annex 1.4 Sample Terms of Reference for Environmental and Social Impact Assessment (to be tailored based on the ESRN) Sample Terms of Reference (TOR) of the ESIA are shown in Box 6 below. Box 6. Sample TOR for the ESIA A. Introduction and Background 1. Introduction. This section, drawing on the ESRN, should state the purpose of the terms of reference (TOR), identify the development project to be assessed, and explain the executing arrangements for the environmental assessment. Background Information. Pertinent background information for potential parties who may conduct the environmental assessment, whether they are consultants or government agencies, would include a brief description of the major components of the proposed project, a statement of the need for it and the objectives it is intended to meet, the implementing agency, a brief history of the project (including alternatives considered), its current status and timetable, and the identities of any associated projects. If there are other projects in progress or planned within the region which may compete for the same resources, they should also be identified here. Objectives, Organisation and Study. This section will summarize the general scope of the environmental and social assessment and discuss its timing in relation to the processes of project preparation, design, and execution. Environmental and Social Assessment Requirements. This paragraph should identify any regulations and guidelines which will govern the conduct of the assessment or specify the content of its report. They may include any or all of the following:
IFAD’s Procedures for Environmental Management and Sustainable Development
National, regional, provincial or communal laws and/or regulations on environmental assessment
Reviews and impact assessments;
Environmental and Social assessment regulations of any co-financing organizations involved in the project. Study Area. Specify the boundaries of the study area for the assessment (e.g. water catchment, agro-ecological zones) and any adjacent or remote areas which should be considered. B. Scope of Work In some cases, the tasks to be carried out by a consultant will be known with sufficient certainty to be specified completely in the TOR. In other cases, information deficiencies will need to be alleviated or specialized field studies or modeling activities performed to assess impacts, and the consultant will be asked to define particular tasks in more detail for contracting agency review and approval. Task 4 below is an example of the latter situation. Task 1. Description of the Proposed Project. Provide a brief description of the relevant parts of the project, using maps (at appropriate scale) where necessary. Task 2. Description of the Environment. Assemble, evaluate and present baseline data on the relevant environmental and social characteristics of the study area. Include information on any changes anticipated before the project commences. (Include relevant data only) a. Physical environment; geology; topography; soils; land degradation/desertification, climate trends IFAD Environmental and Social Assessment Procedures 30 and prediction of impact, surface and groundwater hydrology; coastal and oceanic parameters; existing air and water pollution; and receiving water quality. b. Biological environment: flora; fauna; rare or endangered species; sensitive habitats, including parks or reserves, significant natural sites, etc.; species of commercial importance; species important for local community livelihoods. c. Socio-cultural environment (include both present and projected where appropriate); population; land use; planned development activities; community structure; adaptation/technical capacities; employment; distribution of income, goods and services; recreation; public health; use of medicinal plants/indigenous medicines; cultural properties; status of Indigenous Technical Knowledge (ITK) of tribal people; and traditional customs, aspirations and attitudes, level of community environmental awareness on issues such as poverty and environment, biodiversity loss, climate change and desertification, extent of community dependence on local natural resources for livelihoods. Task 3. Legislative and Regulatory Considerations. Describe the pertinent regulations and standards governing environmental quality, health and safety, protection of sensitive areas, protection of endangered species, siting, land use control, etc., at international, national, regional and local levels (the TOR should specify those that are known and require the consultant to investigate for others). Where environmental standards are inadequate, recommendations on how to upgrade them should be proposed. Task 4. Determination of the Potential Environmental and Social Impacts of the Proposed Project. In this analysis, distinguish between significant positive and negative impacts, direct and indirect impacts, and immediate and long-term impacts. Identify impacts which are unavoidable or irreversible. Wherever possible, describe impacts quantitatively, in terms of environmental and social costs and benefits and specify the valuation method adopted. Assign economic values when feasible. Characterize the extent and quality of available data, explaining significant information deficiencies and any uncertainties associated with predictions of impact (will the interventions result in changes in access to natural resources?). If possible, give the TOR for studies to obtain the missing information. Give special attention to impacts on the livelihoods of rural communities, especially the marginalized poor. Task 5. Analysis of Alternatives to the Proposed Project. Describe alternatives that were examined in the course of developing the proposed project and identify other alternatives which would achieve the same objectives. The concept of alternatives extends to siting, design, technology selection, and implementation procedures. Compare alternatives in terms of potential environmental and social impacts; capital and operating costs; suitability under local conditions; and institutional, training, and monitoring requirements. When describing the impacts, indicate which are irreversible or unavoidable and which can be mitigated. To the extent possible, quantify the costs and benefits of each alternative, incorporating the estimated costs of any associated mitigating measures. Include the alternative of not constructing the project, in order to demonstrate environmental conditions without it. Task 6. Development of Recommendations for Adjustments to Project Design. Recommend feasible and cost- effective measures to prevent or reduce significant negative impacts to acceptable levels. Recommend measures for green procurement. Estimate the impacts and costs of those measures, and of the institutional and training requirements to implement them. Consider compensation to affected parties for impacts which cannot be mitigated. Prepare an implementation plan. Task 7. Development of an Environmental Management Plan Task 7.1. Identification of Institutional Needs to Implement Environmental and Social Assessment Recommendations. Review the authority and capability of institutions at local, provincial/regional, and national levels to implement the project and proposed changes proposed and recommend steps to strengthen or expand them so that the management and monitoring plans in the environmental and social assessments can be effectively implemented. The recommendations may extend to new laws and regulations, new agencies or agency functions, inter-sectoral arrangements, management procedures and training, environmental education, staffing, operation and maintenance training, budgeting, and financial support. Indicate clear responsibilities, staffing and training requirements. Give full costs and IFAD Environmental and Social Assessment Procedures 31 benefits of the proposed changes to project design. Task 7.2. Development of an Environmental Mitigation Management Plan. Identify the preventive actions and/or mitigation measures recommended to eliminate, reduce or mitigate the potential adverse environmental and social impacts of the programme/project, as well as who will be responsible for implementing such actions/measures, how much they will cost, etc. Task 7.3. Development of a Monitoring Plan. Prepare a detailed plan to monitor the implementation of mitigating measures and the impacts of the project during construction and operation. Include in the plan an estimate of capital and operating costs and a description of other inputs (such as training and institutional strengthening) needed to carry it out. Provisions should be made for compensation in the event that negative impacts should result from the project or project components. Also include poverty-environment indicators. Task 8. Assist in Inter-Agency Coordination and Public/NGO Participation. Assist in coordinating the environmental and social assessment with other government agencies, in obtaining the views of local NGOs and affected groups (especially the marginalized poor), and in keeping records of meetings and other activities, communications, and comments and their disposition. C. Report The environmental and social assessment statement/report should be concise and limited to significant environmental and social issues; this should include emerging issues. The main text should focus on findings, conclusions and recommended actions, supported by summaries of the data collected and citations for any references used in interpreting those data. Unpublished documents used in the assessment may not be readily available and should also be assembled in an appendix. D. Practical Details Mission composition. Describe specialists required and specific tasks for each member of the team. Schedule. Specify dates for progress reviews, interim and final reports, and other significant event. Other Information. Include here lists of data sources, project background reports and studies, relevant publications, and other items to which the consultant’s attention should be directed. ESIA Report Outline. The ESIA report should follow the following outline: i. Executive Summary ii. Introduction iii. Policy, Legal and Administrative Framework iv. Description of the Proposed Project v. Description of the Environment vi. Significant Environmental and Social Impacts vii. Analysis of Alternatives viii. Environmental Management Plan
Mitigation Management Plan
Monitoring Plan ix. Inter-Agency and Public/NGO Involvement x. List of References and Consultations xi. Appendices xii. List members of Environmental and Social Assessment Mission xiii. Records of Inter-Agency and Public/NGO Communications IFAD Environmental and Social Assessment Procedures 34  Do the recommendations comply with IFAD’s principles and values?  Where existing databases, planning studies, other EAs, scientific papers, etc., are used as information sources, are the references given and are technical terms defined where they occur? IFAD Environmental and Social Assessment Procedures 35 Chapter 2. Strategic Environmental Assessment (SEA) 2.1. Introduction 41. During the last decade, several multilateral and bilateral funding agencies, as well as the OECD’s Development Assistance Committee, have increasingly promoted the use of Strategic Environmental Assessments (SEAs) to complement project based ESIA1. Strategic Environmental Assessment can be defined as “a range of analytical and participatory approaches which aim to integrate environmental considerations into Policies, Plans and Programmes (PPP) and evaluate the inter-linkages with economic and social considerations (OECD 2006)”. SEA promotes more sustainable and integrated approaches to sectoral and broader development PPPs by evaluating potential environmental and social impacts upstream of projects and taking into account several development options to reduce environmental risks and promote sustainable development outcomes. 42. The adoption of SEA would be particularly relevant for enhancing the quality of RB-COSOP and in guiding policy dialogue on borrower countries. The implementation of SEA would ensure: (i) the integration of sustainable environment and natural resource management priorities in the decision making processes at the country strategic level (COSOPs); (ii) the identification of unexpected potential impacts and of new opportunities at the initial stages of PPPs, rather than later in the process when choices are limited; (iii) the prevention of costly mistakes by identifying unsustainable development options at the early stages of decision making, thus enhancing the effectiveness of IFAD supported programmes; and (iv) the development of enabling policy frameworks that respond to the needs of rural people through the emphasis given by the SEA process to enhance public participation in the decision making process. 43. By implementing SEA, IFAD would ensure that its approach to environmental assessment is further harmonized with that of the international aid community, as called for by the Paris Declaration on Aid effectiveness, clearly stating that “Development agencies and partner countries jointly commit to…Strengthen the application of EIAs and deepen common procedures for projects, including consultations with stakeholders; and develop and apply common approaches for ‘strategic environmental assessments’ at the sector and national levels”. 44. Generally, the type of SEA carried out is defined by the issues, priorities and needs that are identified in a particular situation. Table 5 below provides the basic principles of SEA. SEAs can generally be divided into “stand alone” processes focusing on the identification and assessment of environmental impacts of specific PPPs or can be integrated into the planning, policy/decision-making processes. In this context SEA needs to link with and, where feasible, reinforce other policy appraisal approaches which shape development policies and programmes. Three such approaches are: (i) poverty and social impact analysis; (ii) risk assessment; and (iii) Country Environmental Analysis (CEA). 45. The process for SEA is tailored to existing circumstances (i.e. legal, procedural, institutional, political factors, etc) and needs for its applications. SEA can be applied in different ways to suit particular needs, i.e.: 1 Which are more effective in addressing environmental threats and opportunities of specific projects. IFAD Environmental and Social Assessment Procedures 36 (i) focused on environmental impacts while others integrate all three dimensions of sustainability: environment, social and economic; (ii) applied to an existing PPP or providing inputs into developing a PPP so that they address environmental dimensions effectively; (iii) as an output based activity (i.e. a report), which is a more practical approach providing something tangible for all stakeholders to work with and provide inputs, or as a more continuous process that is integrated within decision making and that strengthens institutional capacity; and (iv) engaging a broad range of stakeholders or being limited to sector or policy analysis. Table 5. Basic Principles for SEA To help improve policy-dialogue, quality of RB-COSOPs and decision-making, SEA should:
establish clear objectives;
be integrated with existing policy and planning structures;
be flexible, iterative and customized to context;
analyse the potential effects and risks of the proposed PPP, and its alternatives, against a framework of sustainability objectives, principles and criteria;
identify environmental and other opportunities and constraints;
address the linkages and trade-offs between environmental, social and economic considerations;
involve key stakeholders, especially rural communities wherever possible, and encourage public involvement (particular attention should be given to the participation of women, elderly, marginalized groups, Indigenous People);
include an effective, preferably independent, quality assurance system;
be transparent throughout the process, and communicate the results;
be cost-effective;
explicitly justify the preferred options identified and the acceptance of significant trade-offs;
include an effective quality assurance system and monitoring of PPP outputs after completion;
build capacity for both undertaking and using SEA. (Source: adapted from OECD, 2006) 46. The adoption of SEA can help to promote the integration of environmental (as well as social and economic) issues in poverty reduction frameworks and country strategies and programmes to ensure the achievement of sustainable development objectives while contributing to poverty reduction (MDG 1) and environmental sustainability (MDG 7). Moreover, SEA implementation will enable the identification of cumulative and large scale impacts of different strategies or proposed PPPs at country level. 47. The following SEA approach draws on practical experience and established “good practice” and points to ways to support the application of SEA in the formulation and assessment of IFAD policies, plans and programmes. 2.2. SEA in IFAD Operations 48. Increasingly IFAD is shifting its support towards new development co-operation investments such as policy reform and sector-wide support. 49. There is a clear role for SEA in the development of IFAD’s Results-Based Country Opportunity Programmes (RB-COSOPs). 50. SEA, in IFAD, should be systematically adopted to address: IFAD Environmental and Social Assessment Procedures 39 participation of marginalised stakeholders’ groups. Public participation needs to be an ongoing process throughout the design and should be an integral part of the consultation in the development of RB-COSOPs. 6. Monitoring and Evaluation – M&E mechanisms should be put in place to assess whether the objectives of the SEA and the recommendations that the SEA Report put forward are being met. Different methods and indicators may need to be developed on a case by case basis and should be aligned to the RIMS. Findings from the evaluation of Country Programmes should be used to inform the revision or the development of new RB- COSOPs and policies. Figure 3 SEA Steps in the development of COSOPs (Source: adapted from CIDA, 2004) Preliminary screening Report and SEA Report Report reviewed by PT STA Env/NRM Environmental effects (positive/ negative) are important Environmental effects not relevant Document the results of initial screening in RB-COSOP or IFAD PPPs in MAT Conduct SEA Prepare SEA Report Incorporate findings in PPP and MAT Consultation process: CPMT and external stakeholders Address relevant SEA questions, such as:
What is the existing situation (in a particular sector or regions?)
What are the main goals and objectives of a particular PPP?
What are the different options for delivering the PPP?
What are the key environmental/sustainability issues (positive/ negative) that are associated with each possible/preferred option?
How significant are these environmental effects?
What can be done to avoid or mitigate negative impacts and to enhance positive ones?
What measures are required to ensure that policy reforms in the relevant sector have positive environmental implications?
How can environmental impacts be measured, monitored and reported? (Please refer to Annex 2.1 for a more exhaustive list of questions that should be addressed by a SEA) Preliminary screening and scoping IFAD Environmental and Social Assessment Procedures 40 53. When conducting a SEA at the country/regional levels, the first step should be the assessment of the extent of SEA awareness and application within the country and the raising of awareness of SEA at the Ministerial & HQ levels in all Govt. Ministries (e.g. through workshops). Another important step should be the identification of similar initiatives by other development agencies to maximize synergies. For example, the UNDAF2 process could provide a starting point for undertaking SEAs of individual sector initiatives identified in the RB-COSOP, as well as offer opportunities for synergies with ongoing initiatives in the respective country. Important basic sources of information for SEA at the national level are the Country Environmental Analysis and National poverty and vulnerability assessments. 2 The UNDAF in-country process is supported by a Common Country Assessment (CCA) which analyses the development situation and identifies key developmental issues. IFAD Environmental and Social Assessment Procedures ANNEXES Supporting Material for Strategic Environmental Assessment IFAD Environmental and Social Assessment Procedures 44 Effects  Have the potential direct, indirect and cumulative negative and/or positive effects (short-, medium- and long-term; environmental and social) of the proposed PPP been predicted and analysed?  Have relevant environmental externalities been identified and internalized?  Have relevant, specific measures been identified and included to counteract/mitigate these? Alternatively, is it made clear how other national policies/programmes are mitigating the potential negative effects?  Taking into account differences in power relations and environmental vulnerability, who would be the winners and losers for each course of action?  Is there potential for enhancing positive effects? Have these opportunities been maximised?  Has the quality of the assessment been independently reviewed? Capacity  Is there an institutional framework to manage environmental risks/impacts and major environmental policy and institutional failures?  Has the level of awareness of “SEA” among Govt. Staff & Other Stakeholders been assessed? Has there been an effort to educate all stakeholders including Govt. Ministers on “SEA”? Is there sufficient capacity within institutions and agencies, at national and sub national levels, to implement the specific PPP (e.g. to enable them to apply an environmental management framework for sub- elements); and to manage, regulate and be accountable for use of natural resources? How can these institutions be strengthened? Institutional/Implementation  What is the institutional capacity at the national level to integrate environment into planning processes?  What donor harmonisation mechanisms are in place to ensure environment is part of donor coordination?  What are the challenges and opportunities for civil society organisations and the private sector in relation to environment and NRM? What is their level of awareness of the “SEA” process? Influence of SEA  Are there specific points in the process to develop the PPP where the SEA can have influence over decision making? Data, information and monitoring  Are there significant data and information deficiencies and gaps? How can these be filled?  Are measures proposed for monitoring? Are these clear, practicable and linked to the indicators and objectives used in the SEA? Are responsibilities clear? Source: Adapted from OECD, 2006 IFAD Environmental and Social Assessment Procedures 45 Annex 2.2 Possible Structure and Contents of the SEA study Structure of report Information to include Non-technical Summary
Summary of the SEA process;
Summary of the likely significant effects of the PPPs
Statement on the difference the process has made to date
How to comment on the report Methodology used
Approach adopted in the SEA
How was public awareness on “SEA” raised (workshops, etc.)
Who was consulted, and when
Difficulties encountered in compiling information or carrying out the assessment Background
Purpose of the SEA
Objectives of the PPPs SEA objectives and baseline and context
Links to other international, national regional PPPs and relevant environmental and social objectives including how these have been taken into account
Description of baseline characteristics and predicted future baseline
Environmental and social issues and problems
Limitations of the data, assumptions made, etc
SEA objectives, targets and indicators. PPPs issues and alternatives
Main strategic alternatives considered and how they were identified
Comparison of the significant environmental effects of the alternatives
How environmental issues were considered in choosing the preferred strategic alternatives
Other alternatives considered and why they were rejected
Any proposed mitigation measures. PPPs
Significant environmental and social effects of the policies and proposals
How environmental problems were considered in developing the policies and proposals
Proposed mitigation measures (institutional strengthening, budgetary issues, etc.)
Uncertainties and risks Implementation
Links to other tiers of plans and programmes and the project level (ESA, project design cycle, etc)
Proposals for monitoring and feedback mechanism Source: adapted from ODPM, 2005 IFAD Environmental and Social Assessment Procedures 49 Glossary Baseline data: data that describe issues and conditions at the inception of the SEA. Serves as the starting point for measuring impacts, performance, etc, and is an important reference for evaluation. (OECD, 2006) Biodiversity: the variability among living organisms from all sources including, inter alia, terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part; this includes diversity within species, between species and of ecosystems (CBD, 1992) Biological Resources: includes genetic resources, organisms or parts thereof, populations, or any other biotic component of ecosystems with actual or potential use or value for humanity. Cumulative effects/impacts: incremental impact of an action when added to other past, present or reasonably foreseeable actions regardless of what agency or person undertakes such actions. Cumulative impact can result from individually minor but collectively significant actions taking place over a period of time (OECD, 2006). Desertification: is defined as land degradation in arid, semi-arid and dry sub-humid areas resulting from various factors, including climate variation and human activities (UNCCD 1995) Ecosystem: means a dynamic complex of plant, animal and micro-organism communities and their non-living environment interacting as a functional unit. Ecosystem services: The benefits people obtain from ecosystem. Ecosystem services include all outputs from agricultural activities, including outputs as diverse as food production and climate regulation. Environment: Environment is considered to include biophysical resources and conditions on which rural communities and their activities depend, and which in turn they influence. Environmental and Social Assessment (ESA): the process of examining the environmental and social risks and benefits of proposals. Interpretations of the scope of ESA also vary, particularly regarding the social dimensions. It is usual to consider the physical/biological impacts of development on directly affected groups (e.g. Impacts on downstream water supply, displacement, and local communities or vulnerable groups). But many institutions routinely include consideration of social impacts that are mediated by the environment (such as the human impacts of water pollution). Such agencies undertake environmental and social assessments’ or separate social assessments’ to identify adverse social impacts and promote other social goals, such as social inclusion or poverty reduction. The relative importance of the different dimensions varies depending on the issue involved; in the case of a dam it is increasingly routine in ESA to consider both physical/ecological and social impacts. Environmental and Social Impact Assessment (ESIA): a process, applied mainly at project level, to improve decision making and to ensure that development options under consideration are environmental and socially sound and sustainable. ESIA identifies, predicts and evaluates foreseeable impacts, both beneficial and adverse, of public and private development activities, alternatives and mitigating measures, and aims to eliminate or minimise negative impacts and optimise positive impacts. (OECD, 2006) Environmental Services: qualitative functions of natural non-produced assets of land, water and air (including related ecosystem) and their biota. There are three basic types of environmental services: (a) disposal services which reflect the functions of the natural environment as an absorptive sink for residuals; (b) productive services which reflect the economic functions of providing natural resource inputs and space for production and consumption, and (c) consumer or consumption services which provide for physiological as well as recreational and related needs of human beings. Harmonisation: of aid procedures aims to reduce unnecessary burden in recipient countries and enhancement of development effectiveness and efficiency of aid by reduction of transaction cost of aid procedures among donors and recipient countries. (OECD, 2006) Mainstreaming/Up-streaming: For the purposes of these ESA Procedures, mainstreaming is “the process of systematically integrating IFAD's Environment and Social Values and Principles into all domains of the Fund's operations to promote both specific and general development outcomes of rural poverty reduction". It implies the integration of environmental and social IFAD Environmental and Social Assessment Procedures 50 approaches and tools in the Programme/project cycle in order to better harmonise economic, environmental and social concerns. Millennium Development Goals: eight international development goals for 2015, adopted by the international community (UN Millennium Declaration, September 2000). Policies, Plans and Programmes (PPP): different meanings in different countries: policies are broad statements of intent that reflect and focus the political agenda of a government and initiate a decision cycle. They are given substance and effects in plans and programmes (schemes or sets of usually linked actions designed to achieve a purpose). This involves identifying options to achieve policy objectives and setting out how, when and where specific actions will be conducted. (OECD, 2006) Protected Area: means a geographically defined area which is designated or regulated and managed to achieve specific conservation objectives. Scoping: a procedure for narrowing the scope of an assessment and ensuring that the assessment remains focused don the truly significant issues or impacts. Screening: a process to determine the nature and extent of the ESA or environmental analysis to be carried out. Stakeholders: those who may be interested in, potentially affected by, or influence the implementation of a PPP. In the context of an SEA applied to development co-operation, stakeholders may include: internal staff (environment and non-environment) in donor agency and other departments in the donor country, ii) the partner country government, iii) other donor agencies, iv) NGOs, and v) civil society. (OECD, 2006). Strategic Environmental Assessment (SEA) SEA aims to integrate environmental (biophysical, social and economic) considerations into the earliest stages of policy, plan and programme development (Sadler, 1995). The process of integrating the concept of sustainability into strategic decision making (DEAT 2000) Sustainable development: using resources in a way which meets the needs of the present without compromising the ability of future generations to meet their own needs (The World Commission on Environment and Development "Our Common Future"). Sustainable Land Management (SLM): Can be defined as conservation and utilisation of land resources such as soils, water, animals and plants to meet the material, aesthetic and spiritual needs of humankind today, while ensuring the future productive potential of these resources, as well as the maintenance of their environmental functions (Shanthikumar, S.R. 2002. Modified from WB, 2000) Sustainable Use: means the use of components of biological diversity in a way and at a rate that does not lead to the long-term decline of biological diversity, thereby maintaining its potential to meet the needs and aspirations of present and future generations. IFAD Environmental and Social Assessment Procedures REFERENCES IFAD’s OPERATIONAL STATEMENTS ON ENVIRONMENTAL MANAGEMENT IFAD Environmental and Social Assessment Procedures OS 1-3 POTENTIAL MITIGATION 9. Measures for protection of biodiversity must ensure that local populations are not adversely affected and/or actually benefit from environmental opportunities, i.e. through Rewards for Environmental Service (RES) mechanisms. Mitigation measures for those projects which have potentially adverse impacts on biodiversity generally include the following possibilities: a. Project cancellation – the project as proposed may require drastic change or may be ultimately inappropriate. b. Community involvement – the project should promote the participation of local people in the identification of suitable alternatives, sustainable management and preservation of protected areas to prevent or reduce negative impacts. Moreover, projects should strive to respect, protect and maintain knowledge, innovations and practices of indigenous and local communities that are relevant for the conservation and sustainable use of biodiversity. c. Land use plan – develop an environmentally sound and sustainable regional plan, with participation of local communities that integrates biodiversity protection with the requirements of agricultural practices. Projects should include components which enable local communities to manage intact natural forests sustainably to provide multiple alternative livelihoods & income. d. Compensatory measures – in association with local community groups, to establish new or improved management systems (or strengthening of existing traditional management) for existing protected areas; restore damaged habitats; and offset unavoidable losses of the habitat by ensuring increased benefits to the affected communities. e. Mitigation measures – establish wildlife corridors and/or protected areas; and improve existing management of biodiversity through training and institutional strengthening programmes. Environmental education of rural communities, especially on issues such as the links between forest destruction, biodiversity loss, climate change and desertification are vital. INTERNATIONAL LEGAL CONTEXT 10. At the 1992 UNCED Conference, 156 countries signed the Convention on Biological Diversity. Its objectives are “the conservation of biological diversity, the sustainable use of its components, and the fair and equitable sharing of the benefits arising out of the utilization of genetic resources, including by appropriate access to genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and to technologies, and by appropriate funding.” Provisions of the Convention are legally binding on governments who must ensure that their national legislation on biodiversity is consistent with the Convention, including empowerment of indigenous peoples, especially with regard to ownership/access & management of their local natural resources (see also the 2007 UN Declaration on the Rights of Indigenous Peoples). 11. In April 2002, the Parties to the Convention committed themselves to achieve by 2010 a significant reduction of the current rate of biodiversity loss at the global, regional and national levels as a contribution to poverty alleviation and to the benefit of all life on Earth. This target was subsequently endorsed by the World Summit on Sustainable Development and the United Nations General Assembly and was incorporated as a new target under the Millennium Development Goals. INTERNATIONAL FINANCING 12. The preservation of biological diversity is one of the main areas of concern of the Global Environment Facility (GEF). GEF provides grants for investments, technical assistance, and some research in support of the preparation and implementation of biodiversity conservation projects. As an executing agency of GEF, IFAD could greatly benefit by including a GEF component in its projects. IFAD Environmental and Social Assessment Procedures OS 1-4 GEF support can assist IFAD to achieve its goal of improving the livelihoods of the rural poor while conserving biodiversity for global benefits. REFERENCES Guidelines International Finance Corporation (IFC) (2008). A Guide to Biodiversity for the Private Sector. Washington DC: IFC. Available at: http://www.ifc.org/ifcext/enviro.nsf/Content/BiodiversityGuide Institute for Biodiversity - Network (IBN)/The Association of Engineers (VDI) (2004). Integration of Biodiversity Concerns in Climate Change Mitigation Activities. Berlin: Federal Environmental Agency (Umweltbundesamt). Available at: http://ecosystemmarketplace.com/documents/cms_documents/biodiv.pdf World Bank (1997) Environmental Assessment Sourcebook Update”, Biodiversity and Environmental Assessment. Washington DC: World Bank. Available at: http://siteresources.worldbank.org/INTSAFEPOL/1142947- 1116497123103/20507396/Update20BiodiversityAndEAOctober1997.pdf Studies Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) (2007). Value chains and the conservation of biodiversity. Issue Papers: People, Food and Biodiversity. Eschborn: GTZ. Available at: http://www.gtz.de/de/dokumente/de-biodiv-themenblatt-wertschoepfungsketten-2007.pdf Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) (2006). Farmers’ rights and agrobiodiversity; The role of farmers' rights in protecting agricultural plant diversity. Issue Papers: People, Food and Biodiversity. Eschborn: GTZ. Available at: http://www.fni.no/doc&pdf/Bauernrechte_en_online.pdf International Potato Center - Users' Perspectives With Agricultural Research and Development CIP-UPWARD in collaboration with GTZ, IDRC, IPGRI and SEARICE (2003). Conservation and Sustainable Use of Agricultural Biodiversity. Manila: CIP-UPWARD. Available at http://www.eseap.cipotato.org/UPWARD/Abstract/Agrobio-sourcebook.htm The Royal Society (2008). Biodiversity-climate interactions: adaptation, mitigation and human livelihoods, London Available at http://www.royalsociety.org Millennium Ecosystem Assessment, World Resources Institute (2005). Ecosystems and Human Well-being: Biodiversity Synthesis. Washington, DC Available at: http://www.millenniumassessment.org/documents/document.354.aspx.pdf Mellor John. W. (2002). Poverty Reduction and Biodiversity Conservation: The Complex Role for Intensifying Agriculture. Washington, DC: WWF. Available at: http://assets.panda.org/downloads/mellor.pdf McNeely, J.A., K.R. Miller, W.V.Reid, R.A. Mittermeier and T.B. Werner (1990). Conserving the World’s Biological Diversity. Washington DC and Gland, Switzerland: WRI, WCU, WB, WWF and CI). Shanthikumar, S.R. (2002). Mainstreaming Sustainable Land Management for Poverty Reduction in Rural Space. Washington, DC: ESSD, World Bank. Shanthikumar. S.R. (1992). A Strategy for the Conservation of the Gene Pool of Free-living Wild Animals in Developing Countries. Nairobi, Kenya: UNEP. Wells, M. and Katrina Brandon (1992). People and Parks; Linking Protected Area Management with Local Communities. Washington DC: World Bank, World Wildlife Fund and USAID Websites Bioversity International. http://www.bioversityinternational.org/ Convention on Biological Diversity. http://www.cbd.int/default.shtml United Nations Declaration on the Rights of Indigenous Peoples: http://www.un.org/esa/socdev/unpfii/en/declaration.html IFAD Environmental and Social Assessment Procedures OS 2-1 OPERATIONAL STATEMENT 2 Fertilizer INTRODUCTION 13. Fertilizers provide plants with nutrients, e.g. nitrogen, phosphorous and potassium, either individually or in combination as food production requires mainly water and arable land that steadily supplies nutrients and the organic substrate for plant growth. These vital resources can be organic (animal manure, humanure, compost and sewage) or inorganic (synthetic chemical compounds). Fertilizers are often distributed unevenly around the world and many soils have been depleted or damaged by modern or inappropriate agricultural practices. For example, the intensity of fertilizer use remains relatively low in most developing countries as shown in Table 1. It is low in comparison with the EC countries and North America, where average dressings are around 175 kg/ha and around 98 kg/ha respectively. Table 1. Fertilizer use in developing countries, average 2002/03* Kg/ha Sub-Saharan Africa 8 South America 80 North Africa 69 South Africa 61 East Asia 202 Source: A. Roy, International Centre for Soil Fertility and Agricultural Development (IFDC). *kg of manufactured plant nutrient per hectare of harvested area FERTILIZERS IN IFAD PROJECTS 14. IFAD projects deal with fertilizer use in the context of broad agricultural development projects or in agricultural intensification projects which aim at increasing productivity through higher yields per unit area. Environmental concerns with regard to fertilizers focus on water pollution and soil degradation. Continuous use of inorganic fertilizers on farmlands can lead to serious environmental consequences and negative impact on humans and animals. Over application of chemical fertilizer is leading to the contamination of water supplies and soil; inappropriate fertilization can acidify the soil; too little fertilization can allow the soil to be “mined” of its nutrients, threatening sustainability of cropping through a decline in soil fertility. According to a study made by UNEP globally some 2 billion hectare of vegetated land have been degraded since 1945, which is equivalent to 17% of the worldwide productively used land. Inorganic as well as organic sources of plant nutrients can cause water pollution, but in developing countries organic material is unlikely to contaminate water except where manure is sewage or effluent from intensive livestock units. 15. IFAD has supported 2 main projects on nutrient management for 15 years; the first is with ILRI on the Improvement of Crop-Livestock Productivity/Efficient Nutrient Management in Mixed Farming Systems of Semi-Arid West Africa. The second has been developed with IFDC on livestock manure and nutrient management in West and East Africa. 16. In most developing countries, and essentially for most IFAD beneficiaries, nutrient applications (organic and inorganic) generally remain below levels that are likely to cause major water pollution. This is due to the fact that fertilizer applications are low due to its high cost. For instance, in the US, IFAD Environmental and Social Assessment Procedures OS 2-4 intensive fruit and vegetable gardening which often develops around urban centres also carries high risks of nitrate pollution of water supplies. Dressings for most non-irrigated crops in developing countries are below levels which cause serious contamination of water supplies at present. Although nitrate contamination appears to be increasing, the increase may be partly explained by domestic and livestock excrement. 30. Progressive loss of soil fertility is a primary problem in dryland farming where too little or no fertilizer is used. This directly threatens the sustainability of the farming system concerned. Degraded cropland, which has lost its fertility, may retain its capacity to recover through fallowing. However, beyond a critical point, it may not return to its former state without costly soil treatment, such as deep cultivation. It may become an irreversible phenomenon, due to the heavy applications of organic matter and fertilizers; while nutrient mining and a decline in yields can be reversed, the loss of soil depth cannot. Hence dryland farming can greatly benefit from the use of indigenous farming practices including the use of drought resistant indigenous crops and provide sustainable food supplies for the rural poor while conserving the environment. CRITERIA FOR ENVIRONMENTAL SCREENING AND SCOPING OF PROJECTS 31. There are various ways to identify whether fertilizer applications are causing adverse effects on the environment. Enclosed in a checklist form, are some of the most important factors to look out for. BY COMPONENT Pollution
Heavy annual dressings of chemical fertilizer use, especially nitrogen and to a lesser extent, phosphate. Acidification
Use of ammonium fertilizers (ammonium sulphate and ammonium nitrate). BY RECEIVING ENVIRONMENT Pollution
Vulnerable drinking water supplies (for both people and animals):
Aquifers (thin, sandy strata above aquifers may allow serious water contamination).
Local wells/informal drinking water sources such as drainage.
Reservoirs. Acidification
Poorly-buffered sandy soils low in organic matter subject to repeated dressings of ammonium fertilizers. Soil mining
Use of modern high-yielding varieties (sustainable increases in yield are likely to need increased fertilizer dressings). IFAD Environmental and Social Assessment Procedures OS 2-5 POTENTIAL MITIGATION 32. Most pollution risks associated to chemical fertilizer use can be prevented by good farming practices. These involve: Pollution control
Good practice will prevent most pollution risks attached to chemical fertilizer use2.
Ensuring that dressings do not exceed recommended doses.
Reducing leaching (appropriate choice of fertilizer to suit soil conditions, split dressings and fertilizer placement).
Reducing runoff (incorporation of fertilizer into soil; timing of application to avoid erosive rains; soil and water conservation measures).
Sensitive watersheds serving urban areas may need interventions to limit nitrate use. Acidification reduction Selection of non-ammonium sources of nitrogen (such as urea). Liming (usually to pH 5.5 for tropical crops). Appropriate management Is there a potential for increasing production without the use of chemical fertilizers, especially using indigenous technologies, including the use of organic fertilizers? Community education on improving indigenous practices to maximise production (without using chemical fertilizers)? Crop management practices which increase nutrients available to crops:
Increasing fertilizer use (more organic and less inorganic, i.e. humanure).
Increasing fertilizer use efficiency (type of fertilizer applied, timing, split applications).
Increasing nutrient recycling (using human urine and excreta, crop residues, livestock grazing after crop harvest, i.e. mixed farming – Livestock & Crops).
Improving rotations (e.g. inclusion of legumes, multi-cropping) 33. These measures are generally in the farmers’ interest as they improve the efficiency of fertilizer use. Sound agricultural practices should be encouraged through inspection and incentives or sanctions. In some watersheds which provide water supply to urban areas interventions to limit nitrate may be appropriate. Research into crop varieties that can maximize nitrogen-fixation, and indigenous farming practices should also be promoted. 34. Fertility loss can be corrected through better fertilization. There are a wide range of technological options available for improving soil fertility. These involve: chemical fertilizers, biological nitrogen fixation, use of organic manures and agricultural practices to increase fertilizer efficiency. Wherever possible indigenous farming practices using indigenous knowledge and locally adapted indigenous crops should be encouraged. 2 Potential health risks associated with nitrates in developing countries are caused in part by poor nutrition and hygiene. Diets in developing countries are often deficient in vitamin C, which appears to give protection against methaemoglabinaemia and gastric cancer. IFAD Environmental and Social Assessment Procedures OS 2-6 INTERNATIONAL LEGAL CONTEXT 35. Water contamination hazards have resulted in restrictions in fertilizer use in some developed countries; notably in watersheds supplying urban areas. Regulations are being enforced to limit nitrate concentrations in drinking water:
45 mg nitrate per litre established by the WHO and US Public Health Service; and
50 mg nitrate per litre for the European Community. 36. Few developing countries have adopted or enforced standards for nitrates in drinking water, some have restricted the use of fertilizers for health purposes in rain catchment areas used for drinking water supply. Furthermore, experience from developed countries should be used to prevent similar mistakes in developing countries as well as prevent the “dumping” of cheap environmentally unsuitable chemical fertilizers into developing countries. REFERENCES Guidelines Department for International Development (DFID/ODI/DGIS) (1997). Fertiliser Supply. Key Sheets for Sustainable Livelihoods - Service Delivery. London. DFID. http://www.odi.org.uk/publications/keysheets/blue_6_fertiliser_rev.pdf Food and Agriculture Organization of the United Nations (FAO) (2006). Fertilizer Use by Crop. Fertilizer and Plant Nutrition Bulletin. Rome: FAO. Available at: ftp://ftp.fao.org/agl/agll/docs/fertusebycrop.pdf Food and Agriculture Organization of the United Nations (FAO) (2006). Plant Nutrition for Food Security - A Guide for Integrated Nutrient Management. Fertilizer and Plant Nutrition Bulletin. Rome: FAO. Available at: ftp://ftp.fao.org/docrep/fao/009/a0443e/a0443e.pdf Food and Agriculture Organization of the United Nations (FAO) (2000). Guidelines and Reference Material on Integrated Soil and Nutrient Management and Conservation for Farmer Field Schools. Rome: FAO. Available at: ftp://ftp.fao.org/agl/agll/docs/misc27.pdf Jönsson et al. (2004), Directives pour une Utilisation des Urines et des Fèces dans la Production Agricole. EcoSanRes Rapport2. Stockholm: SEI. Available at: http://www.reseaucrepa.org/content/download/848/7168/file/EcoSanRes%20- %20Directives%20Agronomiques.pdf World Bank (1991). Environmental Assessment Sourcebook and Updates. Washington DC: World Bank. Available at: http://go.worldbank.org/LLF3CMS1I0, Chapter 8 – Agriculture and Rural Development, http://go.worldbank.org/MH4FET06Z0 World Health Organization (WHO) (2006) Guidelines for the safe use of wastewater, excreta and greywater – Volume 4: Excreta and greywater use in agriculture. Geneva: WHO. Available at: http://www.who.int/entity/water_sanitation_health/wastewater/gsuweg4/en/index.html Studies Bumb, B. & C.A. Baanante (1996). The Role of Fertilizer in Sustaining Food Security and Protecting the Environment to 2020. Food, Agriculture and the Environment Discussion Paper 17. Washington DC: IFPRI Conway, G.R. and Pretty, J.N. (1987). Fertilizer Risks in the Developing Countries: A Review. Sustainable Agriculture Programme. London: International Institute for Environment and Development. Food and Agriculture Organization of the United Nations (FAO) (2008). Current world fertilizer trends and outlook to 2011/12. Rome: FAO. Available at: ftp://ftp.fao.org/agl/agll/docs/cwfto11.pdf Food and Agriculture Organization of the United Nations (FAO) and International Fertilizer Industry Association (IFA). (1999). Fertilizer Strategies. Rome: FAO and IFA. Available at: ftp://ftp.fao.org/agl/agll/docs/fertstr.pdf IFAD Environmental and Social Assessment Procedures OS 3-1 OPERATIONAL STATEMENT 3 Fisheries INTRODUCTION 37. Fisheries projects can be divided in two groups: (i) capture fisheries (harvest of wild stock); and (ii) culture fisheries or fish farming (freshwater aquaculture, brackish water aquaculture and mariculture). Capture fisheries include marine operations (offshore and near-shore) and inland operations (rivers and lakes). Fish farming produces more fish than is normally available from wild stock, by manipulating or managing the fish and food resources (by containment in ponds or specific productive areas, creating new or improved use of natural habitats). 38. The total demand for fish is approaching production limits. Capture fisheries account for 66 percent of total world food fish production of which most commercial stocks are now fully exploited. Inland fisheries yield only 10 percent of the total capture fisheries production and have also reached their limit in most areas. At the same time, available fish and water resources are deteriorating as a result of pollution from agriculture, industry, mining and urbanisation (especially in tourist areas). Increases in fish production are possible through increased fish farming, but this is often associated with considerable environmental problems. However, fish farming using environmentally friendly appropriate technologies adapted to local situations using the existing natural ecosystems can improve production without significant environmental degradation. Most problems are caused by “importing” foreign technologies without adequate research into improving local technologies and adopting “local solutions”. FISHERIES IN IFAD PROJECTS 39. Projects with fisheries improvements are amongst those projects where the proportion of poor beneficiaries is higher than in any other development programme. Development in fisheries directly affect some of the poorest and most marginalized groups of the population as open access fisheries is often used as an employer of last resort. Projects which aim at the development of small-scale fisheries are therefore fully within IFAD’s mandate to alleviate rural poverty and are very beneficial to the marginalised rural poor. Successful development of artisanal fishing communities is considered to be one of the biggest challenges that institutions face in fisheries development. 40. Through its investments in well over 30 small-scale fisheries (including aquaculture) projects, IFAD has sought to attain the following objectives:
increase food production
improve nutrition & health of fishing communities (& surrounding communities)
increase incomes and employment
improve the quality of life in fishing communities
increase national trade and exports
reduce immigration of young fishermen to urban areas
improve the situation of women in fisheries 41. Currently, projects with fisheries components constitute around 23 percent of IFAD’s project portfolio. Projects with fisheries components now routinely include provisions to increase fish production within sustainable limits and safeguard against resource depletion. IFAD Environmental and Social Assessment Procedures OS 3-2 ENVIRONMENTAL ISSUES 42. Whereas the development of artisanal fisheries has many beneficial effects, the most significant may be the modernization and infrastructural improvements of the area concerned; as the long-term productivity of the resource base may be threatened. This is in fact the most significant negative environmental effect on any fishery activity or fishery project. Below is a list of the most common, potential negative impacts of capture fishery projects. a. Over-exploitation – results in unsustainable depletion or even extinction of target fish stocks and other species dependent on it. This can have major impacts on biodiversity and biological equilibrium. However, currently this is not a major concern in developing countries because local fish stocks are quite “under-utilised” by poor rural fishing communities due to lack of adequate financial resources & equipment to improve yields. b. Capture and discarding of non-target species (by-catch) – due to inappropriate equipment use and fishing practices, as well as loss of nets. c. Habitat damage – oil and fuel spills, direct dumping of debris (gear, twine, food containers, plastic bands, etc.) by fishing fleets and damage from anchors, explosives and poisoning; coastal pollution from processing plants. Additionally, deforestation may occur around fishing villages due to an increase in demand for fuel-wood from those who engage in the production of “smoked fish”. 43. Fish farming by its inherent nature of changing natural ecosystems has more significant impacts than capture fisheries. Hence “fish farming” should not be encouraged where there is still potential for improving yields from “capture fisheries” which is much more environment friendly. Furthermore, if “fish farming” is the only option, it should use technologies which are locally adapted and wherever possible utilise the existing intact ecosystems. The most important negative impacts of fish farming are listed below. a. Conversion of wetlands – coastal wetlands are cleared involving erosion and siltation problems. They are then converted to fish ponds and can be particularly destructive in mangrove swamps. b. Siting of ponds in valleys and lowlands – interferes with other uses, such as irrigation, washing, drinking, and urban expansion. c. Change in hydrology – water quality is affected by stagnation, acidification, and pond effluents. Nutrient and organic enrichment of recipient waters results in build-up of anoxic sediments. The quantity of water available for other uses is also reduced. d. Introduction of exotics – damage to/extinction of native fish populations by predation, and spread of diseases and parasites; risk of genetic impacts (through escapement of genetically modified species. In developing countries, adequate production through fish farming can be achieved without the use of genetically modified species and should not be permitted. Furthermore, in most developing countries fish biodiversity is very high and the long term impacts of GMOs on local biodiversity is difficult to predict and likely to be very detrimental. Further research is required. e. Human and Animal Health - the use of antibiotics and other chemicals to control diseases & parasites in fish farming operations is likely to have very serious negative impacts on the health of both animals & people due to the contamination of the environment with antibiotic resistant microorganisms, etc 44. In addition, health impacts associated with fish processing and pollution etc. are relevant. IFAD Environmental and Social Assessment Procedures OS 3-3 POTENTIAL MITIGATION 45. Many fishery oriented projects are designed with the clear understanding that there are potential negative impacts, but that these can be avoided or mitigated by good fishery practices. This of course is no guaranteed solution where the capacity to implement or enforce good practices is impaired. Even though the technical mitigation measures – which are known to resolve or alleviate the negative impacts of fisheries (as given below) – are simple and straightforward, it should be kept in mind that considerable monitoring (environmental monitoring capacity in developing countries is rather inadequate and should be improved through the project) of fish and water resources may be necessary during and after project implementation. 46. Mitigating measures in capture fisheries may include: a. Over-exploitation – development of fishery management plans for optimum sustained yields1 including capacity reducing measures like selective gear size, limited areas, limited seasons, minimum fish size; promotion of the respect of Marine Protected Areas (MPAs); reduction of post-harvest waste, consideration of artificial habitat technologies, a new focus on aquaculture; promotion of eco-labeled products. b. Capture of non-target species – education of fishermen and control over damaging fishing equipment and practices, and development of markets for non-target species; promotion of use of selective gear and improved gear technology (e.g. biodegradable material, collapsible traps). c. Habitat damage – public education, provision of oil disposal sites, and designation of anchoring sites; banning of destructive fishing practices based on the use of explosives and poison. Environmental impact caused by an increased demand for fuel-wood for “smoked-fish” production may be minimized by the provision of community owned & operated “refrigeration facilities” for fish storage and the development of rural roads to transport fresh fish to nearby towns or cities. Coastal pollution from fish waste may be minimized by encouraging backyard poultry and pig production in fishing communities. Fish waste could be an excellent source of protein for these backyard livestock. d. Community compliance – Environmental education of rural communities and Community empowerment is extremely vital. Capacity building, education and participation in management contribute to building sense of ownership and support sustainable resource use. Formation of “fishermen co-operatives” can “empower” local communities, ensure compliance and also improve income. 47. Mitigating measure in fish farming may include: a. Resort to “fish farming” only when improvement in sustainable yields from “capture fisheries” by improved technologies cannot be achieved. b. Locally adapted technology – Use locally adapted technologies where “fish farming” can be practiced without altering the local ecosystem (avoid importing foreign technologies). a. Conversion of wetlands – preparation of wetland development plans which set aside areas of particular ecological significance, limit the conversion to ponds, and discourage extensive forms of aquaculture. b. Appropriate siting – siting of ponds, and development plans to ensure equitable land and water distribution of resources for different users. c. Change in hydrology – adequate pond water exchange and flushing, and dilution or treatment of pond water prior to release; careful selection and use of feeds and fertilizers, 1 This measure is confirmed by experiences gained in IFAD funded fisheries projects. Bishay (1990) concludes that “it is imperative that a fisheries resource assessment be carried out as a prelude or part of the IFAD project, linked to the need to create awareness among fishermen of the finite nature of the marine resources and of needs for measures to manage the resource.” IFAD Environmental and Social Assessment Procedures OS 3-6 Websites Food and Agriculture Organization of the United Nations (FAO) - Fisheries and Aquaculture Department. http://www.fao.org/fishery/ ONE Fish, Freshwater Fisheries - Impact on/of fisheries and aquaculture. http://www.onefish.org/servlet/CDSServlet?status=ND0xNDkxMSY2PWVuJjMzPWRvY3VtZW50cyYzNz1 rb3M~ World Bank. Fisheries and Aquaculture site. http://go.worldbank.org/7C6O193SK0 WorldFish Center. http://www.worldfishcenter.org/v2/index.html IFAD Environmental and Social Assessment Procedures OS 4 -1 OPERATIONAL STATEMENT 4 Forest Resources INTRODUCTION 51. Forest resources are used and managed for different – often competing – purposes, such as timber and fuelwood production, Non Timber Forest Products (NTFPs) collection, watershed management, shelter and food supply for indigenous people (forest dwellers), emergency shelter and food supply for surrounding farming communities or herders, and conservation of biological diversity. Natural stands of trees and shrubs play an important supportive role in savanna pastoralism and are used as a restorative measure for fertility improvement in shifting cultivation. Tree-based production systems do not require the continuous managing of the soil. 52. Crop production & logging are probably at the forefront of activities most destructive of natural forests and biodiversity. Natural forests can be managed sustainably by rural and indigenous communities to provide livelihoods and adequate income generating activities through alternative livelihood activities such as livestock grazing, natural honey collection/production, collection of fire- wood, medicinal plants, wild fruits & nuts, controlled hunting, etc. The same approach can also be used in rural villages situated in “buffer zones” around “protected areas” to provide sustainable livelihoods for poor rural people while protecting natural forests and the environmental services they provide. 53. Forests also place heavy demands on ecosystems in terms of nutrients, water, and light and therefore the management of natural forests is a complex issue. If well managed, forests can be used sustainably for most of the above purposes, either separately or simultaneously. They can also provide local as well as global environmental services, such as maintaining soil stability, protecting water flow and quality, regulating global climate through carbon sequestration, and serving as the repository of the bulk of terrestrial biodiversity. Overall, deforestation continues at an alarming rate with few signs of a significant decrease over time.1 Large-scale destruction of forests (crop production, especially monocultures and logging are probably the most destructive practices which threaten the survival of forests in developing countries) occurs as a result of logging, and clearing for other land uses such as for infrastructure (roads, dams) and agricultural or livestock development (large scale forest clearing for livestock grazing is so far only common in South America, but should be discouraged). These changes often take place as a result of demographic transitions (migration and population growth). FOREST RESOURCES IN IFAD PROJECTS 54. IFAD does not finance logging operations in tropical forests. Instead IFAD project components involve low-impact use of forest resources, or the expansion of agricultural operations, which may inadvertently involve conversion or degradation of forests. The removal of forests in such projects may involve clear-cutting for agricultural purposes or may be a result of project roads which facilitate access to the forest. Clear-cutting of forests for any purpose should be actively discouraged and only done as a last resort. Livelihoods of the rural poor can be improved with intact forests using environmentally sustainable alternatives to crop production including traditional livelihoods of indigenous people (livestock grazing, honey collection, medicinal plants, etc). 55. IFAD projects with a forest dimension often involve forest dwellers, who are among the poorest rural people in the world. They are often severely affected by developments from outside, have no recognized title on the forest lands which they depend on for their livelihood, and are therefore a prime target group to IFAD’s mandate to alleviate rural poverty. 1 About 130 000 km2 (13 million hectares) per year during the period 1990–2005 (Source FAO 2005). IFAD Environmental and Social Assessment Procedures OS 4 -2 ENVIRONMENTAL ISSUES 56. Essentially there are two kinds of environmental issues related to IFAD projects which deal with forest resources: (i) the beneficial impacts of projects which specifically attempt to improve the livelihood of poor people depending on forest resources through community forest management and agro-forestry based on sustainable logging practices; and (ii) the projects aimed at increasing agricultural production through the expansion of crop or rangelands, with or without the construction of rural roads (activities which may have significant negative impacts on forest resources). 57. Beneficial impacts are those contributions made to the management of natural forests for sustainable production of timber and non-forest products in such a way that these yield sufficient financial returns. This may include the expansion of processing or marketing infrastructure for forest products. It may also include the design and implementation of Rewards for Environmental Services strategies through the creation of national or international markets for local environmental services provided by forest dwellers. The establishment of “grazing reserves” for the exclusive use of pastoralist communities in some developing countries (e.g. Nigeria) has also been found to be extremely beneficial for both marginalized communities and the environment. These are among the most appropriate ways to protect forests and watersheds, relieve pressure on other forests, and conserve their environmental value. Sustainable natural forest management approach and community-based forestry are most likely to succeed under conditions of a stable population. 58. A major concern in IFAD projects with regard to forest resources is the possible induced clearance of forest land for agricultural purposes. This process can be rapid (take a few years) and systematic; in the case of land clearance for specific monoculture crop production (i.e. cotton); or take place as a result of government-sponsored or spontaneous settlement in previously inaccessible or remote areas. The process of conversion to agriculture can also be gradual (decennia), as it is in large areas of the dry tropics, where population pressure is intensifying and where the once-sustainable land uses, such as shifting agriculture, reach unsustainable levels. A concern is raised also by biofuel production if not accompanied by strict land use laws, particularly in countries with tropical forests that are at risk of destruction. Biofuel expansion has in fact the potential to contribute to soil depletion, habitat loss and reduced biodiversity if they are grown on previously wild grasslands or forests. 59. When forests are transformed into cropland or range land (livestock herding can be achieved without forest destruction since animals can graze within intact forests as is the case with pastoralists communities), there can be immediate as well as long term impacts. The obvious benefit conferred by agriculture is increased food production. There are a number of negative environmental effects due to land clearing. These negative impacts are very similar to the indirect effects of road construction in or near forests. The indirect impacts or rural roads are examined in a separate OS. Typical negative effects of forest clearance affect the following areas: a. Vegetation – loss of trees and undergrowth that is cleared and damage is extended to surrounding wooded areas. b. Soils – disturbance of soils increasing susceptibility to erosion and loss of top-soil (in particular on sloping lands); creating changes in soil structure; loss of soil fertility; and changes in soil type as a result of temperature increases. c. Water – greater run-off; increasing the chance of flash floods; creating reduced groundwater recharge; and water pollution from waste associated with agricultural operations; increased erosion along river banks and sea-shores; increased silting of rivers d. Wildlife – depletion of wildlife; loss of habitat; hazards from agricultural chemicals, machines, and traffic; and imbalance in fish populations as a result of changes in water quality and quantity. This applies to crop production only. Most wild herbivores are browsers while most livestock are grazers and thus livestock can easily co-exist with wild herbivores in intact natural forests IFAD Environmental and Social Assessment Procedures OS 4 -5 Projects/programmes International Fund for Agricultural Development (IFAD) (2004). Nepal: Leasehold Forestry and Livestock Programme. Rome: IFAD. Available at: http://www.ifad.org/english/operations/pi/npl/i646np/index.htm International Fund for Agricultural Development (IFAD). From Community to Leasehold Forestry. Rome: IFAD. Available at: http://www.ruralpovertyportal.org/english/learn/forestry/leasehold.htm Studies Edmunds D. Wollenberg E. (2003). Local forest management: the impact of devolution policies. Bogor Barat, Indonesia: Center for International Forestry Research (CIFOR). Food and Agriculture Organization of the United Nations (FAO) (2005). Global Forest Resources Assessment 2005. Rome: FAO. Available at: http://www.fao.org/forestry/site/fra/en/ International Fund for Agricultural Development (IFAD) (2006). Evaluation Profile, Breaking New Ground: Leasehold Forestry in Nepal. Rome: IFAD. Available at: http://www.ifad.org/evaluation/public_html/eksyst/doc/profile/pi/np.htm International Fund for Agricultural Development (IFAD) (2004). Case Study, Nepal. Fighting Poverty and Land Degradation with Leasehold Agreements. Rome: IFAD. Available at: http://www.ifad.org/events/reducingpoverty/nepal.pdf Kozak R. (2007). Small and medium forest enterprises: instruments of change in the developing world. Vancouver: Rights and Resources Institute, University of British Columbia. Available at: http://api.ning.com/files/6OFZobIPdyKvslZPLj-6czSFtZhx2pLMNyNDkdiwq7Y_/Kozak.pdf MacQueen, D. (2007). Cutting edge: how community forest enterprises lead the way on poverty reduction and avoided deforestation.’ Sustainable Development Opinion. London: International Institute for Environment and Development (IIED). Available at: http://www.iied.org/pubs/display.php?o=17031IIED Mayers, J. and D. Macqueen, (2007). The big significance of small forestry enterprises. London: International Institute for Environment and Development (IIED). Available at: http://www.iied.org/NR/forestry/documents/Bigsignificanceofsmallforestenterprises-August2007.pdf Molnar, Scherr, Khare (2004). Who conserves the world’s forests? Washington DC : Forest Trends. Available at: http://www.rainforestcoalition.org/documents/ForestTrends-WhoConserves2007-23.pdf Morris. J, Hicks. E, Ingles. A, and Ketphanh. S. (2004). Linking Poverty Reduction with Forest Conservation: Case studies from Lao PDR. Bangkok, Thailand: International Union for Conservation of Nature (IUCN). Available at: http://www.iucn.org/themes/fcp/publications/files/poverty/lao-pdr-povertyreductionboook.pdf Sayers and Maginnis (2005). Forests in landscapes: Ecosystem approaches in sustainability. Gland, Switzerland: International Union for Conservation of Nature (IUCN). Available at: http://www.iucn.org/dbtw-wpd/edocs/2005-018.pdf Shackleton, S.E. (2006). Forests as safety nets for mitigating the impacts of HIV/AIDS in southern Africa. Forest Livelihood Briefs, No. 4. Bogor, Indonesia: Centre for International Forestry Research (CIFOR). Available at: http://www.cifor.cgiar.org/Publications/Detail.htm?pid=2163 Shanthikumar, S.R. (2002). Mainstreaming Sustainable Land Management for Poverty Reduction in Rural Space. Washington DC: ESSD, World Bank. Available at: http://lnweb18.worldbank.org/ESSD/ardext.nsf/17ByDocName/MainstreamingSustainableLandManagem entSLMForPovertyReductioninRuralSpaceAContributiontotheDesignofProjectstoMainstreamSustainableL andManagementinRuralDevelopmentandtoMeasureImpact2002/$FILE/mainstreamingsustainableland.pdf IFAD Environmental and Social Assessment Procedures OS 4 -6 Websites Food and Agriculture Organization of the United Nations (FAO). Forestry website. http://www.fao.org/forestry/en/ World Agroforestry Centre. http://www.worldagroforestry.org/ Center for International Forestry Research (CIFOR). http://www.cifor.cgiar.org/ OS 5 -1 OPERATIONAL STATEMENT 5 Irrigation INTRODUCTION 67. In irrigation, water is managed for agricultural production. Most systems are established to improve crop yields per unit of land. Irrigation systems include: (i) water storage; (ii) water conveyance; (iii) water delivery to plants; and (iv) disposal of drainage water. The major public sector investment is in surface water irrigation. Groundwater irrigation is used on a large-scale in the river basins of China, India and Pakistan, and on a much smaller-scale in oasis farming of desert areas in Africa, Asia and the Middle-east. Irrigation water is conveyed and delivered to plants by gravity, sprinkler or drip irrigation. Facilities for drainage of excess water are not always provided in irrigation systems which may lead to waterlogging and soil salinisation. Salt-water intrusion of groundwater resources along coastal areas is another notorious problem, especially when modern water-pumping technologies are used to expand crop production. IRRIGATION IN IFAD PROJECTS 68. IFAD no longer finances new, large-scale, irrigation systems in the public sector because of their increasing costs, delays in their implementation, and disappointing performance. IFAD’s investment strategy is now mainly focused on support to Farmer Managed Irrigation Systems (FMIS). FMIS are those systems in which all day-to-day activities and decisions are undertaken by the farmers themselves, with the Government Agencies providing (at most) periodic technical and financial assistance. This implies that IFAD’s support is not limited to irrigation systems, which were initiated by and managed by farmers themselves, but also includes schemes initiated by governments, but which are, directly or gradually, handed-over to the farmers. ENVIRONMENTAL ISSUES 69. Irrigation has several important positive impacts. The agricultural benefits are most apparent and include: (i) higher yields and longer growing season (optimised through double cropping); (ii) reliable water supply providing protection against drought and reduction of agricultural risk; and (iii) crop intensification. Irrigation also has social and economic benefits particularly in terms of contribution to the national economy, foreign exchange earnings, avoidance of drought-induced crop losses, and stabilization/modernization of rural economies. In addition, higher crop production under irrigation may reduce the need to convert forest of wildlands for agriculture; land levelling and increased plant cover trends to reduce evaporation and wind erosion. 70. The potential negative impacts of irrigated agriculture development affect several areas and involve soil degradation, water quality, human impacts, public health impacts, and effects on flora and fauna, particularly when introduced on a large scale. It is convenient to consider the environmental impacts for each of the four main phases in irrigation development: (i) siting; (ii) design; (iii) construction; and (iv) operation phase. The impacts are quite different for each phase. To facilitate and focus environmental assessment of IFAD projects (typically large scale gravity and groundwater schemes) possible impacts for each phase are listed below: a. Siting phase – possible relocation of people, loss of agricultural land, loss of unprotected natural forests & biodiversity, impact on protected areas, impact on historic sites, effect on water resources upstream and downstream of the command area, and loss of access to water by non-irrigation groups (e.g. livestock herders); b. Design phase – inadequate engineering and design of infrastructure, disruption of existing watercourses, drainage adjustments, and inefficient uses of water; IFAD Environmental and Social Assessment Procedures OS 6-1 OPERATIONAL STATEMENT 6 Range Resources INTRODUCTION 74. Rangelands include grasslands, woodland savannahs, open forest (and in some cases cleared areas of closed forests), shrublands, wastelands, abandoned agricultural areas, and deserts that support domestic ruminants and wild herbivores. The targets of these range areas vary from large- scale commercial ranching to mixed farming or traditional pastoral systems. Hence, depending on the scale of the operation, different measures will be adopted. Rangeland and pastoralist activities are two areas in which IFAD is very active. These areas support a large number of herders and livestock producers, however, open-access to these areas has resulted in grave environmental consequences. Over-grazing is one of the most notorious of these impacts (others include human settlement, roads, and harvesting fuel wood) leading to a loss of surface top-soil and losses in soil fertility. In arid, semi- arid and dry sub-humid lands, human activities such as fuel-wood harvesting, charcoal production and slash and burn crop cultivation (and natural phenomena such as droughts) have huge impacts on rangelands and accelerate desertification. RANGELANDS AND LIVESTOCK PRODUCTION IN IFAD PROJECTS 75. IFAD projects addressed here are small and medium-scale livestock operations practicing mainly free grazing. These operations may occur in traditional extensive pastoral systems relying mostly on grazing of natural range vegetation or sometimes a mixture of natural and cultivated feed resources. Such livestock projects aim at maximizing food production per unit of land. They occur in semi-arid or sub-humid rangeland areas. IFAD does not finance livestock projects involving clearing of tropical moist forests. ENVIRONMENTAL ISSUES 76. The single most important potential negative impact on natural resources of a range land management or extensive livestock production related project, is that it may sometimes cause, or contribute to overgrazing or overuse of rangelands. This leads to degradation of the vegetation and soils over extensive areas, and affects sustainable production of the ecosystem. Overgrazing occurs relatively easily because rangelands are generally marginally productive lands to begin with. Other impacts are more localized. Livestock projects may sometimes lead to increased competition with wildlife for forage and water and result in wildlife reduction. However, wildlife and livestock can be sustainably managed together for increased income by using innovative environmentally sound approaches such as “eco-tourism” and wildlife/livestock ranching. Vegetation and soil destruction may also develop around intensively used water sources. Unregulated and improper use of acaricides to reduce ticks for disease control may affect water supplies. 77. A number of social and institutional issues have a direct impact on how rangelands are used and managed, directly affecting the state of the natural resource base. The most important factors to assess in developing new projects are: formal and informal resource tenure arrangements, livestock ownership patterns, land/population ratios, and available/potential locations of water points. 78. Rangeland management projects are subject to external land use changes which affect range resource use in the project area. Agricultural encroachment on rangelands, mining, wildlife conservation measures, tourism, and other uses generally reduce the land available for livestock production and increase the pressure on the remaining resource. Climate change may also impact rangeland resources in the long term, increasing pressure on the resource base and exacerbating conflict between different resource users. IFAD Environmental and Social Assessment Procedures OS 6-2 79. A summary listing the potential impacts of range management and livestock production is given in the table below, some form of community participation, empowerment and land use participation is necessary prior to the implementation of the listed mitigation measures. Current or Potential Negative Environmental Impacts of Rangelands-Based Livestock Production IMPACT MITIGATING MEASURES VEGETATION Degradation of vegetation due to overgrazing Use indigenous practices of livestock management of local Pastoralist communities such as “rotational grazing”. Revise assessment of carrying capacity. Limit animal numbers onto land. Control length of grazing time on particular areas. Mix livestock species to maximize use of vegetation resource including wildlife for community managed “eco-tourism”. Reseed and increase fodder. Establish “zero-grazing” schemes 1 . Cut and carry. Strategic placement of water points and salt. Hay production during wet season (in restricted areas) for use in dry-season feeding. SOIL Increased soil erosion due to grazing, clearing of vegetation and trampling. Increased siltation/salinization of surface waters. Restrict livestock access to unstable areas (e.g. steep slopes). Implement soil erosion control measures (e.g. reforestation, reseeding of grasses, land preparation, terracing). Afforestation with multi-purpose indigenous plants such as Acacia Senegal (gum arabic); use of the multi-purpose shrub “Sea Buck Thorn” – excellent for binding soil especially in steep slopes and also provides fodder for livestock and fruits for human use. Deterioration of soil fertility and physical characteristics through: Removal of vegetation Fire Increased erosion Soil compaction Restrict livestock access to unstable areas (e.g. steep slopes). Implement soil erosion control measures (e.g. reforestation, reseeding of grasses, land preparation, terracing). Control human activities such as charcoal production (which involves cutting down of live trees). Increased water runoff due to vegetation clearing and soil compaction (decreased infiltration capacity) Implement soil and water conservation measures Restrict livestock access to unstable areas (e.g. steep slopes). Implement soil erosion control measures (e.g. reforestation, reseeding of grasses, land preparation, terracing). Limit animal numbers. Control length of grazing time on particular areas. Mix livestock species to maximize use of vegetation resource. Reseed to produce fodder. Cut and carry. Strategic placement of water points and salt. WATER SUPPLY Degradation of vegetation and soil around water points Over-tapping of ground water Lowering of water table and degradation of vegetation locally by drilling and use of boreholes Develop numbers of small-capacity water sources including storage ponds to store excess water from flash floods. Strategic placement of water points. Control use of water points (animal numbers and time of year) Close permanent water sources when temporary pools and streams are available. 1 Not a very practical option in semi-arid areas and likely to accelerate desertification. IFAD Environmental and Social Assessment Procedures OS 6-5 base, at intervals, as determined in project design. Important changes in resource conditions as well as in social conditions affecting range resource users, in particular degradation, should be brought to the attention of the project management for remedial action. Community training for community based monitoring of range resources (during and after implementation) should be included. REFERENCES Guidelines: Food and Agriculture Organization of the United Nations (FAO), Livestock, Environment and Development - LEAD Initiative Livestock and Environment Toolbox. Rome: FAO. Available at: http://lead.virtualcentre.org/en/dec/toolbox/Index.htm Overseas Development Institute (ODI) and International Livestock Research Institute (ILRI) Pro-Poor Livestock Policy Research. http://www.odi.org.uk/RAPID/Projects/RAP0009/Index.html Projects/programmes: CGIAR Systemwide Livestock Programme. http://www.vslp.org/vslp/front_content.php International Fund for Agricultural Development (IFAD) (1991). The Smallholder Livestock Development Project in Bangladesh. Rome: IFAD. Available at: http://www.ifad.org/english/operations/pi/bgd/i280bd/index.htm International Fund for Agricultural Development (IFAD) (1990). Livestock and Pasture Development Project in the Eastern Regions of Morocco” Appraisal Report. Rome: IFAD. Project page available at: http://www.ifad.org/english/operations/pn/mar/i260ma/index.htm International Fund for Agricultural Development (IFAD) (1989). Suchuan Livestock Development Project in China. Appraisal Report. Rome: IFAD. International Fund for Agricultural Development (IFAD) (1989). The Livestock Sector Development Project in Cameroon” monitoring and evaluation report. Rome: IFAD. Project page available at: http://www.ifad.org/english/operations/pa/cmr/i230cm/index.htm International Fund for Agricultural Development (IFAD) (1985). Central African Republic - Livestock Development Project. Appraisal Report. Rome: IFAD. International Fund for Agricultural Development (IFAD) (1984). Stock Route Project in Sudan. Appraisal Report. Rome: IFAD. Project page available at: http://www.ifad.org/english/operations/pn/sdn/i155sd/index.htm International Livestock Research Institute (ILRI). Nile Basin livestock–water productivity (A project of the CGIAR– CPWF). Nairobi: ILRI. Available at: http://www.ilri.org/page3rdlevel.asp?pageid=368&menuid=28 Management of Indigenous Vegetation for the Rehabilitation of Degraded Rangelands in the Arid Zone of Africa Project. Available at: http://www.nema.go.ke/ivp.htm Studies: Food and Agriculture Organization of the United Nations (FAO) (1986). Water for animals. Rome: FAO. Available at: http://www.fao.org/docrep/R7488E/R7488E00.htm International Fund for Agricultural Development (IFAD). Combating Range Degradation: The Experience of IFAD. Rome: IFAD Available at: http://www.ifad.org/lrkm/theme/range.htm Niamir-Fuller M. (1994). Women Livestock Managers in the Third World: a focus on technical. Rome: IFAD. Available at http://www.ifad.org/gender/thematic/livestock/live_toc.htm Squires V. and Sidahmed A.E. (1998). Drylands: sustainable use of rangelands into the twenty-first century. IFAD Series: Technical Reports. Rome: IFAD. Shanthikumar, S.R. (1995). Current Trends in Animal Health and Production: How Environment Friendly Are They? Nairobi: United Nations Environment Programme (UNEP). IFAD Environmental and Social Assessment Procedures OS 6-6 Shanthikumar, S.R. (1995). People, Livestock and Wildlife in the Savannahs of Kenya and Tanzania. Nairobi: United Nations Educational, Scientific, and Cultural Organization (UNESCO). Shanthikumar, S.R. (1994). People, Livestock and Wildlife. an Annotated Bibliography. Nairobi: United Nations Environment Programme (UNEP). Shanthikumar.S.R. (1993). Livestock and Desertification. Nairobi: United Nations Environment Programme (UNEP). Websites: African Union - Inter-African Bureau of Animal Resources (AU/IBAR). http://www.au-ibar.org/index.html Animal Health for the Environment and Development (AHEAD). http://www.wcs-ahead.org/ Dana Declaration on Mobile Peoples and Conservation. http://www.danadeclaration.org/ Food and Agriculture Organization of the UN – Animal Production and Health Division. http://www.fao.org/ag/againfo/home/en/index.htm ELDIS Pastoralism resource guide. http://www.eldis.org/pastoralism/index.htm Global Livestock Collaborative Research Support Program (GL-CRSP). http://glcrsp.ucdavis.edu/ International Livestock Research Institute (ILRI). http://www.ilri.org/ League for Pastoral Peoples (LPP). http://www.pastoralpeoples.org/ Livestock Development Group (LDG). http://www.livestockdevelopment.org/ Livestock, environment and development initiative (LEAD). http://www.virtualcentre.org/en/frame.htm Overseas Development Institute (ODI). The Pastoral Development Network. http://www.odi.org.uk/networks/pdn/index.html Rural Poverty Portal: Livestock and Rural Poverty: http://www.ruralpovertyportal.org/english/topics/livestock/index.htm World Alliance of Mobile Indigenous Peoples (WAMIP). http://www.iucn.org/themes/ceesp/WAMIP/WAMIP.htm World Initiative for Sustainable Pastoralism (WISP). http://www.iucn.org/wisp/index.html World Organization for Animal Health (OIE). http://www.oie.int/eng/en_index.htm IFAD Environmental and Social Assessment Procedures OS 7 -1 OPERATIONAL STATEMENT 7 Rural Roads INTRODUCTION 82. This operational statement addresses IFAD policy and procedures in projects that include a rural roads component. The directive applies to the planning and financing of projects that include a rural road component and to free-standing rural road projects. Rural roads are generally built to improve transport (including non-motorized transport) and access and provide better communication. Improved mobility for the rural poor enables them to access: (i) services (agriculture, education, health, finance); (ii) markets (inputs, agro-processing, wholesale, retail, export): (iii) income-generating opportunities; (iv) social, political and community activities; and (v) technology transfer. In IFAD projects rural roads may also be called “farm-to-market roads” or “farm-to-village tracks”. Rural roads include roads constructed for watershed management, for reforestation, or other single purpose activities. RURAL ROADS IN IFAD PROJECTS 83. IFAD’s policy is to promote effective and environmentally sound design, construction, maintenance, and rehabilitation of rural roads. Road development may have direct and/or indirect impacts on the environment. IFAD’s policy applies to both the direct and indirect negative environmental impacts of rural road development. 84. Rural road rehabilitation projects do not normally have significant negative impacts on the environment. Such rehabilitation projects often provide the opportunity to correct past mistakes in road design and construction. It allows for elimination of stagnant water areas, inadequate drainage provisions, etc. However, road rehabilitation can also usefully be combined with the construction of (temporary) ponds used for livestock watering, complementary irrigation and/or domestic use of water. It is IFAD’s policy to take advantage of road rehabilitation as a means to promote positive impacts on the environment. These measures are best developed through Community Driven Development (CDD) approaches, in close consultation with the affected population living near the road, which know the existing problems. Positive experience with labour-based approaches to roadworks and favourable Government policies for local enterprise involvement in this sector may exist. Where possible, the population and local enterprises should be actively involved through a labour-based implementation of the environmental measures. 85. Rural road construction, maintenance, and rehabilitation may have direct negative environmental consequences. The most important are as follows: a. Soil erosion – road works may cause exposure of soil, poorly maintained roads and tracts may provide initial channels for gully erosion, all leading to uncontrolled drainage with consequential damage of land and vegetation, as well as siltation and sedimentation of water bodies. b. Damage at borrow sites removal of road construction materials may leave local sites and sources of sand, gravel, rock, or coral reef and their surroundings, exposed to erosion or permanently damaged. The non-restoration of borrow pits may also lead to increased accident risks (through land-slides or drowning). c. Disturbance of drainage – roads may concentrate and accelerate runoff and increase the risk of flooding by rivers, canals, and lakes. d. Disturbance of drainage – roads and non-restored borrow pits may create stagnant pools of water, which are habitats for disease vectors (eg. mosquitoes) and are a public health hazard.