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SESSION #6
INTRODUCTION TO ESIA
Presented by
Monkey Forest Consulting
OBJECTIVES AND OUTLINE
Components of an ESIA and the incorporation of health will be
discussed through review of the following topics:
•  Introduction to the need for IA
•  Company ESIA and regulatory IA
•  ESIA process
INTRODUCTION
Ø  Analysis of Environmental, Social & Health risks and opportunities
Ø Historically not considered relevant by banks
Ø Growing recognition that effective analysis of these aspects is
fundamental
Ø  Impacts of the operations they finance
Ø EBRD and other banks now realise they have significant responsibility
Ø Addressing such issues is critical to proper transaction, portfolio, and
reputational risk management
Ø  Avoiding risks whilst capturing opportunities
Ø Addressing sustainable development aspects of activities
Ø Outperform in the long term
WHAT IS IMPACT ASSESSMENT?
Ø  Impact Assessment is a systematic process to identify, predict and
evaluate the environmental, social, and health effects of proposed
actions and projects.
Ø  Impact Assessments can take many different forms (e.g. EIA, ESHIA,
ESIA, …) but the process is important, including a methodical
analysis of possible impacts
Ø  The “impact” is the difference between what would happen with the
action and what would happen without it.
Ø References:
Ø  EU EIA Directive: Http://ec.europa.eu/environment/eia/eia-legalcontext.htm
Ø  IAIA: www.iaia.org
NATIONAL EIA
•  What are the strengths and weaknesses of the national EIA system?
STEPS OF THE ESIA
Screen Scope Examine Alterna1ves Analyze Impacts Mi1ga1on Measures Evaluate Signiﬁcance Prepare ESIA Report Review ESIA Decision Making Monitor & Follow-‐up ANALYZING IMPACTS
→ Type biophysical, social, health or economic
→ Nature direct or indirect, cumulative, etc.
→ Magnitude or high, moderate, low
severity
→ Extent local, regional, trans-boundary or global
→ Timing immediate/long term
→ Duration temporary/permanent
→ Uncertainty low likelihood/high probability
→ Reversibility reversible/irreversible
MITIGATION MEASURES
•  Establish the measures to avoid, minimize, compensate or offset (as
a last resort) predicted adverse impacts
–  Avoidance can include project redesign – something as simple as moving a
transmission line or a road to avoid cutting through the center of a village or a
wetlands area of significance
–  What might an example of minimization be?
–  What is meant by offset?
•  Incorporate these into the environmental, social & health
management system and plans
•  Offsets are a last resort, and are not always acceptable. If residual
impact is not acceptable this is a no go.
EVALUATE SIGNIFICANCE
Ø  Determine the relative importance and acceptability of residual
impacts (i.e., impacts that cannot be mitigated).
Ø  What makes impacts significant?
–  Spatial incidence
–  Duration
–  Periodicity
–  Reversibility
–  Probabilities
–  Number of people affected
–  Sensitivity of receiving environment
–  Carrying capacity and sustainability
EU EIA DIRECTIVE
•  The EIA Directive (85/337/EEC) is in force since 1985 and applies to
a wide range of defined public and private projects, which are defined
in Annexes I and II.
•  EIA Directive was revised in 2014.
Purpose
•  Provide information for decision-making on the environmental
consequences of proposed actions;
•  Promote environmentally sound and sustainable development
through the identification of appropriate enhancement and mitigation
measures.
WHICH PROJECTS NEED AN EIA?
•  Mandatory EIA – All Annex I projects – refineries, power
stations, smelters, chemical industry, railways, motorways,
waterways, waste disposal installations, WWTPs, etc. (list
not exhaustive)
•  At the discretion of MS (screening) – Annex II – agriculture,
extractive industry, energy, metal processing, mineral,
chemical, food industries, textile, infrastructure, etc. (not
exhaustive)
Impact Assessment
The processes of analyzing, planning for and managing both positive
and potential negative, intended and unintended, impacts of projects.
IA
EIA
SIA
HIA
ESIA
KEY TERMS
IA
EIA
Environmental
An impact by a project on
the environment, such as
noise, air quality, flora,
fauna, soil, water,
archaeology, cultural
heritage, etc.
Social
An impact by a project on a
person or group of people,
whether physical, cultural
or economic, or on a social
structure, lifestyle, or
opportunities of affected
communities.
SIA
ESIA
Combines technical Environmental, Social & Health Impact Assessment
approaches in a timely and systematic way.
HIA
Health
An impact by a project on
people’s health. The
World Health
Organisation (WHO)
definition of health as
being a state of ’social,
physical and
psychological well-being
and not just the absence
of disease’.
COMPANY ESIA AND REGULATORY IA
Ø Determine the overlap between ESIA requirements and
local IA regulations through a Regulatory Comparison
Local Regulations
Overlap Company ESIA
EXAMPLE OF A COMPANY ESIA PROCESS
•  Affects project design,
corporate competency,
risk mitigation &
operational
management.
•  Supports operational
management systems.
ESIA & PR1
PR1 is the foundation of the Performance
Requirements:
Ø  Manage environmental & social performance through the
project lifecycle.
Ø  Identify & evaluate risks & impacts to workers, affected
communities & the environment.
Ø  Implement the mitigation hierarchy of: avoid; minimise;
mitigate; and compensate/offset.
Ø  Improve environmental and social performance through the
use of Environmental and Social Management Systems
(ESMS).
16 ESIA & PR1
Ø  ESIA is based on recent information,
including and accurate description and
delineation of the project and associated
activities, and social and environmental
baseline data at an appropriate level of
detail.
Ø  ESIA should be commensurate with and
proportional to potential risks and
impacts.
Ø  ESIA covers all relevant direct and
indirect environmental and social
impacts and issues of the project and
the relevant stages of the project cycle.
PR1: PROJECT CATEGORISATION
Ø  Category A = comprehensive ESIA.
–  Includes a public disclosure and consultation process as per PR10.
–  A list of indicative Category A projects is provided in Appendix 2 to the
EBRD Environmental and Social Policy.
Ø  Category B = assessment that is proportionate to the project’s
nature, size and location, as well as the characteristics of the
potential impacts and risks.
Ø  Category C = client will implement an ESMS proportionate to risks
and impacts.
ENVIRONMENTAL AND SOCIAL MANAGEMENT
SYSTEMS
Ø  PR1 requires an ESMS
that is appropriate to the
nature and scale of the
project and
commensurate with the
level of its environmental
and social impacts and
risks.
Iden1ﬁca1on or risks and impacts Monitoring Eﬀec1veness Plan
Implement
Check
Act
Development of an Ac1on Plan Implementa1on of the Ac1on Plan 19 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN
Ø  The client must develop and implement a programme of actions to address the project’s
identified environmental and social impacts and issues and other performance improvement
measures to meet the PRs.
–  Must take into account the findings of the ESIA process
–  Must include the outcomes of stakeholder engagement
Ø  The programme may consist of a combination of documented operational policies,
management systems, procedures, plans, collectively known as Environmental and Social
Management Plans (ESMPs).
Ø  ESMPs must follow the mitigation hierarchy.
Ø  Where affected individuals or groups are identified as disadvantaged or vulnerable, the
ESMP will include measures so that adverse impacts do not fall disproportionately on them
and they are able to take advantage of opportunities to benefit from the project.
Ø  ESMP are living documents to be updated over time.
MANAGEMENT PLANS
Management Plans detail activities through which mitigation and
enhancement measures will be incorporated and implemented during
project design, construction, and operations.
Framing
1.  Aims and Objectives
2.  Links to impacts and risks
3.  Summary of project and context
elements
4.  Requirements
Management Plan
1. 
2. 
3. 
4. 
5. 
Actions
Responsibilities
Timing
Budget
Documenting and Input / Output
monitoring
6.  Outcome monitoring, reporting and
evaluation
PROJECT MONITORING AND REPORTING
Ø  PR1 requires monitoring the environmental and social performance of
the project.
Ø  External monitoring may also be required by an agreed 3rd party. Typically this
is more frequent during construction and/or for high risk projects.
Ø  Monitoring is intended to: (i) determine whether the project is being
implemented in accordance with the PRs; and (ii) learn lessons,
allocate resources and identify opportunities for continuous
improvement.
Ø  Adequate systems, resources and personnel are required to be in
place to carry out monitoring.
TAKE AWAY MESSAGES
•  The accurate identification and assessment of potential impacts of a
project is fundamental to a project being able to manage risk.
•  The current impact assessment process has evolved over time and
health is now recognized as a key component. This requires a
specialist approach.
•  ESIA and ESMS are key requirements of PR1.
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www.monkeyforestconsulting.com