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1
Environmental and Social Impact
Assessment (ESIA) Guidelines
Information webinar
Tuesday, 5th July 2016
2
Today’s webinar content1. Context & consultation process
2. Overview of the document
3. Key messages
4. Guidelines at a glance
5. Introducing the Guidelines
a) ESIA process
b) Project description
c) Screening phase & scoping phase
d) Baseline study
e) Impact assessment
f) Stakeholder engagement
g) Environmental & social management and monitoring
6. Q&A
3
Presenters
Alexandra Silva, Secil
Ana G Aledo, Votorantim Cimentos
Kostis Dragasakis, Titan
Tanya Strevens, WBCSD-CSI
4
Context
• CSI ESIA Guidelines published in 2005 needed updating
• Advances in ESIA understanding:
→ Baseline assessment
→ Mitigation hierarchy
→ Stakeholder engagement
→ Material sustainability issues for the
cement industry
• More accountability, transparency &
other requirements
• Increased social emphasis
• More user-friendly guidelines needed
• Clearer document structure
1. Context
5
Consultation process• Survey to gauge depth of review required
Responses indicated re-write required
• Tenders invited to identify consultant
• Round-table meeting in Geneva, April 2014
• Feedback (verbal & written) captured & shared
• Drafts reviewed and commented on by TF5
• Final draft reviewed & approved by LDs
1. Context
6
Experts & stakeholders consulted
1. Context
7
Key messages from stakeholders
• Cement sector specific
• NB Baseline biodiversity assessment
• Beyond national standards & minimum regulatory
requirements
• Address major current issues
• Applicable to different project sizes
• Mitigation hierarchy
• Support for decision-making
• Strengthen screening & scoping
• More on social
• More user-friendly
• Enhance with case-studies
8
Overview
WHEN?
WHAT?
WHY?: If the ESIA is not accepted by the local planning authorities and other
stakeholders, then permission for the project will not be granted
Design Construction OperationDecommiss-
ioning
2. Overview
Environmental
Social
Positive & Negative Impacts
9
Overview (ctd.)
Small to large in both scale and scope;
New investments and/or operational
expansions
WHICH PROJECTS?
Engagement and agreement
of all stakeholders
HOW?
10
Key messages
3. Key messages
• Experience from a variety of projects in different countries around the
world
• Meeting international standards and referencing good practices, aiming
beyond regulatory compliance
Accumulate the CSI member’s expertise in ESIA process
• Core principles
• Step-wise approach in setting out key decision points
• Principles and objectives of stakeholders engagement
Demonstrate the approach for a successful ESIA
• Both environmental and social issues are equally addressed
• All material sustainability issues for the cement industry are linked with
respective CSI documents
Reflect the developments in cement industry and changes in
stakeholder expectations
11
Guidelines at a glance
Context
International Standards
The ESIA ProcessOverview
Project description
The screening phase
The scoping phase
Baseline
The baseline report
Impact assessment
Stakeholder EngagementWhy engage with stakeholders?
Who are the stakeholders in an ESIA process?
The principles and objectives of stakeholder engagement
Techniques for stakeholder engagement
Environmental and Social Management and MonitoringThe purpose of an Environmental and Social Management Plan (ESMP)
What should be included in an ESMP?
Verification and reporting
Environmental and social monitoring
Practical Considerations
4. Guidelines at a glance
12
The ESIA process
5a. Introducing the Guidelines – The ESIA process
13
The ESIA process (ctd.)
5a. Introducing the Guidelines – The ESIA process
14
Project description
A detailed and quantitative project description is required
at an early stage, including:
5b. Introducing the Guidelines – Project description
Objectives
and scope of
the project
Project
location
Site
preparation
and
construction
Project
designEmployment
Overview of
proposed
project
closure plan
15
Step 1
Project Definition
Step 2
Mandatory List
Step 3
Exclusion List
Step 4
Sensitive Environment
Step 5
Case-By-Case
ESIA Required
NO
NO
YES
YES
NO ESIA Not RequiredYES
YES
NO
ESIA Required
ESIA Not Required
Screening phase
5c. Introducing the Guidelines – Screening phase
16
• Pre-screening contact with regulatory authorities can
save time for all parties
• Promote co-operative governance by involving
relevant stakeholders early in the planning process
• In case of international funding for a project,
screening phase is used for project categorization
according to international standards (IFC, OECD etc.)
Screening phase tips
5c. Introducing the Guidelines – Screening phase
17
Incre
asin
gscale
of
pro
ject
imp
act
Increasing environmental and social sensitivity
5c. Introducing the Guidelines – Scoping phase
18
• Consider reasonable and practical alternatives for the project
• Inform stakeholders of the development
• Identify potential impacts
• Evaluate concerns expressed from stakeholders
• Define the boundaries of an ESIA study
• Determine the analytical methods to establish the significance
of impacts
• Establish ongoing mechanisms for consultation
• Establish the terms of reference for specialist studies in the
impact assessment phase of the ESIA
Purpose of scoping
5c. Introducing the Guidelines – Scoping phase
19
• Establish the state of the existing environment before the
implementation of the project
• Should be proportional with the size and scale of the project
What is the purpose of the baseline study?
5d. Introducing the Guidelines – Baseline study
What are the stages of the baseline study?
Reporting
stage
Field
study
Desktop
study
20
1) Physical studies: surface water and sediments,
groundwater, air quality, noise, soils and land use
• Identify the nature of the potential impacts
• Establishing a baseline for each aspect
Note: Several examples of the potential impacts and baseline data are
provided in the ESIA Guidelines for each physical aspect
What should be considered in the
baseline study?
5d. Introducing the Guidelines – Baseline study
21
2) Biodiversity
• Identification and contextualization of the site’s biodiversity value
• Field surveys to confirm the biodiversity value
• Opportunities for biodiversity (positive impacts)
What should be considered in the
baseline study?
5d. Introducing the Guidelines – Baseline study
Biodiversity value: Three levels of
biological organization
• Habitats & ecosystems
• Species
• Ecosystem services
22
3) Socio-economic studies
• A socio-economic description of the affected area
• Involuntary resettlement and land acquisition
• Cultural heritage
• Traffic and transport
• Karst environments
• Positive benefits for local communities
What should be considered in the
baseline study?
5d. Introducing the Guidelines – Baseline study
23
Baseline study report
• Summary of the findings of the baseline studies
• Technical studies
• Summary of field investigations
• Mapping
• Integral step in the ESIA process
• Involve stakeholders
5d. Introducing the Guidelines – Baseline study
24
Impact assessment
Environmental and
Social baseline
Identify the potential
impacts
Measuring potential
change
Significance of change
Residual impacts
Mitigating adverse change
Development stages
• Construction
• Operation
• Decommissioning
Cumulative impacts
ESIA REPORT
5e. Introducing the Guidelines – Impact assessment
25
Measuring potential change (or impact)• Assess the attributes of change
• There is no prescriptive approach set out in existing legislation
• Methodology should be transparent and consistent
• Illustration of a methodology (example of a method is in the ESIA)
5e. Introducing the Guidelines – Impact assessment
• Assess the significance of the change (or impact) (example of a
scoring system provided in the ESIA)
Magnitude
Duration
Scale
....
Significance of change
26
Mitigating adverse change• Define mitigation measures to reduce, neutralize and repair
• Hierarchical approach should be taken into account
See: CSI Quarry Rehabilitation Guidelines (2011)
and the CSI Biodiversity Management Plan (2014)
5e. Introducing the Guidelines – Impact assessment
Mitigation hierarchy
Avoid
Minimize or reduce
Repair & restore or rehabilitate
Offset or compensate
27
5e. Introducing the Guidelines – Impact assessment
• Summary of the findings and recommendations of the
technical studies
• Minimum criteria of an ESIA report are described in the
Guidelines
ESIA report
28
Stakeholder engagementNew project: Necessary to obtain the social license to operate
ForumOpen and frank dialogue with involved parties
+ cement company
5f. Introducing the Guidelines – Stakeholder engagement
Local communities
Media
Commercial organizations
& business associationsEmployees
Government authorities
(national, regional, locals)
NGOs
29
Why to engage?• To consider concerns of the local community
• To see issues from others’ perspectives
• To present synergies (with other projects), cumulative impacts to be
addressed and the opportunities that may be realised
• To avoid loss of time and resources
• To avoid long court battles, demonstrations, boycotts, environmental
damage, facility closures due to non-existent or reactive
communication with stakeholders
Social license to operate: A local community’s acceptance
or approval of a company’s project or ongoing presence
5f. Introducing the Guidelines – Stakeholder engagement
30
• Building trust, credibility and stakeholder capacity
• Involve stakeholders early on
• Comprehensive, clear and transparent
• Inclusive and exhaustive
• Being active to proceed with greater benefit for everyone
involved
Engagement during ESIA must be effective:
Main objective: to ensure the
process is “free, prior and
informed” and that consultation
provides involved groups
opportunities to participate and
offer consent Community liaison committees
5f. Introducing the Guidelines – Stakeholder engagement
31
Principles of stakeholder
participation
Inclusive engagement
Sufficient and consistent information
Offer assistance to understand the concepts involved
Stakeholders must have time
and many opportunities to
exchange information and
viewpoints
Techniques to employ in
stakeholder engagement
Public meetings and open houses
Workshops and seminars in focus group discussions
Newspaper articles and publications in popular media
Internet
Brochures and information sheets
5f. Introducing the Guidelines – Stakeholder engagement
32
License / permit
• Conditions of
approval:
Legal requirements
Impact assessment
requirements
• Guidelines &
standards
Planning &
implementation
• Objectives and
targets
• Environmental &
social impacts and
mitigation measures
• Structure and
responsibilities
• Training requirements
Monitoring and
verification
• Monitoring and
measurement
• Compliance
monitoring
• Impact monitoring
• Internal audit &
verification report
Reporting
• Performance report
Auditing results
Monitoring results
Definition: The mechanism through which the findings of the ESIA and
the associated mitigation measures are implemented
Environmental & social management &
monitoring (ESMM)
5g. Introducing the Guidelines – Environmental & social management and monitoring
33
• To ensure that conditions of approval are met
• To ensure that resources allocated are
sufficient and consistent
• To verify environmental performance and
ensure that impacts on communities are
understood and managed
• To respond to changes in project
implementation
• To respond to unforeseen events
* The typical plans required for a cement plant and associated quarry, along with the key
objectives of each plan, and parameters for monitoring the environmental and social
performance, are described in the Guidelines
Purpose of an ESMM plan
5g. Introducing the Guidelines – Environmental & social management and monitoring
34
Recap• ESIA a crucial topic for the sector – directly linked
to license to operate
• A more user-friendly, up-to-date guideline
• Cover the ESIA process, with particular detail on:
• Screening & scoping phases
• Baseline assessment
• Impact assessment
• Stakeholder engagement
• Links to existing CSI information resources – and
the ESIA Implementation Checklist
5. Introducing the Guidelines
35
Questions?Please use GoTo meeting chat function!
6. Q&A
36
Thank you
www.wbcsdcement.org
www.wbcsdcement.org/ESIA
contact: Tanya Strevens [email protected]
CSI is a member-led program of the
World Business Council for Sustainable Development