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Environmental And Social Management Framework For The DABS Planning And Capacity Support


 
Description Environmental And Social Management Framework For The DABS Planning And Capacity Support
Attachments FinalversionofDABSTAESMF.docx
Publish Date 2015-04-30
Details

 

 

Environmental and Social Management Framework

 

 

For the

 

 

 

DABS Planning and Capacity Support Project

 

 

 

 

 

Da Afghanistan Breshna Sherkat (DABS)

 

 

 

 

 

Revised: 30/04/15

 

 

 

 

 

 

 

 

Table of Contents

 

LIST OF ACRONYMS                                                                                                                                                     4

EXECUTIVE SUMMARY                                                                                                                                               5

 

1              BACKGROUND AND PROJECT CONTEXT                                                                                           7

1.1          BACKGROUND                                                                                                                                 7

1.2          PROJECT CONTEXT                                                                                                                                     7

1.3          PROJECT OBJECTIVES                                                                                                                               8

1.4          PROJECT DESCRIPTION                                                                                                                             8

1.5          PROJECT PHASING                                                                                                                                       9

1.6          POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS                                                              9

 

2              POLICY, LEGAL AND REGULATORY FRAMEWORK                                                                      10

2.1          WORLD BANK OPERATION POLICIES TRIGGERED                                                                      10

2.2          AFGHAN LEGAL AND REGULATORY FRAMEWORK                                                                     11

 

3              ENVIRONMENTAL AD SOCIAL MANAGEMENT FRAMEWORK(ESMF)                  14

3.1          ESMF GENERAL GUIDELINES                                                                                                  14

3.2          LESSONS LEARNED FROM ESMF IMPLEMENTATION IN OTHER PROJECTS   15

3.3          CONSULTATIONS                                                                                                                                           16

3.4          INSTUTIONAL ARRANGEMENTS: REQUIREMENTS, PROCESSES AND

RESPONSIBILITIES FOR SAFEGUARDS SCREENING AND MITIGATION                               16

3.5          MONITORING AND EVALUATION                                                                                                           19

3.6          GRIEVANCE REDRESS MECHANISM                                                                                                     21

3.7.         KEY ENVIRONMENT AND SOCIAL TRAININGS UNDER COMPONENT ONE                         22

3.7          INDICATIVE BUDGET                                                                                                                                   23

3.8          PUBLIC DISCLOSURE                                                                                                                                   23

               

 

 

 

 


 

 

LIST OF ANNEXES

 

 

ANNEX 1: NEGATVE LIST OF SUB PROJECT ATTRIBUTES                                       24

 

ANNEX 2: CHANCE FIND PROCEDURES                                                                                    25

 

ANNEX 3; ENVIRONMENTAL AND SOCIAL SCREENING TEMPLATE                                 27

 

ANNEX 4: GENERIC TERMS OF REFERENCE FOR A FULL SOCIAL

                   IMPACT ASSESSMENT (SIA)                                                                           37

                                                                                               

ANNEX 5: GENERIC TERMS OF REFERENCE FOR A FULL ENVIRONMENTAL

                   IMPACT ASSESSMENT (EIA)                                                                          43

 

ANNEX 6: INDICATIVE ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN 49

 

ANNEX 7: NEPA'S ENVIRONMENTAL IMPACT ASSESSMENT

                  PROCEDURE                                                                                                      50

                                                                                               

ANNEX 8; ENVIRONMENTAL GUIDELINES FOR CONTRACTORS                           51

 

ANNEX 9: INDICATIVE ENVIRONMENTAL MONITORING PLAN                            58

 

ANNEX 10: LAND ACQUISITION AND RESETTLEMENT FRAMEWORK                 63

 

ANNEX 11A: RESETTLEMENT ACTION PLAN (RAP) CONTENT                              128      

 

ANNEX 11B: GENERIC TERMS OF REFERENCE FOR INDEPENDENT                                133

                        MONITORING OF RAP IMPLEMENTATION     

 

ANNEX 12: SAMPLE GRIEVANCE REGISTRATION FORM                                        135

 

ANNEX 13: SAMPLE REPORTING FORMAT FOR SAFEGUARDS STAFF                 136                  

ANNEX 14: SUMMARY OF PROCEEDINGS FROM KABUL CONSULTATIONS

         ON ESMF                                                                                                         137

 

ANNEX 15: Environmental, Health and Safety Guidelines for Electric Power          141      

                     Transmission and Distribution                                                                                              

 

 


 

List of Acronyms

 

ADB                                       Asia Development Bank

ANDS                                     Afghan National Development Strategy

AP                                           Affected Person

APSDP                                   Afghan Power System Development Project

ARAZI                                   Afghan Independent Land Authority

CDC                                        Community Development Council

CMS                                        Convention on Migratory Species

COO                                       Chief Operating Officer

DABM                                    Da Afghanistan Breshna Mossesa

DABS                                     Da Afghanistan Breshna Sherkat

EHSMP                                   Environmental Health and Safety Management Plan

EIA                                         Environmental Impact Assessment

ESAP                                      Environment and Social Advisory Panel

ESIA                                       Environmental and Social Impact Assessment

ESMF                                      Environmental and Social Management Framework

ESMP                                      Environment and Social Management Plan

ESO                                        Environment Safeguards Officer

GoIRA                                                Government of Islamic Republic of Afghanistan

GRC                                        Grievance Redress Committee

GRM                                       Grievance Redress Mechanism

LAC                                        Land Acquisition Committee

LARPF                                   Land Acquisition and Resettlement Policy Framework

LLE                                         Law on Land Expropriation

LLM                                        Law on Land Management

MAIL                                      Ministry of Agriculture, Irrigation and Livestock

MEW                                      Ministry of Energy and Water

MOJ                                        Ministry of Justice

NEPA                                     National Environment Protection Agency

NESP                                      National Energy Supply Program

NEPS                                      North East Power System

NGO                                       Non Government Organisation

NHRP                                     Naghlu Hydropower Rehabilitation Project

O&M                                       Operations and Management

PDO                                        Project Development Objective

RAP                                        Resettlement Action Plan

REA                                        Rapid Environment Assessment

SIA                                         Social Impact Assessment

SSO                                         Social Safeguards Officer


Executive Summary

Background and Project Context

The planned Afghan power sector growth will place additional demands on the capacity of DABS.  To cope with its increased responsibilities for investment, DABS will need to improve its capacity in the areas of planning and implementation of investment projects and then operating and maintaining them.  To meet the demands placed on it, DABS must build its organizational capacity through the development of systems, procedures, and standards and of its staff through technical and other training and then ensure that these new capacities are applied to the task in hand.

The proposed project is intended as an entry point for scaling up investment in the power sector. It is motivated by the need to move DABS towards a model in which it drives the investment and O&M process. 

Project Objective

The Project Development Objective is to improve the capacity of DABS to plan the investment and maintenance of the electricity distribution system.

Project Description

The project consists of two components: (i) DABS staff capacity building and (ii) Development of a training centre

Project Phasing

The duration of the project is 4 years and 6 months. Both components are scheduled to begin in July 2015.  The training centre will be completed within 2 years of the start date.

Potential environmental and social impacts of the project components

 

No environmental and social impacts are envisaged under component one of this Technical Assistance project. Capacity building to improve preparation of pre-feasibility and feasibility studies is a core element of this component and will include a range of training initiatives to help DABS’ staff identify and address potential downstream environmental and social impacts associated with the planning and implementation of future distribution investment projects.   This ESMF, therefore, sets out general policies, codes of practice, guidelines and procedures to inform the content and design of such trainings and help DABS’ staff manage potential environmental and social impacts in future power investment projects.  It should be noted that negative impacts of power distribution projects  are considered negligible and limited to the siting of poles and sub power stations as well as the safe disposal of old transformers which may contain hazardous materials such as polychlorinated biphenyl (PCB). It is envisaged that the impacts of proposed power distribution projects  will be limited to the siting of poles and sub power stations as well as the safe disposal of old transformers which may contain hazardous materials such as polychlorinated biphenyl (PCB).

 

Under component two, construction of the training centre in the premises of the power plant in Deshsabz district of Kabul may cause limited, temporary and localized impacts including dust and noise pollution, increased construction traffic, establishment of temporary workers’ camp etc. These impacts are expected to be small and temporary and either reversed or mitigated through an Environmental and Social Management Plan (ESMP) and construction contracts.

 

Policy and Legal Regulatory Environment

World Bank Operation Policies triggered in DABS planning and Capacity Support Project

 

Safeguard Policies Triggered by the Project

Yes

            

 

Environmental Assessment (OP/BP 4.01)

[X]

 

 

Involuntary Resettlement (OP/BP 4.12)

[X]

 

 

 

 

 

 

The primary relevant laws and legislations framing social and environmental issues which need to be considered in relation to distribution investment projects are:

  1. The Environment Law of Afghanistan (2007)
  2. The Constitution of Afghanistan (2004)
  3. Afghan Land Policy (2007)
  4. Law on Managing Land Affairs  (2008)
  5. Law on Land Expropriation (2009)
  6. Law on the Preservation of Afghanistan’s Historical and Cultural Heritages (2004)
  7.  

Investment projects will also be required to take account of the requirements of the National Environmental Protection Agency (NEPA)

Environmental and Social Management Framework

Since the extent of investment activities and their location are not known at this time DABs is required to prepare an Environmental and Social Management Framework in accordance with the World Bank’s requirements.  The ESMF provides general policies, guidelines, codes of practice and procedures for the management of environmental and social issues to be integrated into the implementation of the project.

As part of the ESMF development process consultations have taken place with DABS staff, NEPA officials and local communities/government officials in the vicinity of the site where the training centre will be built.

 

Institutional Arrangements

 

The Chief Operating Officer (COO) of DABS will have overall responsibility for ensuring compliance with the requirements set out in the ESMF.  The environmental and social safeguards officers assigned to the Naghlu Hydropower Rehabilitation Project (NHRP) will also take responsibility for overseeing the implementation of this project’s ESMF provisions during preparation, implementation, monitoring and evaluation of all distribution investment projects.   

 

Monitoring and Evaluation

 

DABS safeguards officers will be responsible for monitoring overall ESMF compliance. They together with the project management team, construction supervising engineer, local government and local communities will be responsible for monitoring that all required environmental and social mitigation measures, set out in Environment and Social Management Plans (ESMPs) are implemented satisfactorily. 

 

      Grievance Redress Mechanism

 

In order to ensure transparency and accountability in its investment projects a grievance redress mechanism (GRM) to address grievances related to project activities will be established by DABS as part of the ESMF implementation. 

 

DABS Operation Division and ESS team will have an important role in ensuring that affected communities have a full understanding of the GRM, ways to access it and (i) the concept of just compensation for involuntary acquisition of land and/or assets and (ii) ensuring environmental and social mitigation measures in the ESMP’s are implemented as planned.

 


  1. I.                  Background and Project Context

.

I. I Background

 

  1. The Afghan power system is small and underdeveloped but demand is growing rapidly. Sector institutions are evolving, with a gradual separation of policy and operations.  The main government Ministry responsible for the power sector in Afghanistan is the Ministry of Energy and Water (MEW).  It is increasingly focused on policy, strategy and planning issues while operations and investment are increasingly devolved to Da Afghanistan Breshna Sherkat (DABS).  DABS is now focused on developing into a fully commercial power utility while remaining under state ownership.  DABS will need to consolidate its position as the main owner and operator of the power system since neither growth in private sector participation nor unbundling or other reforms are realistic prospects over the medium term.
  2. The planned sector growth will place additional demands on the capacity of DABS.  To cope with its increased responsibilities for investment, DABS will need to improve its capacity in the areas of planning and implementation of investment projects and then operating and maintaining them.  Currently DABS is reliant on project implementation units for this and its management has asked for Bank assistance to move towards normal electric power utility practice in investment and operations and maintenance (O&M). To meet the demands placed on it, DABS must build its organizational capacity through the development of systems, procedures, and standards and of its staff through technical and other training and then ensure that these new capacities are applied to the task in hand.  It needs more and better trained staff and as such needs to draw from a wider pool of educated and capable professionals, including women.
  3. Sufficient and reliable power supply is central to the Interim Strategy Note (ISN) Pillar 3, “Inclusive Growth and Jobs”.  The ISN recognizes the need to scale up power supply to secure private sector led growth, particularly in the agricultural and resource sectors.  It aims to do this through support of the government’s NPPs.  The proposed project would improve the ability of DABS to plan and implement its program to increase power supply – a key component of the NESP, which also includes a component aimed at building capacity in sector institutions.  The planned approach would improve the capacity of Afghanistan to absorb on-budget investment at a larger scale, thus contributing to Pillar 1 of the ISN which is aimed at building the legitimacy and capacity of institutions.

I.2 Project Context

  1. The proposed project is intended as an entry point for scaling up investment in the power sector. Hitherto, projects have been implemented either entirely by international consultants or by project implementation units (PIUs).  DABS now wishes to embed the capacity in its own organizational processes and staff to conduct pre-feasibility and feasibility studies and in the longer run eliminate the need for special-purpose PIUs for implementation of donor projects.  It will continue to rely on contractors to perform design, supply and installation work under single responsibility contracts but in doing so will need to have the capacity to supervise the work and above all to manage the contracts.
  2. Improved O&M is critical for sustained improvements in DABS’s performance.  While there have been significant investments in distribution across the country, not least by the Bank, capacity for O&M has not kept pace.  System operations and maintenance is another core competence of a utility and without good quality O&M, the gains to service quality and coverage may be lost, fueling consumer dissatisfaction and putting at risk DABS’s commercial performance.  DABS seeks to regularize O&M in line with international practices through the creation of an asset monitoring system, budgeting, planning – including materials, equipment and human resources – and implementation protocols.
  3. The proposed project emphasizes learning by doing.  The proposed project is motivated by the need to move DABS towards a model in which it drives the investment and O&M process.  A gradual process of bringing the core skills in-house is envisaged, while also ensuring that those skills which will continue to be outsourced to consultants and contractors are still available in the market.  Above all the organization as a whole and the responsible staff need to learn by doing.  On the investment side, the focus will therefore be on preparing sub-projects for subsequent financing by donors.  On the O&M side the focus will be on preparing, implementing and monitoring of an enterprise-wide program.
  4. A wide variety of capacity building tools would be used.  At the organizational level, DABS needs to be organized in such a way as to facilitate investment and O&M practices.  It needs to develop and codify its existing policies and procedures for selection of investments based on objective and transparent criteria as well as for carrying out O&M.  It must set up effective feedback loops.  At the individual level DABS staff need training and new tools as well as support and mentoring from more experienced actors.  Lessons from capacity building projects worldwide and in Afghanistan show that where technical assistance has been used to fill the gap in skills needed to manage World Bank funded projects, it has had little lasting impact on strengthening capacity.  So although consultants have a role to play, the proposed project will place emphasis on connecting DABS and its staff with industry exemplars, with consensus-based organizational development, participatory activities, coaching for key staff, in and out of office training and other methods to support improvements in their daily work.

 

I.3. Project Objective and Key Results

                                                                                   

  1. The Project Development Objective is to improve the capacity of DABS to plan the investment and maintenance of the electricity distribution system.

 

  1. The following key results will be sought:
  • Selection of expansion and rehabilitation investments will be based on transparent, objective criteria;
  • DABS project planning, implementation and O&M functions will be based on good international practice adjusted for local conditions;
  • DABS distribution investments and O&M expenditures will be budgeted on three year rolling basis;
  • Key departments and individuals will be accountable for planning, implementation and O&M performance.

 

I.4. Project Description

 

The project consists of the following two components:

 

  1. Component 1: DABS staff capacity building.  This component would support capacity building for the staff of DABS including:
  • Setting up a twinning arrangement with a more experienced utility on which DABS can model itself and make use of training facilities.  Such a utility would, ideally, be well performing, relatively nearby, but with sufficient living memory that its staff can appreciate the challenges facing DABS.
  • Providing general and task-specific training to managers and staff on distribution investment selection, planning and implementation, specifically on the preparation of pre-feasibility and feasibility studies, procuring design, supply and installation contractors, and supervising such contractors. Trainings on pre-feasibility and feasibility studies will cover core safeguards tools including Environmental and Social Impact Assessments, Resettlement Policy Framework/ Resettlement Action Plans and Environmental and Social Management Plans.  
  • Providing general and task-specific training to managers and staff on distribution operation planning and implementation, specifically on the preparation of annual O&M plans in line with the annual budgeting process, execution of the O&M plans including the hiring and supervision of contractors.
  • Providing one-on-one mentoring support to managers and key specialists in the DABS planning and O&M functions.
  • Enabling DABS to provide a career path for female professional staff in DABS, including recruitment, career development and identification of specific support needs.
  • Strengthening the Afghanistan Energy Information Center as an integrated  department of DABS 
  1. Component 2: Development of training center. This component would support setting up of a training center in DABS including:
  • Design, construction and furnishing of a training center building
  • Purchase of training and office equipment to supply the training facility for the DABS that will be used primarily for the capacity building activities.

 

I.5. Project phasing

 

  1. Both components are planned to begin in July 2015. Support for the various capacity development activities will continue throughout the duration of the project.  It is anticipated that the training centre will be completed within two years.

 

I.6 Potential environmental and social impacts of the project

 

  1. No environmental and social impacts are envisaged under component one of this technical assistance project.  However, trainings to improve preparation of pre-feasibility and feasibility studies will include a range of capacity building initiatives to help DABS’ staff identify and address potential downstream environmental and social impacts associated with the planning and implementation of future distribution investment projects.  

 

  1. It is envisaged that the impact of power distribution projects will be limited to the siting of poles and sub power stations as well as the safe disposal of old transformers which may contain hazardous materials such as polychlorinated biphenyl (PCB) .Trainings under component one will seek to enhance DABS’ staff capacity to better understand and manage issues such as :

 

  1. Alignment of power lines: alignment of all power lines under investment projects will be selected so that sensitive receptors such as water bodies, especially those supplying drinking water, and important  religious and cultural sites such as mosques, schools and health centers will be at least 50 meters from the proposed center line.
  2. Selection of substation sites: proposed sites of any sub‐stations to be constructed under investment projects will be selected so that all sides of the perimeter are at least 100 meters away from sensitive receptors such as water bodies, especially those supplying drinking water, and important religious and cultural sites such as mosques, schools and health centers.
  3. Changing location of power distribution lines: distribution power poles and sub stations will only be required if pre‐existing locations and buildings are not being utilized and if the distribution lines, poles, or construction, operation, and maintenance works are expected to have negative environmental and social impacts.
  4. Ensuring limited land acquisition: it is envisaged that distribution lines, poles and substations will mostly be sited on Government, unused, barren lands or public land areas. The project will ensure that all such land is free of all encroachment and other encumbrances. However some limited land acquisition may be necessary. Very small areas of land may be bought outright (willing buyer- willing seller) to facilitate the siting of electricity poles, pylons and substations.  Also some private land may be required on a temporary basis to enable construction work and ‘stringing’. A Resettlement Policy Framework (RPF) is  included as Annex 10.
  5. Ensuring safe disposal of old transformers:  Proper disposal of all hazardous substances in government approved sites.

 

  1. Trainings under component one will also recognize the potential significant socio-economic and environmental benefits that should arise from electrification of communities including the savings of fuel, diesel or wood as well as the time spent on their procurement or collection,  Electrification may also lead to the development of new livelihood activities and enterprise development and generate new sources of income.

 

  1. Construction of the training center under component two may cause limited, temporary and localized impacts including dust and noise pollution, increased construction traffic, establishment of temporary workers’ camp etc. These impacts are expected to be small and temporary and either reversed or mitigated through an EMP and construction contracts.

II.      Policy Legal and Regulatory Framework

 

II.1      World Bank Operation Policies triggered in DABS Planning and Capacity Support Project

 

 

Safeguard Policies Triggered by the Project

Yes

No            

 

Environmental Assessment (OP/BP 4.01)

[X]

[ ]

 

Natural Habitats (OP/BP 4.04)

]

[X]

 

Pest Management (OP 4.09)

[ ]

[X]

 

Physical Cultural Resources (OP/BP 4.11)

[]

[X]

 

Involuntary Resettlement (OP/BP 4.12)

[X]

[ ]

 

Indigenous Peoples (OP/BP 4.10)

[ ]

[X]

 

Forests (OP/BP 4.36)

[ ]

[X]

 

Safety of Dams (OP/BP 4.37)

[]

[X ]

 

Projects in Disputed Areas (OP/BP 7.60)

[ ]

[X]

 

Projects on International Waterways (OP/BP 7.50)

[]

[ X]

 

 

 

  1. Environmental Assessment (EA OP/BP 4.01):  The Environment Assessment safeguard is triggered because of  possible negative impacts associated with:

 

  1. Component 1, which will finance  trainings on preparation of feasibility studies, detailed engineering designs and bidding documents for the rehabilitation and/or construction of future distribution network/lines, and therefore, the  siting of poles, pylons and substations associated with the supply of distribution lines, and the safe disposal of removed materials that may contain hazardous substances.  These are likely to be small, temporary, local and readily avoided, reversed or mitigated and will be managed through project specific ESMPs.  
  2. Component 2 which will finance the civil works related to the construction of the training center including managing construction waste, dust and noise pollution, increased construction traffic, establishment of temporary workers’ camp etc. These impacts are expected to small and temporary and either reversed or mitigated through an ESMP and construction contracts.

 

  1. Involuntary Resettlement (OP/BP 4.12): This technical assistance project will not involve either involuntary resettlement or land acquisition.  However, this policy is triggered as feasibility studies for future pow