Safeguard Policies – Draft Matrices
Tools for Learning
(Updated February 2008)
This draft matrix is a summary of the World Bank’s 10 Safeguard Policies – designed to assist Bank staff as they apply the safeguard policies and
procedures. The matrix is advisory and is not intended to be a substitute for the policies and procedures which are binding. In the event of any
inconsistencies between the policies/procedures and the matrix, the safeguard policies/procedures apply.
The matrix includes: the objectives of each safeguard policy; “triggers” for each policy; mechanisms for achieving policy objectives, consultation
and disclosure requirements – for each safeguard policy and for The World Bank Policy on Disclosure of Information; and criteria to assess
compliance during the project cycle at preparation, appraisal, and supervision.
If you would like to review the individual policies and procedures in their entirety, they can be found in the Project Requirements section of the
Operational Manual on the Lotus Notes desktop.
For further information, contact your regional safeguard coordinator, the relevant Quality Assurance and Compliance Team specialist, as indicated in
each matrix, or the Safeguard Policies Help Desk at 202-473-2001/safeguards@worldbank.org.
Table of Contents
Environmental Assessment (OP/BP 4.01)……………………...2
Forests (OP/BP 4.36)…………………………………………..4
Involuntary Resettlement (OP/BP 4.12)……....6
Indigenous Peoples (OP/BP 4.10)…………….8
Safety of Dams (OP/BP 4.37)…………………………………10
Pest Management (OP 4.09)………………………
Physical Cultural Resources (OP/BP 4.11)……………14
Natural Habitats (OP/BP 4.04)………………………………..16
Projects in Disputed Areas (OP/BP 7.60)……………………..18
Projects on International Waterways (OP 7.50)…………..20
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ENVIRONMENTAL ASSESSMENT (OP/BP 4.01)
Stephen Lintner 202-473-2508
Objectives:
To ensure that Bank-financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of
their likely environmental impacts (OP 4.01, para. 1).
Triggers:
This policy is triggered if a project is likely to have potential (adverse) environmental risks and impacts in its area of influence.
Note: OP 4.01 covers impacts on the natural environment (air, water and land); human health and safety; physical cultural resources; and transboundary and global
environment concerns. Social aspects (involuntary resettlement, indigenous peoples) as well as natural habitats, pest management, forestry, and safety of dams are
covered by separate policies with their own requirements and procedures.
Mechanisms for achieving policy objectives:
When OP 4.01 is triggered, the Bank classifies the project as category A, B, C, or FI according to the nature and magnitude of potential environmental impacts
(OP 4.01, para. 8). For category A and B projects the Borrower prepares an EA report (OP 4.01, para. 8a & Annex B). For category B projects the scope of the EA may
vary (OP 4.01, para. 8b) and it is narrower than category A.
Depending on the project, and the nature of impacts a range of instruments can be used: EIA, environmental audit, hazard or risk assessment and environmental
management plan (EMP). When the project is likely to have sectoral or regional impacts, sectoral or regional EA is required (OP 4.01, para. 7 and Annex A).
The Borrower is responsible for carrying out the EA. For category A projects, the Borrower retains independent EA experts not affiliated with the project to carry out
the EA. For category A projects that are highly risky or contentious or that involve serious and multidimensional environmental concerns, the Borrower normally
engages an advisory panel of independent, internationally recognized environmental specialists.
Consultation and Disclosure Requirements (see also BP 17.50)
For (i) A and B projects and (ii) sub-projects categorized as A and B in a programmatic loan, the borrower consults project-affected groups and local nongovernmental
organizations (NGOs) about the project's environmental aspects and takes their views into account. The borrower initiates such consultations as early as possible. For
Category A projects, the borrower consults these groups at least twice: (a) shortly after environmental screening and before the terms of reference for the EA are
finalized; and (b) once a draft EA report is prepared. In addition, the borrower consults with such groups throughout project implementation as necessary to address EArelated issues that affect them.
The Borrower provides relevant information in a timely manner prior to consultation and in a form and language accessible to the groups being consulted.
The Borrower makes the draft EA (for category A projects) or any separate EA report (for category B projects) available in country in a local language and at a public
place accessible to project-affected groups and local NGOs prior to appraisal. It is good practice to disclose the draft EA report at the InfoShop.
The Task Team sends the final EA to the InfoShop prior to appraisal for all category A and category B projects. For category A projects, the task team sends a summary
of the EA report to the Board of Directors as soon as it is received.
Separate Resettlement Plans and Indigenous Peoples Plans are disclosed with the relevant EA report. When there is no EA, it is good practice to send these reports to
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the InfoShop prior to appraisal.
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Environmental Assessment OP 4.01 – page 2
Preparation Requirements:
During environmental screening, the task team in
consultation with the regional unit charged with
safeguards compliance (RESU):
 Examines the type, location and scale of the
proposed project as well as the nature and
magnitude of its potential impacts;
 Assigns project category (see OP 4.01, para. 8);
 Records in the PCD and PID: key environmental
issues, project category, proposed consultation
and EA schedule;
 Reports the EA category in MOS and prepares an
ISDS; and
 Sends the ISDS to the InfoShop as soon as
approved and updates it as needed.
During EA preparation, the task team:
 With the Borrower, identifies the scope of EA,
procedures, schedule and outline of report;
 Obtains clearance from RESU of the
environmental aspect of the PCD/PID;
 Adjusts the EA classification and TOR in
response to the changes in project design;
 Assists the Borrower, as necessary, to write TOR
for category A ,B and FI projects (BP 4.01, 7);
 Advises the Borrower on Bank's procedures and
requirements for EA, including consultation and
disclosure.
The Borrower:
 Retains independent EA experts not affiliated
with the project to carry out the EA;
 Engages an Independent Advisory Panel for
category A projects that are risky or contentious;

Prepares a draft EA; and

Conducts public consultation on the draft EA
report and submits it with an EA executive
summary to Bank
Appraisal Requirements:
Supervision Requirements:
Prior to appraisal :
 Receipt and clearance of an officially transmitted
EA report is a condition of project appraisal;
 TT forwards the EA Summary to Secretary of the
Board (SECBO)
During implementation the task team :
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During appraisal, the Task Team :
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Includes environmental specialists with relevant
expertise for category A projects;
Reviews both the procedural and substantive
elements of the EA with the Borrower and
resolves any outstanding issues;
Assesses the adequacy of the institutions
responsible for environmental management;
Where capacity to undertake EA related functions
is inadequate, ensures arrangements are in place
to strengthen capacity (OP 4.01, para. 14);
Ensures the adequacy of financing arrangements
for the Environmental Management Plan;
Determines whether the EA recommendations are
properly addressed in project design and
economic analysis;
Develops clear arrangements with the Borrower
to ensure that the implementing institutions are
able to carry out or oversee the EAs of proposed
subprojects (BP 4.01, annex 17) for SIL and FI;
Assesses the adequacy of public consultation and
disclosure of information.
In general, it is good practice to get RESU clearance
on the PAD at negotiations and at Board presentation
time, particularly for Category A and for contentious
B and FI projects. Regions may have specific
requirements on this matter.
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Ensures that the supervision mission contains
adequate environmental expertise
Supervises the project’s environmental aspects
agreed in legal documents and other project
documents (see BP 4.01 para. 20-23 and OP/BP
13.05 );
Ensures that procurement arrangements are
consistent with the environmental requirements;
Ensures that environment related covenants are
monitored;
Reviews environmental mitigation, monitoring
and management measures;
If not satisfactory, discusses the appropriate
course of action and advises regional
management;
Rates appropriately the environmental safeguard
performance in the PSR
Completion
It is good practice:

For all projects, but particularly for Category A,
B and FI projects, the ICR should contain an
analysis of the actual environmental impacts
recorded under the project.
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The degree of analysis should be adapted to the
magnitude of these actual environmental impacts.

For environmental impacts that would continue
to manifest themselves after project completion,
measures needed to ensure that the impacts are
prevented, mitigated and monitored appear in the
ICR.
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FORESTS (OP/BP 4.36)
Gerhard Dieterle 202-458-7334
Objectives:
The objective of this policy is to assist borrowers to harness the potential of forests to reduce poverty in a sustainable manner, integrate forest effectively into sustainable
economic development and protect the vital local and global environmental services and values of forests. Where forest restoration and plantation development are
necessary to meet these objectives, the Bank assists borrowers with forest restoration activities that maintain or enhance biodiversity and ecosystem functionality. The bank
assists borrowers with the establishment of environmentally appropriate, socially beneficial and economically viable forest plantations to help meet growing demands for
forest goods and services.
Specifically:
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The Bank uses environmental assessments, poverty assessments, social analyses, Public Expenditure Reviews and other economic and sector work to identify the
economic, environmental and social significance of forests in bowering countries;
The Bank integrates strategies into its Country Assistance Strategies (CAS) to address any potential significant impacts of the CAS on forests;
The Bank does not finance projects that would involve significant conversion or degradation of critical forest areas or other natural habitats;
The Bank does not finance projects that contravene applicable international environmental laws;
The Bank does not finance plantations that involve any conversion or degradation of critical natural habitats, including adjacent or downstream critical natural habitats;
The Bank only finances commercial harvesting operations or the purchase of logging equipment in areas that it has determined are not critical forests or related critical
natural habitats ;
The Bank only finances industrial-scale commercial harvesting operations in areas outside critical forest areas where such operations are either certified as meeting
standards of responsible forest management under an independent forest certification system acceptable to the Bank or adhere to a time-bound, phased action plan
acceptable to the Bank for achieving certification to such standards;
In areas outside critical forest areas, the Bank may finance harvesting operations by small scale landholders, local communities under community forest management or
entities under joint forest management where these operations have either achieved a standard of forest management developed with the meaningful participation of
locally affected communities that is consistent with the principles and criteria of responsible forest management outlined in paragraph 10 of OP 4.36 or adhere to a
time bound action plan to achieve such a standard that has been developed with the meaningful participation of locally affected-communities and acceptable to the
Bank. All such operations must be monitored by the borrower with the meaning participation of locally affected people;
The Bank uses environmental assessment to address the impact of all Bank-financed investment projects on forests and/or the rights and welfare of local communities;
The Bank ensures that Bank financed projects involving the management of forests incorporate measures to strengthen the fiscal, legal and institutional framework in
the borrowing country to meet defined economic, environmental and social objectives that address, amongst other issues, the respective roles and legal rights of the
government, the private sector and local people;
The Bank ensures that Bank-financed projects involving the management of forests give preference to small-scale community-level management approaches where
they best harness the potential to reduce poverty in a sustainable manner;
The Bank ensures that the design of Bank- financed projects that use forest resources evaluate the prospects for the development of new markets and marketing
arrangements for non-timber forest products and related goods and services, taking into account the full range of goods and environmental services from well managed
forests.
Triggers:
The policy is triggered by whenever any Bank-financed investment project (i) has the potential to have impacts on the health and quality of forests or the rights and welfare
of people and their level of dependence upon or interaction with forests; or (ii) aims to bring about changes in the management, protection or utilization of natural forests or
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plantations.
Mechanisms for achieving policy objectives:
As noted above the Bank’s objectives in forests are to assist borrowers to harness the potential of forests to reduce poverty; integrate forests into sustainable economic
development; and protect vital local or global environmental services and values of forests. Mechanisms to achieve these objectives are described in the OP, and the Bank
Procedures document, and include:
i.
use of appropriate economic, environmental and social assessments to identify the economic, environmental significance of forests and any activities involved in
the Bank-financed investment that may adversely affect the well being of forests and the people who depend on them;
ii.
assessment of the potential for activities proposed in CAS to impact significantly on forests, and incorporation of strategies to address these impacts;
iii.
use of information required from borrower on policy, legal and institutional framework in sector in project design to address priority poverty, social and
environmental issues needed to meet the economic, environmental and social objectives of Bank-financed investment projects.
iv.
use in project design of assessments of the adequacy of land use allocations for the management, conservations and sustainable development of forests in
forests, including identification of any additional allocations needed to protect critical forest areas.
v.
use of clear standards for certification of forests management to guide any investment support for harvesting operations including time-bound action plans to
achieve certification to acceptable standards of forest management; and
vi.
use of market assessments for the full range of goods and services from well managed forests to enhance returns from forest management and give preference to
small-scale, community level management approaches where they best harness the potential of forests to reduce poverty in a sustainable manner.
Consultation and Disclosure Requirements (see also BP 17.50):
The Bank requires Borrowers to identify and consult the groups interested in forest areas likely to be affected by Bank-financed invest projects in and beyond the
forest sector.
The disclosure requirements as set out in the EA Policy (OP 4.01) apply to all projects affecting forests. Aside from the required EA documentation, there is no freestanding document that is automatically required for all projects affecting forests. However, many forest related projects will generate free-standing reports (such as Forest
Management Plans) which should be made publicly available as a matter of good practice. Experience has shown that transparent decision-making processes are important
for good forest governance and good development outcomes and full disclosure of forest-related information should be encouraged wherever feasible.
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Forests OP 4.36 – page 2
Preparation Requirements:
Appraisal Requirements:
Supervision Requirements:
The task team leader and Borrower ensure that:
The task team reviews project preparation and
any environmental or project management or
monitoring plans to ensure that:
The task team ensures that during project
implementation:
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TOR’s are reviewed and agreed for any
social, environmental and economic
assessments required in BP 4.36 and other
relevant Bank OPs/BPs;
economic, environmental and social analyses
are undertaken to identify the economic,
environmental and social significance of forests
and any activities involved in proposed
Country Assistance Strategies or Bankfinanced investments that may adversely affect
the well being of forests and the people who
depend on them;
inventories are undertaken at a spatial scale
that is ecologically, socially and culturally
appropriate for the forest area in which the
project or investment program is located to
identify critical forest areas and assess the
adequacy of land allocations to protect these
areas;
the linkages between and any proposed
forest sector activities and the poverty
reduction, macroeconomic and conservation
objectives of Bank’s country assistance
program are clear;
the potential for developing markets for the
full range of forest goods and services and
giving preference to small-scale, communitylevel management approaches that best harness
the potential of forests to reduce poverty in a
sustainable manner is evaluated; and that
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all necessary social, economic and
environmental studies are satisfactorily
completed;

government commitment is secured for any
measures that may be required to strengthen the
fiscal, legal and institutional framework needed
to met the project’s economic, environmental
and social objectives;

monitoring and evaluation procedures are
informed by the meaningful participation of
locally affected communities and other groups
interested in forest areas affected by Bank
financed investment projects;
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the integrity of the boundaries of any critical
forest areas or other critical natural habitats in or
near areas affected by Bank-financed investment
projects is continuously monitored;
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the protection of the rights of access and use
of forest areas by indigenous people and other
local communities is monitored in accord with
the requirements of OP 4.12 Involuntary
Resettlement and OP 4.10 Indigenous Peoples
and that any necessary corrective actions are
taken in accord with these policies;

adequate land allocations have been made for
the management conservation and sustainable
development of forests including any additional
allocations needed for the protection of critical
forest areas or other critical natural habitats;
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procedures are in place to ensure that any
harvesting operations or plantation development
supported by Bank finance are restricted to areas
outside critical forest areas or other critical
natural habitats:
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the certification systems or community-based
forest management monitoring systems used to
assess whether forest harvesting supported by
Bank-financed projects meet appropriate
standards of forest management and use
conform with the standards for these systems
defined in Paragraphs 10 and 11 of OP 4.36;
project performance is monitored against the
indicators for the contribution of the project to
the poverty reduction, macroeconomic and
conservation objectives of the Bank’s country
assistance program defined in the Project
Appraisal Document; and that

the borrower specifically makes available to
the public the results of all forest management
assessments carried out under the independent
certification systems and related time-bound
action plans referred to in Paragraphs 9-12 of OP
4.36.
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projects with time-bound action plans to
improve forest management include clearly
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defined performance benchmarks and
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local people and communities and the private
sector are meaningfully involved in defining
activities to be undertaken in the management,
conservation and sustainable utilization of
natural forests or plantations.
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timeframes for achieving appropriate forest
management standards in accord with OP 4.36
Paragraphs 9-12, and that any time-bound action
plan and their associated performance
benchmarks are included in the Project
Appraisal Document and made available to the
public.
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Project Appraisal Documents include clear
performance indicators that will enable the
contribution of the project to the poverty
reduction, macroeconomic ands conservation
objectives of the Bank’s country assistance
program to be assessed.
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INVOLUNTARY RESETTLEMENT (OP/BP 4.12)
Afshan Khawaja 202-458-1797
Objectives:
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Avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs.
Assist displaced persons in improving their former living standards, income earning capacity, and production levels, or at least in restoring them.
Encourage community participation in planning and implementing resettlement.
Provide assistance to affected people regardless of the legality of land tenure.
Triggers:

The policy covers not only physical relocation, but any loss of land or other assets resulting in:
(i) relocation or loss of shelter;
(ii) loss of assets or access to assets;
(iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location;

The policy also applies to the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of
the displaced persons.
Mechanisms to achieve policy objectives:
When the policy is triggered, preparation of a Resettlement Action Plan is required as a condition of project appraisal. An abbreviated plan may be developed where less
than 200 persons are affected by the project or where the impacts are minor (no one is physically displaced or loses more than 10 percent of their land). In situations
where the precise impacts cannot be known at the time of project appraisal, a Resettlement Policy Framework is prepared as a condition of the loan and detailed plans
are prepared during project implementation. In case of restrictions of access to parks and protected areas, a Process Framework is prepared as a condition of appraisal
and detailed Plans Of Action are prepared during project implementation.
Based on experience from past Bank projects, task teams should pay particular attention to the following issues:
 A Resettlement Action Plan should provide for payment of compensation for affected assets at their replacement cost.
 Affected people who do not have legal title to the lands occupied / used by them, also need to be provided resettlement assistance.
Consultation and Disclosure Requirements (see also BP 17.50):
For projects subject to the Resettlement policy, the disclosure requirements are those required under the EA Policy (OP 4.01). Specifically, Resettlement Action Plans
(RAP), prepared by the Borrower, should be submitted to the Bank prior to project appraisal. Task Teams must ensure that the Borrower has disclosed the RAP incountry and must send the RAP to the InfoShop prior to appraisal for all category A and IDA-B projects and in a timely manner once received by the Bank for IBRD
projects. If a separate EA is not prepared, the disclosure of RP is not mandatory, but is recommended as a good practice.
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Involuntary Resettlement OP 4.12 – page 2
Preparation Requirements:
Appraisal Requirements:
The Task Team in collaboration with the
Borrower:
Receipt of a satisfactory resettlement instrument, in
accordance with the Bank’s resettlement policy is a
condition of project appraisal.
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Assess the nature and magnitude of
the likely displacement;
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Explore all viable alternative project
designs to avoid, where feasible, or
minimize displacement;
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Assess the legal framework covering
resettlement and the policies of the
government and implementing
agencies (identifying any
inconsistencies between such policies
and the Bank’s policy);
Select the appropriate resettlement
planning instrument (resettlement
plan, abbreviated plan, resettlement
policy framework or process
framework);
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Review of resettlement in the early phases of
resettlement implementation. Lessons
learned from the review should help modify
resettlement plans and implementation
arrangements as a result of the review.
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Regular supervision of the resettlement
component using necessary expertise.
Prompt attention by Bank staff and
management to issues identified
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For projects with subprojects, submission of
timely “sub-project resettlement plans” or
“plan of action”(for projects in parks and
protected areas) as required;
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Regular monitoring and evaluation of the
resettlement component, by internal, and
when necessary, external monitoring
agencies.
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The project not to be “completed” before the
resettlement measures agreed in the
resettlement instrument is implemented.
As part of project appraisal, the Task Team ascertains:
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The borrower’s commitment to and capacity for
implementing the resettlement instrument;
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The feasibility of the proposed measures for
improvement or restoration of livelihoods and
standards of living;
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Availability of adequate counterpart funds for
resettlement activities;
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Significant risks, including risk of
impoverishment, from inadequate implementation
of the resettlement instrument;
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Consistency of the proposed resettlement
instrument with the Project Implementation Plan;
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The adequacy of arrangements for internal, and if
considered appropriate by the TT, independent
monitoring and evaluation of the implementation
of the resettlement instrument.
Review past borrower and likely
implementing agencies’ experience
with similar operations;
Discuss with the agencies responsible
for resettlement the policies and
institutional, legal, and consultative
arrangements for resettlement,
including measures to address any
inconsistencies between government
or implementing agency policies and
Supervision Requirements:
At Project Completion:

The ICR should evaluate resettlement and its
impact on the standards of living of the
resettlers and the host population,
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The Borrower should review of the extent to
which resettlement objectives have been
achieved at project completion. Discussion
of appropriate follow up measures, including
At Negotiations
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The Borrower and the Bank agree on the
resettlement instrument. The Borrower's obligation
to implement the resettlement instrument is
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Bank policy;

Discuss any technical assistance to be
provided to the borrower (see OP 4.12,
para.32).
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Assess the extent to which project
design alternatives and options to
minimize and mitigate involuntary
resettlement have been considered;
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Assess proposed criteria for eligibility
of displaced persons for compensation
and other resettlement assistance;
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In projects involving displaced
persons whose livelihoods are landbased and for whom a land-based
resettlement strategy is the preferred
option, and the borrower claims that
replacement land is not available, the
task team should review the evidence
of lack of adequate land (OP 4.12,
para. 11).

Review resettlement, if any,
completed prior to the Bank
identification of the project;
The Borrower:
Prepares a resettlement planning instrument
consistent with the Bank’s resettlement policy.
The Planning instrument is based on:
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Applicable legal and policy
frameworks and gaps, if any, between
Bank and Borrower policies;
Institutional capacity to implement
resettlement, as well as the past
experience with the Borrower .
reflected in the legal documents. The project
description in the Loan Agreement describes the
resettlement component or sub-component.
possibility of Bank supervision after project
completion.
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Indigenous Peoples (OP/BP 4.10)
Navin K. Rai 202-458-1298
Objectives:
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Ensure that the development process fully respects the dignity, human rights, economies and cultures of Indigenous Peoples.
Ensure that adverse effects during the development process are avoided, or if not feasible ensure that these are minimized, mitigated or compensated.
Ensure that indigenous peoples receive culturally appropriate and gender and intergenerationally inclusive social and economic benefits.
Triggers:
The policy is triggered when the project affects the Indigenous Peoples (with characteristics described in OP 4.10, para. 4) in the project area.
Mechanisms to achieve the objectives of the policy:
The following activities are required when a project proposed for Bank financing affects, or may affect, Indigenous Peoples (the level of detail is proportional to the
complexity of the proposed project and commensurate with the nature and scale of the potential effects on the Indigenous Peoples):
(a) screening by the Bank to identify whether Indigenous Peoples are present in, or have collective attachment to, the project area;
(b) a social assessment by the borrower;
(c) a process of free, prior, and informed consultation with the affected Indigenous Peoples’ communities at each stage of the project, and particularly during project
preparation, to fully identify their views and ascertain their broad community support for the project; and
(d) preparation of an Indigenous Peoples Plan (IPP) or an Indigenous Peoples Planning Framework (IPPF)—when Indigenous Peoples are the sole or the
overwhelming majority of direct project beneficiaries the elements of an IPP should be included in the overall project design, and an IPP is not required.
The policy requires that task teams should pay particular attention to indigenous peoples’ concerns when a Bank-assisted project:
 Affects isolated or marginalized groups of Indigenous Peoples who lead traditional way of life or whose social organization and cultural practices are significantly
different from those of the dominant society;
 Affects lands and resources—natural and cultural—owned, occupied or used by Indigenous Peoples (in most cases OP 4.10 requires that the IPP includes an action
plan for the legal recognition of such ownership or customary use rights);
 Causes physical relocation of households or impose restriction of access to natural resources.
Consultation and Disclosure Requirements (see also BP 17.50)
OP 4.10 requires that the borrower makes the social assessment report and draft IPP or IPPF available to the affected Indigenous Peoples’ communities in an appropriate
form, manner, and language. Once the Bank accepts the documents as providing an adequate basis for project appraisal, the Bank makes them available to the public
according to the World Bank Policy on Disclosure of Information, and the borrower makes them available to the affected Indigenous Peoples’ communities in the same
manner as the earlier draft documents.
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Indigenous Peoples OP/BP 4.10– page 2
Preparation Requirements:
Appraisal Requirements:
Supervision Requirements:
The task team:
 Determines whether there are indigenous groups to whom the policy applies in
the project area. The TT seeks technical advice from qualified social scientists
and if adequate information is not available the TT holds direct consultations
with affected groups that may be Indigenous Peoples.
 Consults with the Regional unit responsible for safeguards and with the Legal
Department throughout the project cycle.
 Brings the provisions of the policy to the attention of the borrower and discusses
with the borrower its policies and institutional arrangements for Indigenous
Peoples.
 Agrees with the borrower on how the policy requirements will be implemented
and provides, where necessary, technical assistance to the borrower.
 Reviews the TOR for the social assessment, the social assessment report and the
IPP/IPPF.
 Verifies that the borrower has conducted free, prior and informed consultations
and has gained the broad support from representatives of major sections of the
communities affected (the Bank cannot proceed with project processing if it is
unable to verify that broad community support exists).
 Documents the screening process and agreements reached with the borrower
regarding policy application in the PCN, PID and ISDS, and maintains a record
of the consultation process in the project files
Prior to appraisal, the task team ensures
that the IP instrument(s) complies with the
policy requirements, has been made
available to the affected Indigenous
Peoples communities in an appropriate
manner, and has been reflected in the
project design. The draft instrument(s) is
then forwarded to the Regional safeguards
unit for clearance (or to the task team’s
sector manager if the manager has been
authorized to clear the project).
The Bank ensures availability of
adequate resources for effective
supervision of projects affecting
Indigenous Peoples.
The Borrower:
 Conducts free, prior and informed consultations with affected communities
throughout the project cycle. The consultation process starts early to allow
adequate time to fully understand and incorporate concerns and recommendations
of Indigenous Peoples into project design and required instruments.
 Seeks the broad support of the affected Indigenous Peoples communities to the
proposed project activities and measures.
 Documents the consultation process and support from communities.
 Undertakes a social assessment to evaluate the project’s potential positive and
adverse effects on Indigenous Peoples, and where adverse effects may be
significant, to examine project alternatives.
 Prepares an Indigenous Peoples Plan or Indigenous Peoples Planning Framework
and other instruments needed (e.g. Resettlement Action Plan or Process
Framework need to address particular issues pertaining to Indigenous Peoples
affected by such activities). When needed, the IP instrument incorporates
measures to address legal recognition of land and natural resource ownership or
use rights, commercial development of natural resources in Indigenous Peoples’
The appraisal mission includes appropriate
social science and legal expertise. The
task team evaluates:






whether the prior, free and informed
consultation has been free and
voluntary, and conducted without
coercion and in a culturally appropriate
manner, and has been based on
appropriate information provided to
affected communities;
whether the borrower has achieved the
communities’ broad support to the
project activities;
the feasibility and sustainability of
specific measures intended to benefit
Indigenous Peoples or to mitigate and
compensate any adverse impacts on
them;
the adequacy of enabling legal and
policy framework for implementation
of proposed measures;
the capacity of agencies charged with
implementation of the IPP; and
the adequacy of budgetary and
institutional arrangements for timely
The supervision mission includes
appropriate social and legal
expertise to carry out the provisions
of the legal agreement.
The task team ascertains whether
the relevant legal covenants and
Indigenous Peoples Plan (IPP) and
other instrument(s) are being
implemented as planned. If this is
not the case the Bank agrees with
the borrower on corrective
measures
Implementation Completion
Report
The Implementation Completion
Report evaluates project
compliance with OP 4.10 and
assesses:
 Indigenous Peoples’
participation in the project
cycle;
 Positive and adverse impacts
on Indigenous Peoples;
 The achievements of the
objectives of the relevant
instrument(s); and
 Lessons for future similar
operations involving
Indigenous Peoples
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areas, and commercial development of Indigenous Peoples’ cultural resources
and knowledge.
implementation.
At Negotiations:
Prior to negotiations the task team confirms
that the responsible authority has provided
final approval of relevant Indigenous
Peoples and other instrument(s).
During negotiations the Borrower and the
Bank agree on the content of the relevant
Indigenous Peoples Plan or Indigenous
Peoples Planning Framework.
The Borrower’s obligations to implement
the instrument(s) are reflected in the legal
documents.
If the objectives have not been
realized, the Report may propose a
future course of action, including
continued post-project supervision
by the Bank.
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SAFETY OF DAMS (OP 4.37)
Alessandro Palmieri 202-473-0357
Note: OP4.37 is being re-issued to explicitly include tailings dams (mining industry).
Objectives:
New dams: to ensure that experienced and competent professionals design and supervise construction; the Borrower adopts and implements dam safety measures for the dam and
associated works.
Existing dams: to ensure that any dam that can influence the performance of the project is identified, a dam safety assessment is carried out, and necessary additional dam safety
measures and remedial work are implemented.
Triggers:
Actions are triggered when the Bank finances:
 A project involving construction of a large dam (15 m or higher) or a high hazard dam (see note);
 A project which is dependent upon an existing dam.
Notes:
1) For a full definition of “large dam," see the World Register of Dams, published by the International Commission on Large Dams and updated periodically.
2) 10 to 15 meter high dams are considered high hazard dams if they:
 have special design complexities, e.g. unusually large flood handling requirements;
 are located in a zone of high seismicity;
 have foundations that are complex and difficult to prepare;
 retain toxic materials.
Mechanisms to achieve policy objectives:
For small dams, generic dam safety measures designed by qualified engineers are usually adequate.
For new large dams or high hazard dams, or the rehabilitation of existing large or high hazard dams the Bank requires:
 Reviews by an independent panel of experts throughout preparation, design, construction, and the start of operation;
 Preparation and implementation of detailed plans including an emergency preparedness plan;
 Pre-qualification of bidders;
 A periodic safety inspection after the dam is completed.
For existing dams, the Bank requires the Borrower to arrange for one or more independent dam specialists to:
 Inspect and evaluate the safety status of the existing dam;
 Review and evaluate the owner’s operation and maintenance procedures;
 Provide a written report of findings and recommendations for any remedial work or safety-related measures.
Consultation and Disclosure Requirements (see also BP 17.50)
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Although not mentioned in the policy, Emergency Preparedness Plans (EPP) requires public awareness and training.
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Safety of Dams OP4.37 – page 2
Preparation Requirements:
Appraisal Requirements:
Supervision Requirements:
The Borrower:
 Provides the Task Team (TT) with all dam
safety related information, as well as TOR for
technical services related to the proposed
dam(s);
 Appoints an independent Panel of Experts
(POE);
 Provides the Instrumentation Plan to the POE
and the Bank before bid tendering.
The Borrower provides the TT with:
 A plan for construction supervision and
quality assurance;
 A preliminary Operation and Maintenance
(O&M) plan;
 The framework of the Emergency
Preparedness Plan and an estimate of the
funds needed to prepare the plan in detail.
The Borrower:
 Refines and completes the O&M plan during
implementation, and has the final plan ready not less than
six months prior to the initial reservoir filling;
 Prepares the Emergency Preparedness Plan during
implementation and provides it to the POE and Bank for
review not later than one year before the projected date of
initial reservoir filling.
The TT:
 Reviews all project information relevant to
dam safety, POE’s reports and
recommendations;
 If necessary, assists the Borrower in
identifying sources for training or technical
assistance;
 Ensures that the legal agreements
explicitly include the required dam safety
provisions;
 Ensures that the POE reviews and signsoff on the project before tendering.
The TT:
 Monitors dam safety provisions in the Loan Agreement
and promptly inform the Borrower of any deficiency that
must be remedied;
 Attends POE’s meetings as observers;
 Makes sure that the recommendations of the POE are
followed-up by the Borrower and that the provisions of
the dam safety plans are adhered to.
The Task Team (TT):
 Includes relevant dam safety expertise;
 At identification, the TT discuss OP4.37 with
the Borrower, and assess Borrower’s capacity
to implement and operate the project, and/or
what is needed to supplement it;
 Reviews adequacy of Borrower’s TOR for
technical services related to the dam(s), as well
as all dam safety related information;
 Review and clears POE’s TOR and
composition;
 Monitors Borrower’s preparation of dam safety
plans (Annex A).
Post Project:
The Borrower:
 Retains written instructions for flood operation and
emergency preparedness at the dam(s) at all times;
 Carries out periodic safety inspections of the dam after
completion;
 Revises the safety criteria periodically during the life of
the dam(s).
Regional staff:
 May carry out supervision beyond project closure;
 As appropriate, carry out policy dialogue to upgrade dam
safety programs in the country.
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PEST MANAGEMENT (OP 4.09)
Aziz Lagnaoui 202-458-2806
Notes:
- Pest management is governed by OP 4.09 and BP 4.01 Annex C.
- The OP and BP apply to all projects involving pest management, whether or not the project finances pesticides.
- For the purpose of this matrix, the term ‘pest’ includes disease vectors.
- The Guidebook on Pest Management provides further guidance, background, tools and references.
Objectives:


Promote the use of biological or environmental control and reduce reliance on synthetic chemical pesticides.
Strengthen capacity of the country’s regulatory framework and institutions to promote and support safe, effective and environmentally sound pest management.
More specifically the policy aims to:
a)
b)
c)
Ascertain that pest management activities in Bank-financed operations are based on integrated approaches and seek to reduce reliance on synthetic chemical pesticides (Integrated
Pest Management (IPM) in agricultural projects and Integrated Vector Management (IVM) in public health projects).
Ensure that health and environmental hazards associated with pest management, especially the use of pesticides, are minimized and can be properly managed by the user.
As necessary, support policy reform and institutional capacity development to (i) enhance implementation of IPM-based pest management , and (ii) regulate and monitor the
distribution and use of pesticides.
Triggers:


Procurement of pesticides or pesticide application equipment is envisaged (either directly through the project, or indirectly through on-lending, co-financing, or government
counterpart funding).
The project may affect pest management in a way that harm could be done, even though the project is not envisaged to procure pesticides. This includes projects that may (i) lead to
substantially increased pesticide use and subsequent increase in health and environmental risk, (ii) maintain or expand present pest management practices that are unsustainable, not
based on an IPM approach, and /or pose significant health or environmental risks.
Mechanisms to achieve policy objectives:



EA: Pest and pesticide management issues relevant to the project are addressed in the EA.
Pest Management Plan (PMP): A separate PMP is prepared when there are significant pest management issues, or when financing of substantial quantities of pesticides is envisaged
(BP 4.01 Annex C).
List of pesticides authorized for procurement under the project: Such a list is established prior to financing of pesticides and complies with selection criteria in OP 4.09.
Consultation & Disclosure:
Public Consultation and Disclosure requirements are those required under the EA policy (OP 4.01).
Page 21 DRAFT – Tool for Learning – Does not replace the operational policy
Pest Management OP 4.09 – page 2
Preparation Requirements
Appraisal Requirements
The Borrower

Addresses pest and pesticide management issues
relevant to the project in the EA. A separate Pest
Management Plan (PMP) is prepared when there are
significant pest management issues, or when financing
of substantial quantities of pesticides is envisaged. Key
issues listed below are addressed in the EA or PMP;

If procurement of pesticides is envisaged, prepares a list
of pest control products authorized for procurement,
following selection criteria in OP 4.09, or indicates when
and how this list will be developed and agreed upon.
The Task Team

Determines whether preparation of a PMP is required
and records in the PCD any pest management issues that
the EA and/or PMP will address;

Ensures the EA and/or PMP covers potential issues
related to pest management and considers
appropriate alternative designs or mitigation
measures.





Receipt of an EA or Pest Management Plan (PMP)
satisfactory to the Bank is a condition of appraisal.
The Task Team
Confirms that the EA or PMP adequately addresses pest
management issues, with special attention for the points
listed below;
If procurement of pesticides is envisaged: (i) records in
the PAD the list of pest control products authorized for
procurement, or indicates when and how this list will be
developed and agreed upon, (ii) verifies that listed
pesticides comply with selection criteria in OP 4.09;
Records in the PAD, pest management concerns arising from
the EA or PMP, and any proposed project interventions
pertinent to pest management;
Ascertains that the project design includes the necessary
activities/measures to properly address pest management
concerns arising from the EA or PMP;
Ascertains that the main elements of these measures are
reflected in the project’s legal agreements.
Supervision Requirements
The Task Team
 Ascertains that project activities comply with
the provisions of OP 4.09 and BP 4.01 Annex
C, with special attention for the points listed
below;


Reviews objectives and targets set during project
preparation and appraisal, updates these as required,
and ascertains that project changes are in compliance
with OP 4.09 and BP 4.01 Annex C;
At project completion, evaluates, in the ICR, the
environmental impact of pest management practices
supported or promoted by the project, as well as the
Borrower’s institutional oversight capacity. The
ICR also discusses whether the project has resulted
in improved pest management practices according to
the criteria that define the IPM approach.
Objective a: Promote ecologically based IPM and reduce reliance on synthetic chemical pesticides

The project proactively supports, and sets specific
targets for, the introduction and/or implementation of
IPM as defined in OP 4.09. Proposed or ongoing pest
management practices are assessed for consistency with
an IPM approach. Project activities are proposed to
address (i) shortcomings identified and (ii) any
constraints to adopting IPM.


Pest management activities under the project are based on an
IPM approach, or specific targets are set to move present pest
management practices towards IPM;
Use of pesticides proposed for financing under the project is
justified under an IPM approach.


Pest management activities are based on an IPM
approach. Optimum use is made of biological or
environmental control methods. Regarding reform of
unsustainable pest management practices,
satisfactory progress is recorded towards achieving
targets set out during preparation and appraisal.
If pesticides are financed, their use is justified under
an IPM approach.
Objective b: Reduce health and environmental risks



Risks associated with current or envisaged pesticide use
are systematically identified and assessed, taking into
account the proposed use and the capability and capacity
of the intended users and government to prevent
poisoning and environmental contamination;
Specific measures to reduce these risks are incorporated
in the project design. A schedule is established to
monitor the effectiveness of these measures;
Packaging, labeling, storage, handling and disposal of
pesticides financed by the Bank meet FAO standards.



Health and environmental aspects of pesticide use have been
sufficiently evaluated. Proposed measures to reduce risks are
adequate and take into consideration the Borrower’s and
user’s capacity to manage such risks;
Mechanisms are in place for implementation, monitoring and
supervision of project activities involving pesticides
(Responsibilities have been assigned and any deficiencies in
competence are addressed);
Packaging, labeling, storage, handling and disposal of
pesticides financed by the Bank meet FAO standards.



Pesticides used in the project comply with both the
national pesticide legislation and selection criteria in
OP 4.09;
Measures taken to reduce risks are adequate and
consistent with education, skills and equipment of
potential users;
Packaging, labeling, storage, handling and disposal
of pesticides financed by the Bank meet FAO
standards.
Objective c: Strengthen the regulatory framework and institutional capacity

The policy and regulatory framework and institutional
capacity to implement IPM and control the distribution
and use of pesticides are properly assessed;

As necessary, the project contains specific and realistic
targets and activities to address deficiencies in policies,
regulatory framework and institutional capacity to implement

Progress is made in achieving targets set for
policy reform and for strengthening the
regulatory framework and institutional capacity
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DRAFT – Tool for Learning – Does not replace the operational policy
As necessary, components to address deficiencies in the
above are incorporated in the project.
IPM and control the use of pesticides.
to enhance IPM implementation and to control
the use of pesticides.
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PHYSICAL CULTURAL RESOURCES OP/BP 4.11
Stephen Lintner 202-473-2508
Definition:

For the purposes of this policy, ‘physical cultural resources’ are defined as movable or immovable objects, sites, structures, groups of structures, natural
features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural
resources may be located in urban or rural settings, and may be above ground, underground, or underwater. Their cultural interest may be at the local,
provincial or national level, or within the international community.
Objectives:

The Bank assists countries to avoid or mitigate adverse impacts of development projects on physical cultural resources.
Triggers:

This policy applies to all projects requiring a Category A or B Environmental Assessment under OP 4.01, projects located in, or in the vicinity of, recognized
cultural heritage sites, and projects designed to support the management or conservation of physical cultural resources.
Mechanisms to achieve policy objectives:



The Borrower assesses the project’s potential impacts on physical cultural resources as an integral component of the Environmental Assessment (EA). The process
steps for the physical cultural resources component of the EA are the same for Category A and B projects.
The physical cultural resources component of the EA provides for (a) an assessment of physical cultural resources likely to be affected by the project, (b)
documentation of the characteristics and significance of the these resources, and (c) an assessment of the nature and extent of potential direct and indirect impacts
on these resources.
Where the EA predicts adverse impacts on physical cultural resources, the cultural resources component of the EA includes a management plan which includes: (a)
actions to mitigate adverse impacts, (b) provisions for the treatment of physical cultural resources discovered during project implementation and operation
(hereafter referred to as “chance finds”), (c) any necessary measures for strengthening institutional capacity to implement the management plan, and (d) a
monitoring system to track progress of these activities.
Consultation & Disclosure:


The Borrower consults relevant stakeholders as part of the overall consultation process for the EA, including project-affected groups, in documenting the presence
and significance of physical cultural resources, assessing potential impacts, and exploring mitigation options.
The findings of the cultural resources component of the EA are normally disclosed to the public as per OP 4.01, except where the Borrower, in consultation with the
Bank, determines that such disclosure would jeopardize the safety or integrity of the physical cultural resources involved (e.g. the location of sacred sites or
movable cultural resources of value), or of the source of information about the physical cultural resources.
Page 24 DRAFT – Tool for Learning – Does not replace the operational policy
Physical Cultural Resources OP/BP 4.11 – page 2
Preparation Requirements:
Appraisal Requirements:
a. Project Identification and Screening:
 At the earliest possible stages of project identification and screening, the Task
Team (TT) should consider possible adverse impacts on physical cultural
resources, and explore project siting and design options that would avoid these
impacts.
 When the project identification and screening process identifies likely significant
impacts on physical cultural resources or any other environmental impacts, the
project should be classified as EA Category A or B.
a. Appraisal is contingent on receipt from
the Borrower of an EA report with a
physical cultural resources component
consistent with the TOR and satisfactory to
the Bank.
b. Terms of Reference: Based on the findings of the scoping, Bank staff assist the
Borrower in drafting terms of reference (TOR) for the physical cultural resources
component of the EA. The TOR, which should be informed by the results of a
preliminary investigation of physical cultural resources, should propose spatial and
temporal boundaries for the physical cultural resources component of the baseline and
specify the types of expertise required.
c. Appraisal ensures that findings and
recommendations of the physical cultural
resources components of the EA and
management plan are adequately reflected
in project documents including bidding
documents. In particular, appraisal ensures
that:
c. Baseline: The EA baseline includes:
 An investigation and inventory of physical cultural resources which may be
affected by the project and
 Documentation of their characteristics and significance.
The methodology should include the following:
 Review of available information;
 Consultation with physical cultural resources specialists and local communities;
and
 Field investigations.
b. The appraisal team should include
physical cultural resources expertise, as
appropriate.

The project includes adequate measures
for the management of the physical
cultural resources concerned;

The project includes adequate
provisions for the treatment of chance
finds during project implementation;
and

d. Impact Assessment: The physical cultural resources component of the impact
assessment identifies potential direct and indirect impacts on physical cultural
resources.
e. Mitigation and Management Plan:
Where it has been determined that the project may have adverse impacts on physical
cultural resources, the EA team should work with relevant stakeholders and local
communities to jointly develop measures to mitigate and manage these impacts.
The physical cultural resources component of the environmental management plan
should include:
 Actions needed to implement the recommended mitigation measures;
 Provisions for the treatment of chance finds during project implementation;
 Measures for strengthening institutional capacity necessary for implementation of
the recommendations in the management plan; and

Borrower capacity is sufficient to
implement the physical cultural
resources component of the
management plan, or the project
includes sufficient measures to
strengthen relevant institutional
capacity.
The project includes a monitoring
system to track progress of the above
activities.
Supervision Requirements:
a. Supervision missions should
include physical cultural resources
expertise, as appropriate.
b. The supervision team should
ensure that adequate attention is
being paid to:
 impacts of the project on
physical cultural resources;
 implementation of relevant
mitigation and management
activities including
incorporation of necessary
provisions into procurement
documents and construction
contracts;
 treatment of chance finds
during project implementation;
and
 progress of physical cultural
resources management capacity
building activities, as
appropriate.
c. Relevant findings should be
recorded in Implementation Status
and Review Reports (ISRs).
d. Implementation Completion
Reports (ICRs) should assess the
overall effectiveness of the
project’s physical cultural resources
mitigation, management, and
capacity building activities, as
appropriate.
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 Monitoring systems to track progress of the above activities.
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NATURAL HABITATS (OP 4.04)
George Ledec 202-473-9267
Objective:
The conservation of natural habitats is essential to safeguard their unique biodiversity and to maintain environmental services and products for human society and for
long-term sustainable development. The Bank therefore supports the protection, management, and restoration of natural habitats in its project financing, as well as
policy dialogue and economic and sector work. The Bank supports, and expects Borrowers to apply, a precautionary approach to natural resource management to ensure
opportunities for environmentally sustainable development.
Triggers:
The Natural Habitats Policy is triggered by any project (including any subproject under a sector investment or financial intermediary loan) with the potential to cause
significant conversion (loss) or degradation of natural habitats, whether directly (through construction) or indirectly (through human activities induced by the project).
Natural habitats are land and water areas where most of the original native plant and animal species are still present (see OP 4.04, Annex A for full definition). Natural
habitats comprise many types of terrestrial, freshwater, coastal, and marine ecosystems. They include areas lightly modified by human activities, but retaining their
ecological functions and most native species.
The Bank's interpretation of "significant conversion or degradation" is on a case-by-case basis for each project, based on information obtained through the
environmental assessment (EA) process (OP 4.01). While there are no strict numerical thresholds for determining “significant” conversion or degradation, a useful rule
of thumb is that project-related conversion or degradation is likely to be significant if it involves either (i) in absolute terms, more than about 10,000 hectares of natural
habitats or (ii) in relative terms, more than one percent of the remaining area of any ecosystem type within the same country.
Mechanisms for achieving policy objectives:
The Natural Habitats Policy distinguishes between critical and other natural habitats.
Critical natural habitats are those natural habitats which are either (i) legally protected, (ii) officially proposed for protection, or (iii) unprotected but of known high
conservation value (see OP 4.04, Annex A, Para. 1.(b) for official Bank definition). Bank-supported projects must avoid significant conversion or degradation of
any critical natural habitats. The environmental assessment process (OP 4.01) should identify any critical natural habitats within a proposed project’s area of
influence.
For other (non-critical) natural habitats, the Natural Habitats Policy is somewhat more flexible. It requires avoiding or minimizing damage to natural habitats to the
extent feasible (see OP 4.04, Para. 5). If significant conversion or degradation of a non-critical natural habitat is needed to achieve a project’s key objectives, the project
must include mitigation measures acceptable to the Bank. Such measures normally include the establishment or strengthening of an ecologically similar protected area
under the same project.
Consultation and Disclosure Requirements (see also BP 17.50)
In projects subject to the Natural Habitats Policy, the public consultation and document disclosure requirements are those required under the EA Policy (OP 4.01).
Aside from the required EA documentation (including the Environmental Management Plan), there is no free-standing document that is automatically required for all
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projects which trigger the Natural Habitats Policy. However, in the process of complying with this policy, many projects generate free-standing reports (such as
protected area Management Plans) which should be made publicly available as a matter of good practice.
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Natural Habitats OP 4.04 – page 2
Preparation Requirements:
Appraisal Requirements:
1. The Task Team (TT), in consultation with the
Regional Environmental and Social Unit (RESU)
verifies that:
1. Prior to appraisal, the TT ensures that the Project
Appraisal Document (PAD), EA Report, or other project
document adequately describes:
a. The ecosystem types, locations, and estimated area (in
hectares) of natural habitats which would be converted or
degraded under the project (if any);
b. Whether the expected natural habitat conversion or
degradation is considered significant or not, and why
(justified on credible technical grounds);
c. The compensatory protected area(s) or other necessary
mitigation measures to be supported under the project,
including a description of the planned activities,
implementation schedule, investment and recurrent cost
budget, financing plan, and institutional responsibilities;
d. The capacity of the implementing organization(s) to
carry out the planned mitigation measures, with or without
project-supported institutional strengthening; and
e. The project's consistency with governmental land use
and environmental planning initiatives, conservation
strategies, laws, and regulations.
a. The project design would not lead to significant
conversion or degradation of any critical natural
habitats; and
b. If the project requires significant conversion or
degradation of (non-critical) natural habitats to
achieve its key development objectives, the project
design incorporates acceptable mitigation measures,
normally including the establishment or
strengthening of one or more compensatory
protected areas.
2. The Project Concept Document, Environmental
Data Sheet, and/or Integrated Safeguards Data Sheet
indicate:
a. Whether the project has the potential to cause
(directly or indirectly) the significant conversion or
degradation of natural habitats--if so, the project should
be classified as Category A (see BP 4.04, Para. 2);
b. The geographic location, ecosystem type(s), and
approximate size (hectares) of the natural habitat area
which might be converted or degraded (directly or
indirectly) as a result of the project (if any); and
c. The types of mitigation measures which the project
would include to minimize and compensate for any
significant conversion or degradation of natural habitats
attributable to the project.
2. Prior to appraisal, the RESU (assisted by QACU, as
appropriate) reviews the PAD and EA for compliance with
the Natural Habitats Policy, verifying that:
a. The project would not cause (directly or indirectly)
significant conversion or degradation of any critical natural
habitats;
b. The compensatory protected areas or other proposed
mitigation measures are fully adequate and feasible; and
c. Adequate public consultation has taken place regarding
the project’s expected impact on natural habitats and the
planned mitigation measures.
Supervision Requirements:
Negotiations:
Prior to inviting negotiations, the TT (with the
concurrence of the RESU and Legal) ensures
that the draft legal documents adequately
describe or reference all needed mitigation
measures and any other conditionalities related
to natural habitats.
Supervision:
1. The TT ensures adequate and timely
supervision by qualified specialists of natural
habitats issues. This supervision should (i)
identify any serious implementation problems
involving natural habitats and (ii) assist the
Borrower in devising effective and timely
solutions.
2. The extent of actual conversion or
degradation of natural habitats should not
significantly exceed what was agreed with the
Borrower. Otherwise, new mitigation
measures may need to be agreed with the
Borrower.
3. The TT reviews the project’s compliance
with the Natural Habitats Policy and brings
cases of apparently serious non-compliance to
the attention of the Borrower and the Bank.
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PROJECTS IN DISPUTED AREAS (OP 7.60)
Salman Salman 202-458-1727
Objectives:
To ensure that projects in disputed areas are dealt with at the earliest possible stage:
(a) so as not to affect relations between the Bank and its member countries;
(b) so as not to affect relations between the Borrower and neighboring countries;
(c) so as not to prejudice the position of either the Bank or the countries concerned.
Triggers:
The policy is triggered if the proposed project will be in a “disputed area.” (Consult LEG for advice on identifying disputed areas. See also GP 7.60)


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Is the Borrower involved in any disputes over an area with any of its neighbors?
Is the project situated in a disputed area?
Could any component financed or likely to be financed as part of the project situated in a disputed area?
Mechanisms for achieving policy objectives:
The Bank should be satisfied that the other claimants to the disputed area have no objection to the project or special circumstances of the case support the Bank’s
financing the project notwithstanding any objection or lack of approval by the other claimants. (OP 7.60, para. 3)
Consultation and Disclosure Requirements:
Project may proceed if governments concerned agree that, pending the settlement of the dispute, the project proposed for country A should go forward without
prejudice to the claims of country B.
The MOP bears a disclaimer stating that, by supporting the project, the Bank does not intend to prejudice the final determination of the parties’ claims.
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Projects in Disputed Areas OP 7.60 – page 2
Preparation Requirements
Appraisal Requirements
Supervision Requirements
(a) The Country Director prepares in close collaboration with the
Legal Department and in consultation with other departments a
memorandum through the Regional Vice President to the Managing
Director and copied to the Vice President and General Counsel:
The Regional Vice President, based on information
in the memorandum and advice of the Managing
Director (who consults with the Vice President and
General Counsel), decides whether to proceed with
appraisal.
Not applicable because the issues should
have been dealt with during the early
stages of project preparation.
(i) outlining the international aspects of project, procedure
followed and outcome of any earlier projects Bank may have
considered in the disputed area;
(ii) makes recommendation for dealing with the issue, and;
(iii) seeks approval for taking actions recommended and for
proceeding with project processing.
(b) Following project preparation, the full details of the dispute and
the basis for the decision on whether to proceed to appraisal are
included in the transmittal memorandum for the revised preappraisal package. The memo should indicate either that:
(i) other claimants or parties to the dispute have no objection to
the project or;
(ii) the special circumstances of the case support he Bank’s
financing of project notwithstanding any objection or lack of
approval by the other claimants. Such special circumstances
include the following:
a. that the project is not harmful to the interests of other
claimants, or
b. a conflicting claim has not won international recognition or
been actively pursed.
A disclaimer on the Memorandum and Recommendation of the
President states that by supporting the project, the Bank does
not intend to prejudice the final determination of the parties’
claims.
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PROJECTS ON INTERNATIONAL WATERWAYS (OP 7.50)
Salman Salman 202- 458-1727
Objectives:
To ensure that Bank-financed projects affecting international waterways would not affect:
(i) relations between the Bank and its Borrowers and between states (whether members of the Bank or not), and
(ii) the efficient utilization and protection of international waterways.
Triggers:
This policy covers the following types of international waterways:
a)
Any river, canal, lake or similar body of water that forms a boundary between, or any river or body of surface water that flows through, two or more states, whether
Bank members or not;
b) Any tributary or other body of surface water that is a component of any waterway described under (a); and
c) Any bay, gulf strait, or channel bounded by two or more states, or if within one state recognized as a necessary channel of communication between the open sea and
other states, and any river flowing into such waters.
This policy applies to the following types of projects:
a)
Hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage, industrial and similar projects that involve the use or potential pollution of
international waterways; and
b) Detailed design and engineering studies of projects under (a) above, including those to be carried out by the Bank as executing agency or in any other capacity.
Mechanisms for achieving policy objectives:
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
Ascertain whether the riparians have entered into agreements or arrangements or have established any institutional framework for the waterway concerned;
Beneficiary state must formally notify the other riparians of the proposed project and its details.
Consultation and Disclosure Requirements:
Beneficiary state must notify other riparians of proposed project and its details.
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Projects in International Waterways OP 7.50 – page 2
Preparation Requirements:
Appraisal Requirements:
Legal and Institutional Framework: Project team should ascertain whether the riparians
have entered into agreements or arrangements or have established an institutional
framework related to the international waterway concerned.
Not applicable because the issues should have been dealt with during the early
stages of project preparation.
The cover memorandum for the pre-appraisal packaged addressed to the RVP and copied
to the Vice President and General Counsel is prepared in collaboration with the Legal
Department to convey all relevant information on international aspects of the project.
Notification: when an international waterway issue is involved, the prospective Borrower
should be advised to notify the other riparians of the proposed project and related details
(see BP 7.50). If the Borrower does not wish to give notification, the Bank itself does so.
If the Borrower objects to the Bank’s doing so, the Bank discontinues project processing.
The EDs concerned are informed accordingly.
Exceptions to notification: Para.7 of OP 7.50 defines three categories of exceptions:
(i) for any on-going schemes, projects involving additions or alterations which will not
adversely change the quality or quantity of water flows to other riparians;
(ii) water source surveys and feasibility studies;
(iii) projects relating to a tributary of an international waterway where the tributary runs
exclusively in one state and the state is the lowest downstream riparian.
Riparian responses to notification:
(i) If the beneficiary state or Bank receives a positive response from the other riparians or
if the other riparians have not responded within the stipulated time, the CD reports to the
RVP accordingly. The memo includes an assessment of whether the project would:
(a) harm the interests of the other riparians;
(b) be harmed by the other riparians’ possible water use.
(ii) If the other riparians object to the proposed project, the country director in
collaboration with LEG and other departments concerned , sends a memorandum on the
objections to the RVP and copies it to the LEGVP. (for contents of memo see BP. 7.50
para 6). The memorandum addresses the issue of whether it is advisable to obtain an
additional opinion from independent experts in accordance with paras. 8-12.