ENVIRONMENTAL SCREENING AND
CATEGORIZATION
WB Safeguards works
April-May 2012
Agi Kiss
Environmental Management Process
Screening/Scoping – determine what are likely potential issues,
including what (other SG) policies triggered, decide what type and
level of assessment is needed
Assessment – confirm and evaluate the significance of issues
Baseline (valued ecological components)
Likely impacts
Acceptable changes from baseline
Mitigation – identify measures to avoid/reduce/compensate for
negative impacts including the expected results (e.g. standards to be
achieved); identify who is responsible and confirm they have the
capacity and resources
Monitoring – verify that mitigation measures are being implemented
and that they are achieving the expected results (if not, need to
modify them)
Refer to
other SG
Policies
Most EA laws start with a process for determining the need for EIA
based on an “up front” evaluation of a project’s potential
environmental (and related social) impacts …
Potentially major Impacts;
complex issues; likely
need for significant
mitigation
Moderate impacts;
straightforward issues;
likely need for some easily
implemented mitigation
Clearly minimal or
no impacts; very
simple or no
mitigation required
Full EIA required
No env. review
required
Some env. review required
Screening/Classification Approaches:
“Project list approach “ (e.g., EU EIA Directive and harmonized national laws):
Activities listed in Annex I: EIA mandatory
Activities in Annex II = Initial environmental report; determination to be made
whether full EIA required
Activities not in Annex I or II: no environmental report or EIA required
Activities placed in Annex I or II based on type and scale (e.g., Hydropower plant
with installed capacity over 25 MW; Poultry operation with > 50,000 head)
Benefits: clear, objective, easy to implement even with limited expertise
Negatives: inflexible, insufficient consideration of site conditions, context
“Criteria Approach” (e.g. World Bank Safeguard Policies): projects classified based on
potential for negative impacts, taking into account project type and scale, sensitivity of
location, the nature and magnitude of its potential environmental impacts.
Benefits: flexible, more likely to capture “outliers” with higher than usual risks
Negatives: subjective, can be confusing, dependent on expertise & experience
World Bank’s Environmental Screening/EA Categories
and key decision criteria
Category A
• significant adverse impacts that are sensitive, diverse, or unprecedented, or that affect an area
broader than the sites or facilities subject to physical works
• conversion/alteration of natural habitats
• significant quantities of hazardous materials
• major resettlement
Category B
(Compared with Category A):
• potential impacts less adverse & more limited, fewer, site-specific, likely reversible
• Mitigation measures can be more easily designed/implemented
Category C
expected to have no adverse environmental impacts, or only
minimal impacts easily and fully mitigated through routine
measures
Category FI
project provides funds to a bank, credit institution, etc. for on-lending at FI’s own
risk (OP/BP 8.30 – FI lending)
Sub-projects to be screened and categorized as A, B or C and handled
accordingly
Requirements and procedures set out in Environmental Management
Framework
WB has tried to provide additional guidance available, e.g.
“Indicative List of Category A Projects”*
•Large-scale infrastructure: ports and harbor development, transport (rail, road and
waterways), large- scale water resources management (river basin development,
water transfer); dams and large reservoirs, hydropower and thermal power,
extractive industries and oil and gas transport;
•Large-scale agriculture, irrigation, drainage and flood control, aquaculture; agro
industries, and production forestry;
•Major urban projects involving housing development, water treatment, wastewater
treatment plants, solid waste collection and disposal;
•Industrial pollution abatement, hazardous waste management, industrial estates,
manufacture and large-scale use of pesticides; and
Projects that, regardless of scale or type, would have severe adverse impacts on
critical or otherwise valuable natural or cultural resources.
*(from WB/OPCS Guidelines for Environmental Screening and
Classification , 2007)
“Indicative List“ of Category B projects:

Small-scale infrastructure projects: power transmission and distribution
networks, rural electrification, mini (run of the river with no major water
impoundments) or micro-hydropower projects, small-scale clean fuel fired
thermal power plants, renewable energy (other than hydropower), energy
efficiency and energy conservation, rural water supply and sanitation, road
rehabilitation, maintenance and upgrading; telecommunications, etc.;

Health care service delivery, HIV-AIDS, education (with limited expansion of
existing schools/buildings), repair/rehabilitation of buildings when hazardous
materials might be encountered (e.g., asbestos, stored pesticides); and

Small-scale irrigation, drainage, agricultural and rural development projects,
rural water supply and sanitation, watershed management and rehabilitation, and
small-scale agro-industries, tourism (small-scale developments).
“Indicative Lists” are not equivalent of EU Annexes!
Identifying Category A Projects: Relevant Information
Project type: some sectors/industries presumed to be Category A regardless of scale
(unless demonstrated otherwise)
Project scale: some sectors/industries are only Category A at large scale, due to area
of land take, input materials required, waste volume generated, etc. (thresholds set
based on experience)
Project location: some investments are acceptable only in non-sensitive locations
(social, cultural, environmental significance and vulnerability)
Types and magnitudes of activities: some projects in generally “non-risky”
sectors can include specific activities which are risky
Types and magnitude of impacts: Broad, irreversible, beyond project site,
etc.
“Sensitive issues”: some projects are in sectors or include activities which raise
concerns at a wider (e.g. international) level, beyond the risks and potential impacts of
the specific project, and their risks must be seen in that context
Identifying Category A Projects
Type of Project
Scale of project
Project Activities
Sensitive issues
Directly financed
Associated
Project location
Geographic location
Environmental significance and
sensitivities
Nature of impacts
Magnitude of impacts
Sensitive issues
Blue = information readily available during at time of project screening
Red = information less likely to be available prior to doing some environmental assessment
Technical knowledge and experience helps to move info from red zone to blue zone
Another way to approach EA screening: consider the purpose of EA
classification – i.e., to determine the nature of environmental assessment to
be done:
Category A: full, comprehensive EIA following all the requirements specified in
OP 4.01 for Category A
Category B: Some type of environmental assessment/review/plan is required, but
limited in scope and flexible in structure, reflecting corresponding the limited
environmental impacts of the project and the anticipated relatively straightforward
mitigation
Category C: No environmental review is required.
The judgment required: which of the above is needed (sufficient) to
evaluate and manage the environmental risks presented by the project?
EIA Screening: Category A vs. B
Approach 1: Difference between Category A and B -- breadth and depth of EA required
Category A requires full EIA including:
•
•
•
•
•
•
Stakeholder consultation on TOR/scoping (as well as on draft EA)
Assessment of offsite, cumulative and indirect impacts
Analysis of environmental pros and cons of feasible alternatives (site, technology, scale, etc.)
Up-to-date, detailed baseline data on site conditions (biological, hydrological, etc.)
Institutional analysis (responsibilities, capacity)
Independent preparation to ensure unbiased analysis and consideration of alternatives
Approach 2: high risk activities e.g.:
production/use/storage/disposal of significant quantities of hazardous material;
large scale burning of fuel or other pollution-emitting processes;
construction of new permanent roads, etc.
Approach 3: Scale sale and irreversibility criteria (e.g.: physical resettlement of 100+
households; new dam > 15m and/or new reservoir > 3 mill m3;
total volume of earthworks >100,000 m3; land “take” > 1000 ha, etc.)
(NOTE: Figures are illustrative – not WB policy)
Approach 4: How many other SG policies apply? (especially Natural Habitats, Forests,
Dam Safety)
Category A Examples
Plovdiza Dam, Bulgaria
Storage of Chemicals, Kosovo
Rijeka Port, Croatia
The problems with Category B:
 Wide range
“Low B”
Requires only EMP, Checklist EMP or
application of regulations/ standards
EA requirements poorly
defined in OP 4.01
“High B”
Requires some level of EA
Significance and duration of potential impacts
Sensitivity of the site
Complexity of issues
Ease/reliability of mitigation
EIA Screening: “High” B vs. “Low” B vs. C
“High B” requires a limited EA to provide site-specific information (e.g. due to
environmentally sensitive site, or need to better define and understand potential
issues)
“Low B” requires has some routine environmental management issues which
require only well-defined, standard mitigation and monitoring measures
“C” requires no management of environmental issues beyond easily implemented,
zero/low cost “good practice” (e.g. appropriate disposal of left-over paint)
Civil works:
 New construction:
Might be Category A if: industrial purpose; in/near natural habitat, on
former industrial /toxic site
Might be “High B” if: on site with particular environmental sensitivity (e.g.
adjacent to a river, shallow ground water, heavily populated area with likely
land acquisition issues, development with implications for natural
resource use
 Rehabilitation:
Might be “High B” if scale/type of works would require extensive excavation, large
quantities of material/generate large amount of debris & trash
Might be “Low B” if require significant excavation, demolition and waste disposal
Probably “C” if only remodeling, repair, repainting, rewiring, etc.
Category B Project examples
Rehabilitation of tertiary
irrigation canal, Serbia
Hospital rehabilitation,
Turkey
Wastewater Treatment
Plant Rehabilitation,
Ukraine
It’s not Category C if…
• …the project will/might/could finance new
construction or building rehabilitation* (beyond minimal
painting, wiring, etc.)
• …the project provides Technical Assistance or other
support which could lead directly to activities which
would trigger SG policies
• …any of the above are financed by WB, or
Government or other co-financers (covered by
overall Project financing plan)
Caution: apparent C projects may include “sleeper” B category
activities (sometimes even A category)
OP 4.04: Natural Habitats and Critical Natural Habitats
(Reminder) The World Bank:
• Does promote and support natural habitat conservation and improved land
use through integration of natural habitat conservation into national and
regional development, and the rehabilitation of degraded natural habitats;
• Does not support projects that involve significant conversion or
degradation of critical natural habitats
• Does not support projects involving the significant conversion or
degradation of natural habitats unless:
 there are no feasible alternatives for the project and its siting, and
 comprehensive analysis demonstrates that overall benefits from the project
substantially outweigh the environmental costs
•
•
Definitions*
Natural Habitat : land and water areas where
o the biological communities are formed largely by native plant and animal
species, and
o human activity has not essentially modified the area's primary ecological
functions
Critical Natural Habitat:* subset of Natural Habitats which have very high
biodiversity value, e.g.:
– required for survival of endangered, threatened or migratory species;
– have special significance for endemic species or species with limited ranges;
– support high concentrations of individuals of congregatory species;
– Have unique assemblages of species or are associated with key evolutionary
processes
– Support biodiversity of highly significant social, economic or cultural importance
to local communities;
OR
– Are strictly protected under national laws and/or international agreements
* Paraphrased combination of WB and IFC definitions
Significant conversion/degradation: elimination or severe diminution of
integrity of NH caused by a major, long-term change in land or water use (or
short term change with a long recovery time) or by severe pollution. Can result
directly or indirectly from the project
Appropriate conservation/mitigation: measures to eliminate or reduce
adverse impacts to levels within socially defined limits of acceptable change.
May include:
full or strategic partial site protection;
restricting conversion or modification to non-essential elements of
ecosystem
habitat restoration/species re-introduction
establishment and maintenance of an ecologically similar (equal value)
protected area of suitable size and contiguity.
(Mitigation measures should always include provision for
monitoring/evaluation and adaptive management based on the results)
OP 4.04 – Screening and Application Steps
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Identify geographic/ecological Zone of Influence of the project;
Determine whether ZoI includes any likely Natural Habitat
Some Indicators of Natural Habitat:
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•
•
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vegetation entirely or mostly comprised of wild plant species
no large scale livestock presence
water body with little or no surrounding development
few or no permanent residences or other significant structures or
infrastructure (except small dirt roads and tracks roads)
• no significant economic activity other than moderate harvesting of wild species
• no significant sources of pollution (sufficient to impair ecosystem functions)
• above conditions cover ecologically significant area (varies by ecosystem)
•
If yes, carry out desk and site assessment and consultations to determine:
–
–
•
baseline biodiversity and ecological values;
whether it qualifies as Critical Natural Habitat or Natural Habitat
If project could effect (non-critical) Natural Habitat:
– EA is required, involving special expertise;
– Ensure consultations involve suitable stakeholders (NGOs, resource user groups)
Remember: Mother Nature is watching!
EA Screening and Classification Exercise
Example: Project = construction of
community sports facilities
Further details to trigger at least 3 SG policies:
Main stadium will be built on land currently occupied by a small apartment
building (Policy triggered: ?)
Facilities will include a golf course with irrigation system drawing from a river
which flows into neighboring country (Policy triggered: ?)
Golf course will require ongoing maintenance including management of weeds
and insect pests (Policy triggered: ?)
At one site it is proposed that a small wetland area be drained for construction
of a football field (Policy triggered: ?)
To make it into Category A:
Project is actually to construct all-new facilities for 2016 Olympics
Construction is planned to be done on an abandoned industrial site with
hazardous waste issues