4 Community Health and Safety

Introduction 2. ESS4 addresses the health, safety, and security

risks and impacts on project-affected communities
1. ESS4 recognizes that project activities, and the corresponding responsibility of Borrowers
equipment, and infrastructure can increase to avoid or minimize such risks and impacts, with
community exposure to risks and impacts. particular attention to people who, because of their
particular circumstances, may be vulnerable.
In addition, communities that are already
subjected to impacts from climate change
may also experience an acceleration or Objectives
intensification of impacts due to project To anticipate and avoid adverse impacts on
activities. the health and safety of project-affected com-
munities during the project life cycle from both
routine and nonroutine circumstances.
To promote quality and safety, and consider-
ations relating to climate change, in the design
and construction of infrastructure, including
dams.
To avoid or minimize community exposure to
project-related traffic and road safety risks, dis-
eases and hazardous materials.
To have in place effective measures to address
emergency events.
To ensure that the safeguarding of personnel
and property is carried out in a manner that
avoids or minimizes risks to the project-affected
communities.

Scope of application
3. The applicability of this ESS is established during
the environmental and social assessment described
in ESS1.

4. This ESS addresses potential risks and impacts

on communities that may be affected by project
activities. Occupational health and safety (OHS)
requirements for project workers are set out in
ESS2, and measures to avoid or minimize impacts on
human health and the environment due to existing
or potential pollution are set out in ESS3.

45
 Requirements Safety of services
9. Where the project involves provision of services
A. Community health and safety to communities, the Borrower will establish and
5. The Borrower will evaluate the risks and impacts implement appropriate quality management sys-
of the project on the health and safety of the tems to anticipate and minimize risks and impacts
affected communities during the project life cycle, that such services may have on community health
including those who, because of their particular and safety. In such circumstances, the Borrower will
circumstances, may be vulnerable. The Borrower also apply the concept of universal access, where
will identify risks and impacts and propose mitiga- technically and financially feasible.
tion measures in accordance with the mitigation
Traffic and road safety
hierarchy.
10. The Borrower will identify, evaluate and monitor
the potential traffic3 and road safety risks to work-
6. The Borrower will design, construct, operate, ers, affected communities and road users through-
and decommission the structural elements of the out the project life cycle and, where appropriate,
project in accordance with national legal require- will develop measures and plans to address them.
ments, the EHSGs and other GIIP, taking into con- The Borrower will incorporate technically and finan-
sideration safety risks to third parties and affected cially feasible road safety measures into the project
communities. Structural elements of a project will design to prevent and mitigate potential road safety
be designed and constructed by competent profes- risks to road users and affected communities.
sionals, and certified or approved by competent
11. Where appropriate, the Borrower will undertake
authorities or professionals.1 Structural design will
a road safety assessment for each phase of the
take into account climate change considerations, as
project, and will monitor incidents and accidents,
appropriate.
and prepare regular reports of such monitoring. The
7. Where the project includes new buildings and Borrower will use the reports to identify negative
structures that will be accessed by members of safety issues, and establish and implement mea-
the public, the Borrower will consider the incre- sures to resolve them.
mental risks of the public’s potential exposure to
12. For vehicles or fleets of vehicles for the purposes
operational accidents or natural hazards, includ-
of the project (owned or leased), the Borrower will
ing extreme weather events. Where technically and
put in place appropriate processes, including driver
financially feasible, the Borrower will also apply the
training, to improve driver and vehicle safety, as
concept of universal access2 to the design and con-
well as systems for monitoring and enforcement.
struction of such new buildings and structures.
The Borrower will consider the safety record or rat-
8. When structural elements or components of a ing of vehicles in purchase or leasing decisions and
project are situated in high-risk locations, includ- require regular maintenance of all project vehicles.
ing those with risk of extreme weather or slow
13. For projects that operate construction and other
onset events, and their failure or malfunction may
equipment on public roads or where the use of
threaten the safety of communities, the Borrower
project equipment could have an impact on public
will engage one or more independent experts with
roads or other public infrastructure, the Borrower
relevant and recognized experience in similar proj-
will take appropriate safety measures to avoid the
ects, separate from those responsible for the design
occurrence of incidents and injuries to members
and construction, to conduct a review as early as
of the public associated with the operation of such
possible in project development and throughout the
equipment.
stages of project design, construction, operation,
and decommissioning. Where the project involves a Ecosystem services
new or existing dam, the Borrower will provide suffi-
14. The project’s direct impacts on ecosystem ser-
cient resources to apply the requirements on safety
vices may result in adverse health and safety risks
of dams, as set out in Annex 1.

1
This may include, where appropriate, third-party life and fire
safety audits for existing buildings that are used for communal
purposes and for new buildings prior to their commissioning or
use.
2
The concept of universal access means unimpeded access for
people of all ages and abilities in different situations and under
3
various circumstances, as set out in GIIP. May include all motorized transportation relevant to the project.

46
to and impacts on affected communities.4 With will implement measures to avoid or control com-
respect to this ESS, ecosystem services are limited munity exposure to such hazardous material.
to provisioning and regulating services as defined
in ESS1. Where appropriate and feasible, the Bor- Emergency preparedness and response
rower will identify the project’s potential risks and 19. The Borrower will identify and implement mea-
impacts on ecosystem services that may be exac- sures to address emergency events. An emergency
erbated by climate change. Adverse impacts will be event is an unanticipated incident, arising from both
avoided, and if they are unavoidable, the Borrower natural and man-made hazards, typically in the form
will implement appropriate mitigation measures. of fire, explosions, leaks or spills, which may occur
for a variety of different reasons, including failure to
Community exposure to health issues implement operating procedures that are designed
15. The Borrower will avoid or minimize the poten- to prevent their occurrence, extreme weather or lack
tial for community exposure to water-borne, water- of early warning. The measures will be designed to
based, water-related, and vector-borne diseases, address the emergency event in a coordinated and
and communicable and noncommunicable diseases expeditious manner, to prevent it from injuring the
that could result from project activities, taking into health and safety of the community, and to mini-
consideration differentiated exposure to and higher mize, mitigate and compensate for any impacts that
sensitivity of vulnerable groups. Where specific dis- may occur.
eases5 are endemic in communities in the project
area, the Borrower is encouraged to explore oppor- 20. Borrowers engaged in projects having the
tunities during the project life cycle to improve potential to generate emergency events will conduct
environmental conditions that could help minimize a risk hazard assessment (RHA), as part of the envi-
their incidence. ronmental and social assessment undertaken pur-
suant to ESS1. Based on the results of the RHA, the
16. The Borrower will take measures to avoid or Borrower will prepare an Emergency Response Plan
minimize transmission of communicable diseases (ERP) in coordination with the relevant local author-
that may be associated with the influx of temporary ities and the affected community, and will take into
or permanent project labor. account the emergency prevention, preparedness
and response arrangements put into place with
Management and safety of hazardous materials project workers under ESS2.6
17. The Borrower will avoid or minimize the poten-
tial for community exposure to hazardous materials 21. An ERP will include, as appropriate: (a) engi-
and substances that may be released by the project. neering controls (such as containment, automatic
Where there is a potential for the public (including alarms, and shutoff systems) proportionate to the
workers and their families) to be exposed to haz- nature and scale of the hazard; (b) identification of
ards, particularly those that may be life threaten- and secure access to emergency equipment avail-
ing, the Borrower will exercise special care to avoid able on-site and nearby; (c) notification procedures
or minimize their exposure by modifying, substitut-
ing, or eliminating the condition or material causing media channels for notification of the affected com-
the potential hazards. Where hazardous materials munity and other stakeholders; (e) a training pro-
are part of existing project infrastructure or com- gram for emergency responders including drills at
ponents, the Borrower will exercise due care dur- regular intervals; (f) public evacuation procedures;
ing construction and implementation of the project, (g) designated coordinator for ERP implementation;
including decommissioning, to avoid exposure to and (h) measures for restoration and cleanup of the
the community. environment following any major accident.

18. The Borrower will implement measures and 22. The Borrower will document its emergency
actions to control the safety of deliveries of hazard- preparedness and response activities, resources,
ESS4

ous materials, and of storage, transportation and and responsibilities, and will disclose appropri-
disposal of hazardous materials and wastes, and ate information, as well as any subsequent mate-
rial changes thereto, to affected communities,
relevant government agencies, or other relevant
parties. The Borrower will assist and collaborate
4
with affected communities, relevant government
For example, land use changes or the loss of natural buffer
areas, such as wetlands, mangroves and upland forests, which agencies and other relevant parties in their prep-
mitigate the effects of natural hazards such as flooding, land- arations to respond effectively to an emergency
slides and fire, may result in increased vulnerability and com-
munity safety-related risks and impacts. The diminution or
degradation of natural resources, such as adverse impacts on
the quality, quantity, and availability of freshwater, may result in
health-related risks and impacts.
5
Such as malaria. 6
ESS2, paragraph 25. 47
 event, especially where their participation and col- ESS4—Annex 1. Safety of dams
laboration will be an important part of an effective
response. A. New dams
23. The Borrower will review the ERP on a regular 1. The Borrower will engage experienced and com-
basis, and confirm that it is still capable of address- petent professionals for the supervision of the
ing the potential range of emergency events that design and construction of new dams,7 and require
might arise in connection with the project. The Bor- the owner of the dam to adopt and implement dam
rower will support affected communities, relevant safety measures during the design, bid tendering,
government agencies and other relevant parties construction, operation, and maintenance of the
through training and collaboration, and will conduct dam and associated works.
such training in conjunction with the training pro-
2. The dam safety requirements set out in this
vided to project workers as part of the OHS require-
Annex apply to:
ments under ESS2.
(a) “Large dams” which are defined as dams with a
B. Security personnel height of 15 meters or greater from the lowest
24. When the Borrower retains direct or contracted foundation to crest or dams between 5 meters
workers to provide security to safeguard its person- and 15 meters impounding more than 3 million
nel and property, it will assess risks posed by these cubic meters;
security arrangements to those within and outside (b) All other dams regardless of size or retention
the project site. In making such arrangements, the capacity (referred to as “small dams”) that
Borrower will be guided by the principles of propor- -
tionality and GIIP, and by applicable law, in relation ally large flood-handling requirement, location
to hiring, rules of conduct, training, equipping, and in a zone of high seismicity, foundations that
monitoring of such security workers. The Borrower are complex and difficult to prepare, retention
will not sanction any use of force by direct or con- of toxic materials, or potential for significant
tracted workers in providing security except when downstream impacts or (ii) are expected to
used for preventive and defensive purposes in pro- become large dams during their operating life.
portion to the nature and extent of the threat.
3. The dams referred to in paragraph 2 require:
25. The Borrower will seek to ensure that gov-
ernment security personnel deployed to provide (a) Reviews by an independent panel of experts
security services act in a manner consistent with (the Panel) of the investigation, design, and
paragraph 24 above, and encourage the relevant construction of the dam and the start of
authorities to disclose the security arrangements operations;
for the Borrower’s facilities to the public, subject to (b) Preparation and implementation of the fol-
overriding security concerns. lowing detailed plans, as further described in
Section C:8 a plan for construction supervi-
26. The Borrower will (i) make reasonable inqui- sion and quality assurance, an instrumentation
ries to verify that the direct or contracted workers plan, an operation and maintenance plan, and
retained by the Borrower to provide security are not an emergency preparedness plan;
implicated in past abuses; (ii) train them adequately (c) Prequalification of bidders during procurement
(or determine that they are properly trained) in the and bid tendering; and
use of force (and where applicable, firearms), and
appropriate conduct toward workers and affected
communities; and (iii) require them to act within the
applicable law and any requirements set out in the 7
Dams include, for example, a water storage dam for a hydro-
power, water supply, irrigation, flood control, or multipurpose
ESCP. project, a tailings or a slimes dam, or an ash impoundment dam.
8
As part of established dam safety practices in certain coun-
27. The Borrower will review all allegations of unlaw- tries, the Operation and Maintenance (O&M) Plan includes the
ful or abusive acts of security personnel, take action Instrumentation Plan and the Emergency Preparedness Plan as
(or urge appropriate parties to take action) to pre- specific sections of the O&M Plan. This method will be accept-
able provided the relevant sections of the O&M Plan contain the
vent recurrence and, where necessary, report unlaw- details, and are prepared in accordance with the timing, set out
ful and abusive acts to the relevant authorities. in Section C below.

48
(d) Periodic safety inspections of the dam after will provide the Borrower with a written report of
completion, and implementation of measures its conclusions and recommendations, signed by
required to address safety deficiencies. each participating member; the Borrower will pro-
vide a copy of the Panel’s report to the Bank. Fol-
4. The risks associated with a dam are design lowing the filling of the reservoir and start-up of the
and situation specific, and will vary depending on dam, the Bank will reviews the Panel’s findings and
structural components, socioeconomic factors and recommendations. If no significant difficulties are
the environment within which the dam is being encountered in the filling and start-up of the dam,
constructed and will operate. Application of the the Borrower may disband the Panel.
requirements set out in paragraph 3 will reflect
these considerations, and be proportionate to the B. Existing dams and dams
size, complexity and potential risk of the dam.
under construction (DUC)
5. Where a dam does not fall into the categories set 8. Where a project relies or may rely on the perfor-
out in paragraph 2, dam safety measures designed mance of an existing dam or a dam under construc-
by qualified engineers in accordance with GIIP will tion (DUC) in the Borrower’s territory, the Borrower
be adopted and implemented.9 will arrange for one or more independent dam spe-
cialists to: (a) inspect and evaluate the safety status
6. The Panel referred to in paragraph 3 above con-
of the existing dam or DUC, its appurtenances, and
sists of three or more experts, appointed by the
its performance history; (b) review and evaluate the
Borrower and acceptable to the Bank, with exper-
owner’s operation and maintenance procedures;
tise in the various technical fields relevant to the
safety aspects of the particular dam.10 The Panel
recommendations for any remedial work or safety-
will review and advise the Borrower on matters
related measures necessary to upgrade the existing
relative to dam safety and other critical aspects of
dam or DUC to an acceptable standard of safety.
the dam, its appurtenant structures, the catchment
area, the area surrounding the reservoir, and down- 9. Such projects include, for example, power sta-
stream areas. The Borrower will normally extend the tions or water supply systems that draw directly
Panel’s composition and terms of reference beyond from a reservoir controlled by an existing dam or a
dam safety, to cover such areas as project formula- DUC; diversion dams or hydraulic structures down-
tion; technical design; construction procedures; and, stream from an existing dam or a DUC, where failure
for water storage dams, associated works such as of the upstream dam could cause extensive dam-
power facilities, river diversion during construction, age to or failure of the project facilities; and irriga-
ship lifts, and fish ladders. tion or water supply projects that will depend on
the storage and operation of an existing dam or a
7. The Borrower will contract the services of the
DUC for their supply of water and could not func-
Panel and will provide administrative support for its
tion if the dam failed. They also include projects
activities. Beginning as early in project preparation
that require increases in the capacity of an exist-
as possible, the Borrower will arrange for periodic
ing dam, or changes in the characteristics of the
Panel meetings and reviews, which will continue
impounded materials, where failure of the existing
through the investigation, design, construction, and
dam could cause extensive damage to or failure of
initial filling and start-up phases of the dam.11 The
project facilities.
Borrower will inform the Bank in advance of the
Panel meetings.12 After each meeting, the Panel 10. The Borrower may use a previously prepared
dam safety assessment or recommendations for
improvements needed in an existing dam or DUC,
9
In such circumstances, the Borrower will confirm, through the
if: (a) an effective dam safety program is already in
environmental and social assessment, that there will be no or operation; and (b) full-level inspections and dam
ESS4

negligible risk of significant adverse impacts due to potential safety assessments of the existing dam or DUC have
failure of the dam structure to local communities and assets,
including assets to be financed as part of the proposed project.
already been conducted and documented, and are
Such dams could include farm ponds, local silt retention dams satisfactory to the Bank.
and low embankment tanks.
10
The number, professional breadth, technical expertise, and 11. For projects that include additional dam safety
experience of Panel members are appropriate to the size, com- measures or require remedial work, the Borrower
plexity, and hazard potential of the dam under consideration. For
high-hazard dams, in particular, the Panel members will possess will require that: (a) the dam is designed and its
recognized international expertise in their field. construction is supervised by competent profes-
11
If the Bank’s involvement begins at a later stage than project sionals; and (b) the reports and plans required for a
preparation, the Panel is constituted as soon as possible and new dam (specified in paragraph 3 (b)) are prepared
reviews any aspects of the project that have already been car-
ried out. and implemented. For high-hazard cases involv-
12
The Bank will normally send an observer to these meetings. ing significant and complex remedial work, the
49
 Borrower will also employ a panel of independent training required; equipment and facilities
experts on the same basis as for a new dam (see needed to operate and maintain the dam; O&M
procedures; and arrangements for funding
O&M, including long-term maintenance and
12. When the owner of the existing dam or DUC is safety inspections. The O&M plan for a dam
an entity other than the Borrower, the Borrower will other than a water storage dam, in particular,
enter into agreements or arrangements providing will reflect changes in the dam’s structure or in
for the measures set out in paragraphs 8 to 11 of the nature of the impounded material that may
this Annex to be undertaken by the owner. be expected over a period of years. Elements
required to finalize the plan and initiate opera-
13. Where appropriate, the Borrower may discuss
tions are normally financed under the project.
with the Bank any measures necessary to strengthen
A preliminary plan will be prepared and pro-
the institutional, legislative and regulatory frame-
vided to the Bank during project preparation.
works for dam safety programs in the country.
The plan will be refined and completed during
project implementation. The final plan will be
C. Dam safety reports completed not less than six months prior to
14. Dam safety reports will contain the information the start of the initial filling of the reservoir.
set out below and be prepared as follows: Elements required to finalize the plan and initi-
ate operations are normally financed under the
(a) Plan for construction supervision and qual- project.
ity assurance. This plan will set out details of (d) Emergency preparedness plan. This plan will
the organization, staffing levels, procedures, specify the roles of responsible parties when
equipment and qualifications for supervision dam failure is considered imminent, or when
of the construction of a new dam or of reme- expected operational flow release threatens
dial work on an existing dam. For a dam other downstream life, property, or economic opera-
than a water storage dam,13 this plan takes into tions that depend on river flow levels. It will
account the usual long construction period, include the following: clear statements on the
covering the supervision requirements as the responsibility for decision making relating to
dam grows in height—with any accompanying dam operations and for the related emergency
changes in construction materials or the char- communications; maps outlining inundation
acteristics of the impounded material—over levels for various emergency conditions; flood
a period of years. This plan will be prepared warning system characteristics; and procedures
and submitted to the Bank during project for evacuating threatened areas and mobiliz-
preparation. ing emergency forces and equipment. The plan
(b) Instrumentation plan. This is a detailed plan for emergency communication will include the
for the installation of instruments to moni- mechanism through which potentially affected
tor and record dam behavior and the related downstream communities will be informed.
hydrometeorological, structural and seismic The broad framework plan and an estimate of
factors. This plan will be prepared and submit- funds needed to prepare the plan in detail will
ted to the Panel and Bank before bid tendering. be prepared and provided to the Bank during
(c) Operation and maintenance (O&M) plan. This project preparation. The plan itself will be pre-
plan will set out details of the organizational pared during implementation and is provided
structure, staffing, technical expertise and to the Panel and Bank for review not later than
one year before the projected date of initial
filling of the reservoir.
13
For example, tailings dam or ash impoundment dam.

50