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Forest Carbon Partnership Facility

WorldBankSafeguards: EnvironmentalandSocialRiskManagement fortheFCPF for the FCPF


Kenn W.Rapp,FCPFFacilityManagementTeam,WorldBank PeterLeonard,SafeguardsPracticeLeader,EASSD,WorldBank Peter Leonard Safeguards Practice Leader EASSD World Bank April2012
The views in this presentation are the views of the author and do not necessarily reflect the views or policies of the Asian Development Bank (ADB), or its Board of Governors, or the government they represent. ADB does not guarantee the accuracy of the data included in this presentation and accepts no responsibility for any consequence of their use. Terminology used may not necessarily be consistent with ADB official terms.

Forest Carbon Partnership Facility (FCPF)


andtheUNREDDProgramassistbuildingnational capacityforREDD+activitiesandtestingaprogram i f REDD i ii d i ofperformancebasedincentivepaymentsincertain pilotcountries. pilot countries SupportingaREDD+readinessmechanismtoassist countriesputinplaceanumberofbuildingblocks ti ti l b f b ildi bl k (measurement,reportingandverificationsystem; referencescenario;REDD+strategyandnational reference scenario; REDD+ strategy and national managementarrangementsforREDD+)thatwill enablethemtoparticipateinfuturesystemsof p p y positiveincentivesforREDD+.

WorldBankSafeguardPolicies(the10+2)
Environmental Assessment A t Natural Habitats Forests Physical Cultural Resources Pest Management Access to Information Policy Involuntary Resettlement Indigenous Peoples Safety of Dams Projects i P j t involving l i g International Waterways j p Projects in Disputed Areas

Piloting Use of Country Systems for Environmental and Social Safeguards

LinkingtheCancunandWBSafeguards
CancunSafeguards WorldBankSafeguards (a)Actionscomplementorareconsistentwiththe OP4.01onEnvironmental AssessmentandOP4.36onForests objectivesofnationalforestprogrammesand relevantinternationalconventionsand agreements agreements (b)Transparentandeffectivenationalforest governancestructures,takingintoaccount nationallegislationandsovereignty (c)Respectfortheknowledgeandrightsof indigenouspeoplesandmembersoflocal communities,bytakingintoaccountrelevant communities by taking into account relevant internationalobligations,nationalcircumstances andlaws,andnotingthattheUnitedNations GeneralAssemblyhasadoptedtheUnitedNations DeclarationontheRightsofIndigenousPeoples OP4.36onForests

OP4.10onIndigenousPeoples

(d)Thefullandeffectiveparticipationofrelevant OP4.01onEnvironmental stakeholders,inparticular,indigenouspeoplesand Assessment,OP4.04onNatural localcommunities Habitats,OP4.36onForests,OP4.10 onIndigenousPeoples,andOP4.12 onInvoluntaryResettlement (e)Actionsareconsistentwiththeconservationof OP4.04onNaturalHabitatsandOP naturalforestsandbiologicaldiversity,ensuring natural forests and biological diversity ensuring 4.36onForests 4 36 on Forests thatactionsarenotusedfortheconversionof naturalforests,butareinsteadusedtoincentivize theprotectionandconservationofnaturalforests andtheirecosystemservices,andtoenhanceother socialandenvironmentalbenefits (f)Actionstoaddresstherisksofreversals OP4.01onEnvironmental Assessment,OP4.04onNatural Habitats,andOP4.36onForests OP4.01onEnvironmental Assessment(AnnexA)

(g)Actionstoreducedisplacementofemissions

LinkingtheCBDRisksandWBSafeguards
RiskstoBiodiversityandtoIndigenousPeoples and LocalCommunities WorldBankSafeguardPolicies 1a)Conversionofnaturalforeststoplantationsand OP4.04onNaturalHabitats,paras1.,4.,5.&9.and otherlandusesoflowbiodiversityvalueandlow AnnexA,para1.(b),(c)&(d);OP4.36onForests,paras resilience;andtheintroductionofgrowingofbiofuel 1.,5.&7. resilience; and the introduction of growing of biofuel 1 5 & 7 crops b)Displacementofdeforestationandforest OP4.01onEnviornmentalAsssesment,paras2.&3. degradationtoareasoflowercarbonvalueandhigh andAnnexA,paras7.and9.(assessmentindesign biodiversityvalue phaseandenvironmentalscreening,whichissupposed totakeintoaccount"transboundary"and"potential cumulative"impacts) c)Increasedpressureonnonforestecosystemswith OP4.01onEnviornmentalAsssesment,paras2.&3. highbiodiversityvalue andAnnexA,paras7.and9.(assessmentindesign phaseandenvironmentalscreening,whichissupposed totakeintoaccount"transboundary"and"potential cumulative"impacts);OP4.04onNaturalHabitats, AnnexA,para1.(a)(provideswiderangingdefinitionof naturalhabitats) natural habitats) d)Afforestationinareasofhighbiodiversityvalue OP4.04onNaturalHabitats,para4.andAnnexA,para 1.(b)(ii)and1.(c);OP4.36onForests,paras1.,5.&7. OP4.10onIndigenousPeoples,paras2.,16.,17.,18.& 21. OP4.10onIndigenousPeoples,paras 1.,10.(b),12., OP 4 10 on Indigenous Peoples paras 1 10 (b) 12 18.,19.&21.;

2a)Lossoftraditionalterritoriesandrestrictionof landandnaturalresourcerights b)Lackoftangiblelivelihoodbenefitstoindigenous b) Lack of tangible livelihood benefits to indigenous peoplesandlocalcommunitiesandlackofequitable benefitsharing c)Exclusionfromdesignandimplementationof policiesandmeasures

SESAprocess;Stakeholderengagementguidancenote forupstreamenagagement;consultationand participationprovisionsincludedineachoftheWB participation provisions included in each of the WB safeguardpoliciesrelevantforREDD+ OP4.10onIndigenousPeoples,paras 2.(lossof "identity"and"culture"generally),19.&22.(h)(lossof traditionalknowledgeviamisappropriation)

d)Lossoftraditionalecologicalknowledge

TheFCPFApproachtoREDD+

REDD+readinesspreparation(theReadiness Fund phase) Fundphase) REDD+strategyimplementation(brokendown intotwoseparatephases,includingthe CarbonFundphase)

Acentralchallengeofthe p p ReadinessPreparationprocess:

REDD+ReadinessPreparationmainlyconsists REDD Readiness Preparation mainly consists ofstrategicplanningleadingtodevelopment of policies, programs, institutions and a set of ofpolicies,programs,institutionsandasetof actionstobeimplementedinthefuture

TheagreedsolutionfortheFCPF: SESAandESMF

SESAstandsforStrategicEnvironmental andSocialAssessment and Social Assessment TheESMFstandsforEnvironmentaland SocialManagementFramework g

SESAforREDD+ReadinessPreparation

ThestrengthofSESAforREDD+ The foundation: A participatory and Thefoundation:Aparticipatoryand consultativeprocess ThestrategicdimensionofSESA Key to comprehensive risk management Keytocomprehensiveriskmanagement

SESAGuidelines
TheFCPFisusingthe(SESA)tointegratekey environmentalandsocialconsiderationsintoREDD+ i l d i l id i i REDD readinessbycombininganalyticalandparticipatory approaches. approaches TheSESAguidelineshavebeenintegratedintotheRPP template. t l t TheSESAallows: (i) Socialandenvironmentalconsiderationstobe integratedintotheREDD+Readinessprocess,in g p , particulartheREDD+strategy;

SESAGuidelines
(ii) Participationinidentifyingandprioritizingkey issues,assessmentofpolicy,institutionaland i f li i i i l d capacitygapstomanagetheseprioritiesand recommendations,anddisclosureoffindingsinthe recommendations and disclosure of findings in the REDDcountrysprogressreportonReadiness p p preparation; ; (iii) anEnvironmentalandSocialManagement Framework(ESMF)tobeputinplacetomanage Framework (ESMF) to be put in place to manage environmentalandsocialrisksandtomitigate p potentialadverseimpacts. p

Readiness Preparation Proposal (R-PP) Template

ContainsspecificguidelinestoassistaREDD+ C t i ifi id li t i t REDD+ Countryorganizeitselfforbecomingreadyfor REDD+.Withrespecttoparticipationan REDD+ With respect to participation an consultation,theRPPtemplateprovidesspecific guidelinesonnationalreadinessmanagement arrangementsandstakeholderconsultationand participation.

EarlyApplicationofSESAinTwoCountries
COSTA RICA
Information Dissemination:
Workshops at the national, regional and local levels (including in Indigenous communities)

MEXICO
Information Dissemination:
Workshops at the national and regional levels National CTC-REDD (NGOs and civil society) l

Dialogue
Inter-sectoral (at government level) NGOs and civil society Indigenous Peoples (including those opposed to REDD+) pp ) Local communities (campesinos)

Dialogue
Intersectoral (at federal and state l levels) l ) Indigenous Peoples and local community organizations CDI (Comision Nacional para el Desarrollo de los Pueblos Indigenas)

Technical workshops with p


Academia o Research institutes
o

SESAWorkshops:OutputsandOutcomes
Documentationofissuesraisedanddeepeningofthe dialogue
Workshopproceedingsarepubliclyavailable Issuesarepresentedaccordingtoeachparticularstakeholdergroups perspective Creationoffeedbackloops

Specific response to key issues raised by Indigenous Peoples SpecificresponsetokeyissuesraisedbyIndigenousPeoples (CostaRica) Establishment of SESA FollowUp Group; linkages with CTC EstablishmentofSESAFollow UpGroup;linkageswithCTC REDD(Mexico) SESAWorkPlans:Agreedstepsformovingforwardaroundthe SESA Work Plans: Agreed steps for moving forward around the issuesraised

ESMFandSafeguards

CoverageoftheESMF g ScopeofapplicationoftheESMF f l f h

EnvironmentalandSocialManagement ( ) Framework(ESMF) The ESMF serves as a framework for TheESMFservesasaframeworkfor managingandmitigatingthe environmentalandsocialrisksand impactsforfutureinvestments(projects, activities,and/orpoliciesandregulations) associatedwithimplementingacountry s associated with implementing a countrys REDD+strategy

ProvisionofInformationonHowSafeguards p AreAddressedandRespected
Mechanisms for the collection and provision of Mechanismsforthecollectionandprovisionof relevantinformationisprovidedforatvarious pointsintheSESAprocess Iterative,multistepnatureoftheprocessgivesrise toanumberofmilestones EachmilestonepresentstheREDD+Countryan h il h C opportunitytoinformonprogress A process or product associated with a milestone Aprocessorproductassociatedwithamilestone couldserveassufficientevidencethatan applicablesafeguardisbeingaddressedand respected t d

BasicFCPFBusinessProcess&SESA/ESMF
Consultation and Participation Reflect arrangements for SESA coordination in Readiness Management Arrangements; solicit views on social and env. issues related to the drivers of deforestation and degradation during early dialogue with key stakeholders Begin assessment of benefits, risks and likely impacts associated with proposed REDD+ strategy options; capacity gaps. Use findings to inform strategy development as well as policies/ regulations. Prepare ESMF ToRs and begin preparation of ESMF once the final REDD+ strategy starts to become known Submit ESMF or advanced draft of ESMF + SESA Summary (Annex D of R-PP template guidance) SESA/ESMF Steps

R-PP

R-PP Progress Report

ER Program R-Package

Program Milestones

Readiness Grant Agreement ($200k)

Supplementary Grant Agreement ($3.4m) ISDS (policies likely to be triggered), R-PP ti d) R PP Assessment Note, PID Updated ISDS (if necessary at mid-term progress) t id t )

ERPA ($20m) Legal Agreements Review completed ESMF + SESA S Summary TTL actions

R-PP Formulation

Readiness Preparation

Implementation

OutputsfortheReadinessPackage
SummaryofhowSESAwasconductedduringRPPFormulation andReadinessPreparationcontainingthefollowing:
I i i Institutional arrangements f coordinating SESA l for di i WB safeguard policies triggered and the environmental and social studies or diagnostics carried out Key environmental and social issues associated with the drivers of deforestation and causes of forest degradation How the findings of studies and consultations fed into the selection and refinement of the REDD strategy options REDD+ Recommendations for addressing institutional, policy, legal/regulatory and capacity gaps for managing environmental and social priorities Consultations, p , public p participation, disclosure of information, and g p , , grievance redress on environmental and social issues Results of the assessment of environmental and social risks and potential impacts of REDD+ strategy options, with an eventual focus on the final REDD+ t t REDD strategy

AnESMF/advanceddraftESMF

WhatistheCommonApproach?
Th C TheCommonApproachprovidestheWorldBankand A h id th W ld B k d otherDeliveryPartners(DPs)withacommon platformforriskmanagementandqualityassurance platform for risk management and quality assurance intheREDD+ReadinessPreparationprocess DPswillberequiredtoachievesubstantial equivalence to the materialelements of the equivalencetothematerial elementsofthe WorldBankssafeguardpolicies

Findings: CDB Consultations on Safeguards


Beneficialtoaddresssafeguardsasearlyaspossiblein theprocess.Financialsupportrequired. h Fi i l i d Needtocrossreferencesafeguardframeworkswith processesandguidelinesthathavealreadybeen established. Intersectoral coordinationwithinandbetween Ministriesessential REDDplusisalearningprocess.Furthercapacity buildingneededatseverallevels.

Findings:CDBConsultationsonSafeguards
Clarifyingtenureissuesremainsanurgentchallenge formanyaspectsofREDDplus,includingsafeguards f f REDD l i l di f d forindigenouspeoplesandlocalcommunities Eff i l d Effectivelandzoningandlanduseplanningatnational i dl d l i i l levelwouldlowerREDDplusrisksandenhance benefits Safeguardsprocesscanbenefitfromexisting knowledgeatinternational,nationalandlocallevel, knowledge at international national and local level includingfromAccessandBenefitSharingProtocol, PaymentsforEcosystemServices,CommunityBased y y , y NaturalResourcesManagement,etc.

Forest Carbon Partnership Facility

THANKYOU!
Kenn W.Rapp,FCPFFacilityManagementTeam krapp@worldbank.org PeterLeonard,SafeguardsPracticeLeader,EASSD, pleonard@worldbank.org pleonard@worldbank org