Application of Safeguards & SESA to REDD+ Readiness

Rights and Resources Initiative Workshop Systems of Standards, Safeguards and Recourse

Mechanisms for on Forests and Climate Change

Washington, DC, May 12, 2010

Confusion or Clarity?

• All World Bank operational policies apply;• Yes, a decision about how safeguards policies are

to be fully deployed in the case of readiness measures has not been taken.

• Expectation is that it will be taken in the next several weeks/months.

• Key questions require extensive consultation –how to make the process more robust. Too fast or too slow?

• Key question relates to when safeguard triggers come into play in a strategic planning process.

Is the Bank changing its approach to safeguards in the case of REDD+?

• Safeguards Policies were developed to address investments rather than strategic planning like what is being supported by REDD+ planning;

• Proposed Safeguards approach is geared toward a process of consultation and stakeholder involvement in designing and developing REDD+ plans.

• Core of the safeguards approach proposed is the Strategic Environmental and Social Assessment. Provided for in OPs and consistent with wider agreement in the DAC on safeguards in strategic planning initiatives.

Are safeguards being watered down?

• SESA is meant to be fully integrated into the development of Readiness Planning.– Integrate SESA into the R-PP template rather than

separate track. Will strengthen and mainstream the thinking on safeguards and the actions required at the country level

• Difficult to determine when/which specific safeguards are to be triggered without clarity about Government plan

• Environmental and Social Management Framework – Environmental Assessment (OP4.01)– Resettlement Policy Framework (OP4.12)– Process Framework (OP4.12)– Indigenous Peoples Planning Framework (OP4.10)

• Clarifying triggers• SESA (or equivalent) to establish benchmarks for

action within a broad-based participatory and consultative framework

Are safeguards being watered down?

Teeth?

• Funding for carbon transactions (ERPA) will depend on complying with key benchmarks

• Weak safeguards or weak recourse mechanisms?• Recourse mechanisms through the Inspection

Panel are fully in place• Inspection Panel established by the World Bank

Board and reports directly to it. Mandate is the full suite of Operational Policies.

• Any changes in the Bank’s approach toward safeguards depends on the Board, not on FCPF or FIP.

Policy related issues most often raised in Inspection Panel Requests

Environmental Safeguards

Social Safeguards

Other operational policies

Moving forward

• Harmonizing? How?• Regardless of the institutional architecture,

Bank must still comply with its OPs.• If there are higher standards, then let’s work

towards them.• Moving beyond safeguards toward REDD+ as

part of a more inclusive development paradigm

• Do no harm, Do good but also• Moving beyond safeguards toward REDD+ as part of a

more inclusive development approach, geared towards– Actions that enhance sound planning and decision making,

and hence mitigate risks early on in REDD+ Readiness process

– Actions that mitigate potential impacts of strategies at the time of implementation

• Hence innovation needs to complement traditional approaches to safeguards

What is the objective of SESA & Safeguards?

Key SESA steps/components

• Determine applicable policies• Conduct diagnostic work• Discuss with key stakeholder groups• Design Environmental and Social Management

Frameworks (ESMF)• Reinforce capacity

ANALYSIS OF ENVIRONMENTAL AND SOCIAL CONTEXT

ENVIRONMENTAL AND SOCIALMANAGEMENT FRAMEWORKS

REFORMS AND INSTITUTIONAL STRENGTHENING

Phase 1: Proposal Formulation

Assessment of R-PP

Phase 2: Preparing for ReadinessAssessment of R-Package

CONSULTATION AND PARTICIPATION

DETERMINE APPLICABLEPOLICIES

Implementation

SESA and decision points• World Bank team assesses compliance with guidelines• R-PP Assessment:

– TAP review– PC assessment– World Bank ‘Concept Review Meeting’ (based on R-PP Assessment

Note)

• Mid-term review:– TAP?– PC discussion based on country’s progress report– World Bank ‘Quality Enhancement Review Meeting’

• R-Package Assessment:– TAP review– PC assessment– World Bank ‘Decision Meeting’ (based on R-Package Assessment Note)

THANK YOU!

Key decision points and SESA process

• Stakeholder analysis• Prel. Identification &analysis. of key issues

Emission Reductions Payment Agreement

($20m)

IMPLEMENTATION(Carbon Fund)

R-PIN R-PPR-PP Progress

Report R-PackageER

Program

R-PIN Review

R-PP assessment (‘Concept Review’ meeting)

Mid-term review (‘Quality Enhancement Review’

meeting)R-Package assessment

(‘Decision’ meeting)

R-PIN review

Country selection & $200k grant allocation

R-PP review

R-PP assessment & $3.4m allocation

Confirmation of need for remaining

$1.4 m

Action by WB

Action by Country

Action by TAP

Action by PC

Action by TAP ? R-PP review

R-Package assessment

Phase 1: Proposal Formulation Phase 2: Preparation for Readiness

• Determine EIA category • Det. applicable policies (prel.)

• Initial consultations

Strategic component • Situation analysis• Identification of Env/Soc priorities• Gap analysis

• Instit., policy, legal adjustments for the REDD strategy

ESMF component • Baseline (building on Sit. Anal) • Screening and scoping of impacts • Alternatives analysis• Revisit applicable policies

ESMF component • Impact assessment • Formulation of ESMF •Monitoring Framework