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STRATEGIC ENVIRONMENTAL AND SOCIAL
ASSESSMENT ROAD MAP TO SUPPORT
REDD+ IN KENYA
Background and Draft SESA Road Map
Prepared By:
Michael K Gachanja
P. O. Box 12634, 00400, Nairobi
Kenya
Tel: 0722 499 891
Email: [email protected]
Date: 23rd
September 2013
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Contents ACRONYMS .............................................................................................................................................. 3
SECTION 1: BACKGROUND ...................................................................................................................... 4
SECTION 2: STRATEGIC ENVIRONMENTAL AND SOCIAL ASSESSMENT IN REDD+ READINESS ................ 6
SECTION 3: PRINCIPLES, OBJECTIVES AND OUTCOMES OF SESA .......................................... 7
PRINCIPLES AND OBJECTIVES .............................................................................................................. 7
OUTCOMES OF SESA PROCESS ............................................................................................................ 8
SECTION 4: ROAD MAP FOR SESA ........................................................................................................... 9
SECTION 5: STATUS OF CURRENT ACTIVITIES, PREVIOUS WORK AND SUGGESTED APPROACHES ...... 16
Status of REDD+ process in Kenya ..................................................................................................... 16
Annex 1: TOR for the Strategic Environmental and Social Assessment (SESA) of Proposed REDD+
Programs and Activities ......................................................................................................................... 18
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ACRONYMS ASAL Arid and Semi-Arid Lands ESMF Environmental and Social Management Framework FCPF Forest Carbon Partnership Facility GHG Green House Gases MRV Monitoring, Reporting and Verification NCCRS National Climate Change Response Strategy NFMS National Forest Monitoring System REDD+ Reducing Emission from Deforestation and forest Degradation REL/RL Reference Emission Level R-PP REDD+ Readiness Preparedness Proposal SESA Strategic Environmental and Social Assessment
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SECTION 1: BACKGROUND
It is estimated that Kenya has 3.47 million ha of forest (indigenous forests, open woodlands, and plantations) and an additional 24.5 million ha of “bush-land”1. Kenya’s loss of forests is primarily through conversion of forests to agriculture or for public or private development projects and unsustainable utilisation, illegal logging, uncontrolled grazing and exploitation for charcoal. Deforestation and degradation is evident in both the high elevation water catchment forest areas (popularly referred to as water towers), and in bush land in the arid and semi-arid lands (ASAL) areas. Charcoal making is rampant because majority of Kenyans, especially those living in peri-urban and urban areas, heavily depend on charcoal as a source of energy for cooking and heating.
Figure 1: Map of forests of Kenya
1 FAO Global Forest Resources Assessment 2005, Kenya Country Report, Country Report 180.
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There are no current data on the level of forest degradation. However, Kenya lost most of its forest cover in 1990s and early 2000s where annual rate of forest cover was estimated at 11,000 hectares per year. The trend has changed and amount of forest cover lost has been reducing, thanks to deliberate efforts made by the government, private sector, development partners, local communities and civil society to conserve and restore degraded forest areas throughout the country and reduce forest cover loss. The water catchment forests have received close attention due to their significance in soil, water and biodiversity conservation, in addition to amelioration of regional climatic conditions. Further, the forests in water catchments have been flagged out as important in supporting the realization of Kenya’s long term development agenda, the Vision 2030. The Kenya Forest Service, under the Ministry of Environment, Water and Natural Resources, is the state agency charged with ensuring sustainable management and conservation of forest resources in the country. KFS has 47 administrative boundaries in line with the 47 counties created in the new administrative structure of the Government. REDD+ is a multi-sectoral program that the Kenyan government is in the process of developing to address the challenges faced within the forestry and other natural resource management sectors. The REDD+ multi-sectoral program is looking into the drivers and underlying causes of deforestation and degradation, as well as promoting sustainable forest management for improved livelihoods and opportunities to increase forest cover in areas suitable for supporting trees. With the total area of closed canopy indigenous forest in Kenya already reduced to about 2% of the land area and open woodlands to 3.7% of land area, the scope for REDD+ activities is aimed at reducing further deforestation and degradation in the remaining forests and thereby reducing carbon emissions from these activities, but also, perhaps to a larger extent, on the “plus” aspects of REDD+ including improving management of remaining forest resources and enhancing carbon stocks on degraded forest land as well as through reforestation and afforestation programs. All REDD+ activities are being designed with a focus on co-benefits such as improving biodiversity and livelihoods of forest dependent peoples. REDD+ in Kenya aims at achieving four goals. These are:
Realization of Constitutional and vision 2030 objectives of increasing forest cover to a minimum of 10%;
Supporting government’s efforts in designing strategies and measures to protect and improve its remaining forest resources in ways that improve local livelihoods and conserve biodiversity;
Realization of the National Climate Change Response Strategy (NCCRS) goals and,
Contributing to global climate change mitigation and adaptation efforts. REDD+ has five priority areas of focus. These are:
1. Reducing pressure to clear forests for agriculture, settlements and other land uses; 2. Promoting sustainable utilization of forests by promoting efficiency, energy
conservation; 3. Improving governance in the forest sector by strengthening national capacity for
FLEG , advocacy and awareness ;
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4. Enhancement of carbon stocks through afforestation /reforestation, and addressing the fire problems
5. Ensuring the country is ready for REDD+ implementation. In order for Kenya to qualify for support through REDD+, there are several activities that have been lined up. One of the primary activities is the preparation of REDD+ Preparedness Proposal (R-PP), which was completed in November 2010. Currently activities outlined in the R-PP are under implementation. One of the main components of the R-PP is the Strategic Environmental and Social Assessment (SESA). SESA provides a methodology for assessing impacts of strategies and implementation mechanisms, and ensuring that potential negative impacts are mitigated and positive aspects are strengthened. This Road Map seeks to support the implementation of SESA of the REDD+ Readiness process in Kenya. SECTION 2: STRATEGIC ENVIRONMENTAL AND SOCIAL ASSESSMENT IN REDD+ READINESS SESA allows for incorporation of environmental and social considerations into the REDD Readiness process at two levels:
• At Strategic level: assessment of legal, policy, regulatory, institutional and capacity context for addressing key environmental and social sustainability issues associated with deforestation and forest degradation.
• An Environmental and Social Management Framework (ESMF): – Assessment of environmental and social risks of interventions/projects
proposed by the REDD strategy to reduce deforestation and forest degradation.
– Links SESA with the national and international safeguard policies as well as to – improved normative frameworks and institutional capacities for REDD+
implementation, as an outcome of REDD+ Readiness activities The strategic component is tied to the drivers of deforestation while the ESMF component is tied to the REDD strategy options and applicable safeguard policies. Both are interlinked. SESA Strategic Component SESA Strategic Component seeks to:
1. Identify key environmental and social issues relevant for REDD – Situational analysis: assessment of environmental and social issues associated
with deforestation and forest degradation – Stakeholder analysis: identification and analysis of key stakeholders – Prioritization of key issues by stakeholders
2. Assess existing capacities and systems to manage priorities – Gap analysis: assessment of policy, legal, regulatory and institutional
strengths and weaknesses – Assessment of capacity gaps
3. Assess the extent to which the REDD strategy addresses the existing institutional, policy, legal, regulatory and capacity gaps to manage the priorities
4. Formulate adjustments and capacity building measures recommended to be included in the REDD strategy and the strategic ESMF
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– Policy, institutional, legal, regulatory and capacity building Environmental and Social Management Framework (ESMF) The ESMF supports an examination of the risks and potential impacts associated with one or more projects or activities that may occur in the future. The Framework sets out the principles, guidelines, and procedures to assess environmental and social risks, and proposes measures to reduce, mitigate, and/or offset potential adverse environmental and social impacts and enhance positive impacts and opportunities of said projects, activities, policies and /or regulations. The ESMF incorporates procedures for: (i) consultations with concerned stakeholder groups; (ii) capacity building measures; (iii) Environmental and social impact screening, assessment, and monitoring; and (iv) The inter-institutional arrangements for the preparation of time-bound action plans
for mitigating adverse impacts. The ESMF will provide the overall framework for addressing social and environmental risk management issues in REDD+ activities that are implemented beyond the readiness preparatory work.
SECTION 3: PRINCIPLES, OBJECTIVES AND OUTCOMES OF SESA
PRINCIPLES AND OBJECTIVES
The REDD+ Readiness process should ensure that implementation of proposed programs and activities will not cause undue adverse social and environmental impacts, while striving to enhance benefits for local communities and the environment. Countries participating in Readiness activities with support from the Forest Carbon Partnership Facility (FCPF) are required to undertake a Strategic Environmental and Social Assessment (SESA) to assess the potential impacts from national REDD+ programs and strategies, formulate alternatives and develop mitigation strategies. SESA offers a platform for consultation to integrate social and environmental concerns into the policy-making process of REDD+. SESA is complemented by an Environmental and Social Management Framework (ESMF), which establishes the principles, guidelines, and procedures for reducing, mitigating, and/or offsetting potential adverse environmental and social impacts, enhancing positive impacts and opportunities, and otherwise guiding potential investments towards compliance with relevant safeguards..
The SESA is a tool that seeks to integrate social and environmental considerations into policy-making processes, leading to more sustainable REDD+ strategies. It supports the design of the national REDD+ policy framework, including the National REDD+ Strategy.
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The SESA process should:
Identify the social and environmental risks as well as opportunities from proposed strategies to reduce deforestation and degradation as they emerge from analytical work.
Involve primary stakeholders in identifying key social and environmental issues related to REDD+. This will include affected groups and local non-governmental organizations, as early as possible.
Assess the options that promote sustainable natural resource management and have positive impacts on local communities as they emerge from analytical work.
Where strategies adversely could affect the environment or local communities, identify alternatives to the proposed strategies and/or mitigate negative social and environmental impact.
Provide a gap analysis of Kenya’s institutional and governance capacity to address adverse effects as they emerge from analytical work.
Discuss recommendations to address key environmental and social impacts, and for addressing identified institutional and governance weaknesses.
OUTCOMES OF SESA PROCESS
Implementation of the Road Map will lead to achievement of two outcomes.
i. The Environmental and Social Management Framework (compliant with WB safeguards policies and other international good practice standards) reflects: Policy, legal, institutional adjustments Specific proposals for institutional strengthening and capacity building; Procedures for environmental and social risk management of specific
investments and projects; Mechanisms for ongoing citizen engagement.
ii. REDD strategy integrates environmental and social sustainability considerations into its formulation.
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SECTION 4: ROAD MAP FOR SESA
The development of a road map for the implementation of SESA in connection with the preparation of the national REDD+ strategy requires the consideration of a number of necessary steps and different types of gaps to be addressed in different phases. The road map lists the objectives of each step, expected results, specific activities and who is responsible for delivering the steps to be conducted within each step (Table 1). The road map is guided by the SESA Terms or Reference presented in annex 1. Three phases have been suggested with the last phase being for implementation of SESA’s outcome as follows:
Phase I: Preparation
Step 1: Determination of Coordination and Management Arrangements of SESA in REDD+
National Readiness
Step 2: Preparation of SESA ToR and recruitment of a SESA Coordinator
Step 3: Establishment of a SESA Road Map to implement SESA ToRs
Step 4: Scoping of content of SESA
Phase II: Studies and Assessment
Step 5: Development of clear communication and participation mechanisms to implement
SESA
Step 6: Identification/prioritization of drivers of deforestation and definition of
environmental and social issues and priorities in relation to them
Step 7: Assessment of proposed REDD+ Strategy options, gap assessment and promotion of
recommendations
Step 8: Assessment of environmental and social risks and potential impacts of proposed
REDD+ Strategy options
Step 9: Refine strategy options
Step 10: Development of ESMF
Step 11: Development of SESA Report if needed as this is not a requirement in the FCPF
standing guidelines
Phase III: Implementation
Step 12: Implementation of REDD+ Strategy
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Step 13: Application of ESMF
The current road map is associated with a timeline of 2012/2013 for phase 1, 2013/14 for
phase 2 and post 2014/15 for the implementation phase. This timing may be accelerated if
desired, e.g., the need to move forward towards fulfilling the necessary institutions, systems
and mechanisms for Kenya’s participation in REDD+. The first phase has been completed and
the World Bank FCPF financial support being considered to the Kenya Government for SESA
in 2013/2014 is for activities within phase II.
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Table 1: SESA Road Map – specification of Actions/Activities to be conducted
Step 1: Determination of Coordination and Management Arrangements of SESA in REDD+ National Readiness
Objective: Determine how SESA will be implemented and coordinated
Key Result: Institutional arrangements for SESA implementation identified and put in place
Actions/Activities:
Organization/institutional assessment
National readiness meetings
Institutional stakeholder capacity building on SESA
Methodology:
Mapping
Meetings and workshops
Responsibility: REDD+ National Focal Point
Status: Thematic working Group on SESA has been established and is operational. Step accomplished
Step 2: Preparation of SESA ToR and recruitment of a SESA Coordinator
Objective: Establish Terms of Reference to guide the implementation of SESA and hire a SESA coordinator
Key Result: SESA ToRs prepared and a SESA Coordinator recruited
Actions/Activities:
Securing the support from relevant government agencies,
Setting the objectives of the SESA and drafting of ToRs,
Identify stakeholders and interested groups.
Recruitment of SESA coordinator
Methodology:
Meetings and workshops
Print media advertisement
Responsibility: REDD+ National Focal Point
Status: SESA ToRs have been finalized and a SESA Coordinator recruited. Step accomplished
Step 3: Establishment of a SESA Road Map to implement SESA ToRs
Objective: Establish a clear road map to implement SESA Key Result: SESA Road map established
Actions/Activities:
Identify REDD+ Readiness documents requiring to be subjected to SESA
Discussions with National REDD+ Coordinator to identify the on-going REDD+ work especially the one that is relevant to SESA and status
Prepare a draft road map showing step by step SESA actions and requirements to implement SESA,
Consultation with the National REDD+ Coordinator Safeguards Information System and SESA Working Group
Methodology:
Meetings with members of Safeguards Information System and SESA Working Group/National REDD+ Focal point
Document review
Multi Stakeholder Validation workshop with members of Safeguards Information System and SESA Working Group
Responsibility: SESA Coordinator and REDD+ National Focal Point
Status: A draft Road map awaiting validation by the Safeguards Information System and SESA Working Group prepared, which is slated for September 2013
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Step 4: Scoping
Objective: Establish the content of SESA Key Result: A SESA Scoping Report
Actions/Activities:
Identify and prioritize key issues to be addressed
Identify relevant criteria for assessment
Conduct stakeholder analysis/mapping
Identify clear roles for the SESA Coordinator, SESA team and SESA and REDD+ strategy working groups
Methodology:
Extensive stakeholder consultation
Document review
Multi Stakeholder Validation workshop with members of Safeguards Information System and SESA Working Group
Responsibility: SESA Coordinator and REDD+ National Focal Point
Status: Not implemented
Step 5: Development of a clear communication and participation mechanism to implement SESA
Objective: Establish a SESA Specific outreach, communication, and consultative mechanism as guided by the National Consultation and Participation Plan (C&P)
Key Result: SESA Outreach and participation mechanism established and implemented
Actions/Activities:
Implementation of ToRs on information and communication strategy which have been finalized
Feedback consultative meetings on SESA C & P with members of Safeguards Information System and SESA Working Group
Identification of stakeholders to be consulted and means of engagement
Identification of communication/outreach tools, e.g policy briefs, brochures etc
Create appropriate institutional linkages between different sectors
Implementation of the communication and participation mechanism
Methodology:
Meetings with members of Safeguards Information System and SESA Working Group/National REDD+ Focal point
Document review
Stakeholders mapping
Engagement of media
Use of communication materials
Responsibility: SESA Coordinator and Communication and Stakeholder Engagement Working Group:
Status: Not implemented
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Step 6: Identification/prioritization of drivers of deforestation and definition of environmental and social issues and priorities in relation to them
Objective: Conduct thematic studies to fill information gaps Key Result: Drivers of deforestation prioritized and environmental and social issues and priorities in relation to the drivers defined
Actions/Activities:
Contract and carry out special studies
Identify and prioritize drivers of deforestation
Identify key environmental and social issues in relation to the drivers
Methodology:
Contracts
Report/document review
Stakeholders meetings and workshops
Responsibility: REDD+ Focal Point, consultants and REDD+ strategy working group
Status: Several studies have been conducted or are underway:
Study on forest sector background completed
Forest cover map to support forest cover change and monitoring has been finalized
A study has been completed on drivers of deforestation and forest degradation.
Charcoal value chain analysis has been completed.
Carbon rights and benefit sharing assessment as well assessment on REDD+ corruption risks has been commissioned
Study on domestic wood demand and supply has been commissioned and will be completed in June 2013
Study on development of appropriate forest management systems including grazing in Kenya’s drylands as REDD+ strategies is being carried out.
Step 7: Assessment of proposed REDD+ Strategy options/Gap assessment
Objective: Assess the capacity gaps in delivering the proposed REDD+ strategy options in relation to the priorities defined in step 5 above
Key Result: Legal/Regulatory/policy/institutional capacity gaps to manage the above priorities identified and recommendations made
Actions/Activities:
Identify appropriate safeguards needed in management of the priorities
Identify Legal/Regulatory/policy/institutional capacity gaps
Methodology:
Report/document review
Responsibility: SESA Coordinator and SESA team
Status: Not implemented
Step 8: Assessment of environmental and social risks and potential impacts of proposed REDD+ Strategy options
Objective: Assess environmental and social risks and potential impacts of proposed REDD+ Strategy options defined in step 5 above
Key Result: Environmental and social risks and potential impacts of proposed REDD+ Strategy options identified
Actions/Activities:
Identify impacts of proposed strategies on national and international safeguards
Identify key environmental and social key issues of concern to particular category of stakeholders
Identify stakeholder platforms for stakeholder engagements
Develop approaches for stakeholder engagement/consultation
Methodology:
Report/document review
Stakeholders mapping
Stakeholders workshops at sub national and national levels
Responsibility: SESA Coordinator and SESA team
Status: Not implemented
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Step 11: Development of SESA Report
Objective: Prepare SESA report outlining activities undertaken and outcomes Key Result: SESA Report
Actions/Activities:
Identify the key issues emerging from the SESA analyses and consultations.
Describe the policy, legal, regulatory, institutional, and capacity gaps to implement REDD+ and to manage the key
Methodology:
Report/document review
Multi-stakeholder workshop
Step 9: Refine strategy options based on feedback
Objective: Refine existing and/or generate new REDD+ strategy options Key Result: REDD+ Strategy options taking into account social and environmental considerations developed
Actions/Activities:
Identify policy, legal and institutional adjustments needed to address policy, socio economic, institutional and political issues identified in step 7.
Identify appropriate strategy options for the adjustments
Identify potential risks and impacts of proposed adjustments in delivering the strategy options, interventions and projects within the REDD+ strategy.
Methodology:
Report/document review
Meeting/Workshop with Safeguards Information System and SESA Working Group and the National REDD+ Technical Working Group
Multi stakeholder national validation workshop
Responsibility: SESA Coordinator, SESA team and REDD+ strategy working group
Status: Not implemented
Step 10: Development of ESMF
Objective: Prepare ESMF consistent with the applicable safeguards Key Result: ESMF developed
Actions/Activities:
Identify impacts of proposed strategies on national and international safeguards
Identify potential risks and safeguard issues to future REDD+ investments and arrangements for implementation of specific activities
Identify institutional needs within the National Readiness arrangements
Formulate a policy framework to address key environmental and social impacts, and for addressing institutional and governance weaknesses.
Methodology:
Review of institutional capacities
Stakeholders workshops at sub national and national levels
Multi-stakeholder validation workshop
Responsibility: SESA Coordinator and SESA team
Status: Not implemented
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environmental and social issues relevant to REDD+ as outlined by SESA.
Present recommendations for REDD+ policy design, implementation, and monitoring and evaluation (including legal and policy reforms) based on the results of the SESA.
Identify any gaps in knowledge where additional data-gathering and analysis may be needed.
Presentation of the SESA report to stakeholders
Responsibility: SESA Coordinator
Status: Not implemented
Step 13: Application of ESMF
Objective: Outline mechanisms and processes to implement the REDD+ Strategy
Key Result: ESMF under implementation
Actions/Activities:
Prepare and implement site specific impact mitigation/management plans for specific projects, activities, policies and regulations related to REDD+ strategy implementation
Methodology:
(to depend on identified strategy options)
Responsibility: The REDD+ National Coordinator and REDD+ National Technical Working Group in consultation with relevant stakeholders (for monitoring)
Status: To be implemented upon completion of steps 1 to 10 above
Step 12: Implementation of REDD+ Strategy
Objective: Outline mechanisms and processes to implement the REDD+ Strategy
Key Result: REDD+ Strategy under implementation
Actions/Activities:
Implement proposed strategy options, activities and policies and regulation,
Pursue any additional policy and institutional reforms as needed
Methodology:
(to depend on identified strategy options)
Responsibility: The REDD+ National Coordinator and REDD+ National Technical Working Group in consultation with relevant stakeholders (for monitoring)
Status: To be implemented upon completion of steps 1 to 10 above
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SECTION 5: STATUS OF CURRENT ACTIVITIES, PREVIOUS WORK AND SUGGESTED
APPROACHES
Status of REDD+ process in Kenya
Kenya is in the process of implementing its R-PP following its approval in 2010. In Kenya, REDD+ is implemented through coordination from the Ministry of Environment, Water and Natural Resources by a REDD+ Technical Coordination officer recruited in March 2012. At the policy level, a Steering Committee has been established. Under the Steering Committee, a National REDD+ Technical Committee has been established to play an advisory role. Six thematic working groups have also been established to drive the REDD+ implementation process. These are:
1. Policy and Institutional Working Group: The group is addressing issues relating to Policy review and harmonization, forest law enforcement, Institutional roles and responsibilities, accountability, transparency, carbon rights, external linkages with other government agencies, etc.
2. REDD+ Strategy Development Working Group: The group is supporting analysis of the measures that will inform the design of the strategy. Other duties include creating linkages between REDD Coordination Body and the National Climate Change Response Strategy (NCCRS) implementation Body, and other Ministries which are expected to play key roles in REDD implementation and whose policies will be positively impacted by a successful REDD+ implementation.
3. Safeguards Information System and SESA Working Group: The Group will play an advisory role in the implementation of phase II (i.e implementation of SESA). This will include providing advice on terms of relevance for SESA, providing an oversight role in implementation of SESA. Membership of this group is comprised of National Museums of Kenya (NMK), Ministerial of Environment, Water and Natural Resources, Water Resources Management Authority (WRMA), Kenya Forests Working Group (KFWG), National Community Forest Association (NACOFA), MPIDO, National Environment Management Authority (NEMA), Kenya Forest Service (KFS), Forest Action Network (FAN), World Wide Fund for Nature (WWF), World Conservation Union (IUCN), Kenya Wildlife Service (KWS) and United Nations Development Programme (UNDP).
4. MRV and Monitoring System Working Group: The Group will support development of a Forest Reference Emission Level/ Forest Reference Level and a Forest Monitoring system that will support implementation of REDD+.
5. Financing and Benefit Sharing Working Group: The role of this group will be to secure a comprehensive understanding of the financial flows that will take place between public and private, central, county and local actors in the implementation of the R-PP to aid in designing financial mechanisms for the full scale REDD+ national strategy. Key tasks will involve discussions on how cost and benefit sharing rules will apply to REDD+ activities, how the policies or measures that require new fiscal measures such as taxes, subsidies, levies, etc. will need to proceed and what
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requirements exist to establish Fund mechanisms to which participants of a program can apply
6. Communication and Stakeholder Engagement Working Group: Stakeholder Consultation and Participation is intended to increase the inclusiveness, transparency and accountability of decision-making processes during preparatory work leading to REDD+ readiness and REDD+ readiness implementation. Stakeholders also have to be involved to ensure that REDD+ program respect the rights of various stakeholders in compliance with relevant international obligations and instruments.
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Annex 1: TOR for the Strategic Environmental and Social Assessment
(SESA) of Proposed REDD+ Programs and Activities
PRINCIPLES AND OBJECTIVES The REDD+ Readiness process should ensure that implementation of proposed programs and activities will not cause undue adverse social and environmental impacts, while striving to enhance benefits for local communities and the environment. Countries participating in Readiness activities with support from the FCPF are required to undertake a Strategic Environmental and Social Assessment (SESA) to assess the potential impacts from national REDD+ programs and strategies, formulate alternatives and develop mitigation strategies. SESA offers a platform for consultation to integrate social and environmental concerns into the policy-making process of REDD+. SESA is complemented by an Environmental and Social Management Framework (ESMF), which establishes the principles, guidelines, and procedures for reducing, mitigating, and/or offsetting potential adverse environmental and social impacts, enhancing positive impacts and opportunities, and otherwise guiding potential investments towards compliance with relevant safeguards. The SESA is a tool that seeks to integrate social and environmental considerations into policy-making processes, leading to more sustainable REDD+ strategies. It supports the design of the national REDD+ policy framework, including the National REDD+ Strategy. The SESA process should:
Identify the social and environmental risks as well as opportunities from proposed strategies to reduce deforestation and degradation as they emerge from analytical work.
Involve primary stakeholders in identifying key social and environmental issues related to REDD+. This will include affected groups and local non-governmental organizations, as early as possible.
Assess the options that promote sustainable natural resource management and have positive impacts on local communities as they emerge from analytical work.
Where strategies adversely could affect the environment or local communities, identify alternatives to the proposed strategies and/or mitigate negative social and environmental impact.
Provide a gap analysis of Kenya’s institutional and governance capacity to address adverse effects as they emerge from analytical work.
Discuss recommendations to address key environmental and social impacts, and for addressing identified institutional and governance weaknesses.
DESIGN: HOW SESA RELATES TO THE REDD+ READINESS PROGRAM AND ESMF The SESA concept combines analytical work with participatory approaches, which are implemented in iterative fashion:
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The analytical component which aims to improve understanding of REDD+ related issues including environmental and social risks.
Participatory approaches aim to integrate environmental and social considerations into different levels of strategic decision-making.
The following activities proposed to be undertaken under the Kenya REDD+ readiness process are relevant to a SESA:
Analysis of the drivers of deforestation from a development perspective, incorporating demographic change and other economic parameters;
Screening of options for priority investments needed to reduce deforestation and forest degradation and increase of forest carbon stocks.
Identification of activities within the country that result in reduced emissions and increased removals, and stabilization of forest carbon stocks.
Assessment of gaps in policy and regulatory framework for REDD+ and identification of options for improvement;
Capacity building of institutions and stakeholders;
Consultation and outreach to cover all actors including Indigenous Peoples. One of the key outputs of the SESA will be the ESMF which will guide investments in REDD+ Activities as guided by UNFCCC and World Bank safeguard policies. SCOPE OF WORK A. Start-off meeting by the Safeguards Information System and SESA Working Group to agree on the final TORs for the SESA and ESMF, clarify the process, scope and sequences of the work. This meeting took place early 2013. B. Based on the situational analysis of proposed REDD+ strategies the SESA team will analyze selected key issues with a view to:
Identifying key issues and assessment of key stakeholders;
Assessment of issues and options related to land tenure and land rights, conflict resolution mechanisms, IPs and forest adjacent communities, natural resource management and equitable distribution of benefits;
Assessment of policy and institutional gaps for addressing environmental and social risks
Identification and prioritization of issues to be addressed in REDD+ strategies. Two consultation processes involving workshops are planned once the relevant information has been gathered. 1. Present preliminary findings on Environmental & Social risks and gaps from the
assessment work and analytical work undertaken. The preliminary findings will be presented to the stakeholders to stimulate a discussion and further enrich the document;
2. Conduct transparent consultation at national level and county level on a number of core environmental and social issues identified involving representatives of key stakeholders and interest groups. The consultation will be used to prioritize key environmental and social issues and discuss mitigation options.
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C. Develop a Final SESA Report that provides the findings and recommendations that have emerged from the SESA process. This is a discrete activity which can be conducted after conclusion of SESA if so needed. This report would, at a minimum, specify the following components which should be achieved by SESA:
1. Identify the key REDD+ social and environmental risks emerging from the SESA analyses and consultations.
2. Based on analyses and consultations, describe the policy, legal, regulatory, institutional, and capacity gaps to implement REDD+ and to manage the key environmental and social issues relevant to REDD+.
3. Identify options that promote sustainable natural resource management and have positive impacts on local communities. Where policies or activities adversely affect the environment or local communities, identify alternatives to the proposed strategies to mitigate negative social and environmental impact.
4. Present recommendations for REDD+ policy design, implementation, and monitoring and evaluation (including legal and policy reforms) based on the results of the SESA.
5. Formulate policy recommendations for a policy framework to address key environmental and social impacts, and for addressing institutional and governance weaknesses.
6. Identify any gaps in knowledge where additional data-gathering and analysis may be needed.
7. Prepare an Environmental and Social Management Framework (ESMF). The ESMF would apply to future REDD+ activities in the country financed through UNFCCC, the FCPF, UN-REDD or by other Donors willing to use the safeguards governing programs developed under the three processes.
Methodology According to the scope of work, the ToR outlines a SESA process which should be followed in delivering the required work. The SESA process includes six stages, namely,
1. Preparation for the SESA; 2. Collecting and analyzing baseline; 3. Scoping; 4. Developing alternatives; 5. Assessing the alternatives; 6. Developing management and monitoring plans.
The six stages of SESA process may have to be followed in an iterative manner. However, the SESA Task Team shall maintain all assessment activities systematically and consistently. 1. Preparation for the SESA; Preparation works include finalizing the SESA ToR; securing the support from relevant government agencies, setting the objectives of the SESA, identify stakeholders and interested groups. During this stage, the SESA team should also be able to establish a basic understanding of the current situation regarding REDD+ strategies in Kenya, their linkages with other relevant policies/regulations, as well as environmental and social development objectives. 2. Collecting and analyzing baseline data
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Based on the understanding of the context, the SESA Task Team will start collecting and analyzing the baseline information that is necessary to identify the relationship between REDD+ strategies and land use; existing environmental and social issues related to REDD+ strategies; policy and institutional gaps; and key stakeholders that are associated with these issues. This can be achieved by reviewing all previous studies carried out or other sources identified by the SESA Task Team. 3. Scoping The scoping process is to establish the content of the SESA, prioritize the key issues to be addressed, identify relevant criteria for assessment, and conduct stakeholder analysis/mapping. At this stage, extensive consultations shall be held with key stakeholders and interested groups. A scoping report should be prepared to record these findings to inform the remaining stages of assessment. 4. Developing alternatives and proposing mitigation measures With the input from scoping and adverse issues/risks identified, works at this stage will identify alternatives for the REDD+ strategies and proposing mitigation measures where alternatives may not be feasible. 5. Assessing the alternatives and mitigation measures This stage will conduct scenario analysis for the alternatives identified. The purpose of the analysis of these possible options is to inform the formulation of REDD+ strategies/strategies by identifying opportunities to enhance the benefit for local communities. This will also involve summarizing the key challenges/gaps in implementing new REDD+ strategies, and discussing possible trade-offs. The SESA Task Team will propose recommendations on the institutional capacity needed, formulation and implementation of REDD+ strategies. 6. Developing management and monitoring plans This stage will formulate an ESMF that will be implemented to follow-up on the recommendations and issues/risks found from the preceding stages. By the end of this stage, the draft SESA report, which includes the ESMF, will be formulated and consulted. INSTITUTIONAL SETTING FOR THE IMPLEMENTATION OF SESA AND ESMF The SESA will be undertaken by a multi-disciplinary team reflecting the necessary environmental, socio-cultural expertise and stakeholder participation. The team will work with the National REDD+ Coordination Office in carrying out the SESA. The SESA consulting team shall include at least one SEA expert, one environmental specialist, and one social specialist. The SESA team will be responsible for the following tasks among others:
1. Preparing detailed schedule of SESA process tasks ; 2. Deliver a scoping report for review by the National REDD+ Steering Committee; 3. Deliver final SESA report and ESMF for review and approval by the National REDD+
Steering Committee. Terms of Reference of Environmental and Social Management Framework
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BACKGROUND For all REDD+ Activities, it will be important to ensure that potential negative environmental and social impacts are minimized, while striving to enhance benefits for local communities and the environment. The ESMF will help to provide a comprehensive framework on how to address potential adverse social and environmental impacts for future UNFCCC, FCPF and WB financed REDD+ activities. The Environmental and Social Management Framework will describe the risks and potential impacts associated with projects and activities and will include adequate safeguard measures. A preliminary assessment has indicated that the following WB safeguards may be triggered by REDD+ related activities in Kenya:
Environmental Assessment (OP/BP 4.01)
Natural Habitats (OP/BP 4.04)
Forests (OP/BP 4.36)
Pest Management (OP 4.09)
Physical Cultural Resources (OP/BP 4.11)
Indigenous Peoples (OP/BP 4.10)
Involuntary Resettlement (OP/BP 4.12) PRINCIPLES AND OBJECTIVES The ESMF supports an examination of the risks and potential impacts associated with one or more projects or activities that may occur in the future. The Framework sets out the principles, guidelines, and procedures to assess environmental and social risks, and proposes measures to reduce, mitigate, and/or offset potential adverse environmental and social impacts and enhance positive impacts and opportunities of said projects, activities, policies and /or regulations The ESMF incorporates procedures for: (v) consultations with concerned stakeholder groups; (vi) capacity building measures; (vii) Environmental and social impact screening, assessment, and monitoring; and (viii) The inter-institutional arrangements for the preparation of time-bound action plans
for mitigating adverse impacts. ESMF will provide the overall framework for addressing social and environmental risk management issues in REDD+ activities that are implemented beyond the readiness preparatory work. The measures recommended by the ESMF apply to future REDD+ interventions financed by the World Bank as well as by the Government or other Donors willing to use World Bank safeguards. ESMF DEVELOPMENT The development of the ESMF will take into account the analytical outputs of the SESA processes, in particular the description of environmental and social risks related to REDD+. CONTENT OF THE ESMF The ESMF will include the following main elements:
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1. A description of the potential risks and safeguard issues for future REDD+ investments. In particular, it will include a description of:
i. Indicative REDD+ strategy option(s), its main social and environmental considerations, and the various risks involved in its implementation;
ii. legislative, regulatory, and policy regime (in relation to forest resources management, land use, indigenous rights, etc.) that the REDD+ strategy options will be implemented within;
iii. potential impacts, both positive and negative, deriving from future activities associated with the implementation of the emerging strategy, and the spatial distribution of these impacts;
iv. Arrangements for implementing the specific activities.
2. A description of the particular institutional needs within the National Readiness Management Arrangements for implementing the ESMF. This should be based on a review of the authority and capability of institutions at different administrative levels (e.g. local, district, provincial/regional, and national), and their capacity to manage and monitor ESMF implementation. The analysis should draw mainly from the R-PP and may extend to proposed laws and regulations, new agencies or agency functions, staffing needs, inter-sectoral arrangements, management procedures, operation and maintenance arrangements, budgeting, and financial support.
3. An outline of capacity building actions for the entities responsible for implementing the ESMF.
4. Requirements for technical assistance to public- and private-sector institutions, communities, and service providers to support implementation of the ESMF.
5. An outline of the budget for implementing the ESMF. 6. Provisions for Monitoring and Evaluation 7. Dispute resolution mechanism Preparation of a final draft ESMF The final draft will have to be consistent with and contain specific sections addressing the requirements of applicable safeguard policies. These sections will draw on information generated by the SESA and will take the form of free-standing chapters within the ESMF that will resemble the frameworks provided for in the policies themselves, including: 1. Environmental Management Framework (EMF) to address any potential environmental impacts and necessary mitigation measures; 2. Resettlement Policy Framework (RPF) to address any potential land acquisition and/or physical relocation, as required by the World Bank Involuntary Resettlement policy (OP 4.12); 3. Process Framework (PF) for situations of restriction of access to natural resources within legally designated parks and protected areas, as required by the World Bank Involuntary Resettlement policy (OP 4.12); and 4. Indigenous Peoples Planning Framework (IPPF) as required by the World Bank Indigenous Peoples policy (OP 4.10). Public consultations on the ESMF will be integrated into the FCPF consultation processes in the country. Consultations should extend from the national level to the lowest level where site-specific projects and activities, if any, will be proposed, and implemented.
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CONSULTANT QUALIFICATIONS AND EXPECTED LEVEL OF EFFORT The ESMF will be prepared by a multi-disciplinary team reflecting the necessary environmental and socio-cultural expertise. The team will be expected to manage the preparation of both the overall ESMF and each of its separate sections. The team will be familiar with World Bank environmental safeguards policies, and have demonstrated experience in successfully meeting these qualifications.
