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
 Are safeguards being watered down?

• 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
 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
What is the objective of SESA & Safeguards?

• 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
 Key SESA steps/components

• Determine applicable policies

• Conduct diagnostic work
• Discuss with key stakeholder groups
• Design Environmental and Social Management
Frameworks (ESMF)
• Reinforce capacity
Phase 1: Proposal Formulation

Assessment of R-PP

DETERMINE Phase 2: Preparing for Readiness

APPLICABLE Assessment of R-Package
POLICIES
Implementation

ANALYSIS OF ENVIRONMENTAL
AND SOCIAL CONTEXT

CONSULTATION AND PARTICIPATION

ENVIRONMENTAL AND SOCIAL

MANAGEMENT FRAMEWORKS

REFORMS AND INSTITUTIONAL

STRENGTHENING
 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
Country selection & R-PP assessment & Confirmation of R-Package Action by PC
$200k grant $3.4m allocation need for remaining assessment
allocation $1.4 m

R-PP assessment (‘Concept Mid-term review (‘Quality

Review’ meeting) Enhancement Review’ R-Package assessment
meeting) (‘Decision’ meeting) Action by WB
R-PIN Review

Action by TAP ?
R-PIN review R-PP review R-PP review Action by TAP
R-PP Progress ER
R-PIN R-PP Report R-Package Program Action by Country

• Stakeholder analysis Strategic component ESMF component

• Prel. Identification &analysis. of • Situation analysis • Impact assessment Emission Reductions
key issues • Identification of Env/Soc priorities • Formulation of ESMF
• Gap analysis •Monitoring Framework
Payment Agreement
($20m)
• Determine EIA category
• Det. applicable policies (prel.) • Instit., policy, legal adjustments for
the REDD strategy

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

Phase 1: Proposal IMPLEMENTATION

Phase 2: Preparation for Readiness
Formulation (Carbon Fund)