Strategic Environmental And Social . - World Bank Group

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DraftEuropean Neighborhood and Partnership Instrument East CountriesForest Law Enforcement and Governance II ProgramStrategic Environmental and Social Assessment Framework(SESAF)May 16, 2013Prepared by S. Adler, PhD1

Contents1. Summary . 32. ENPI FLEG II Program . 43. Scope and objectives of the Strategic Environment and Social Assessment Framework . 64. Forestry policy documents (policies/laws, programs and plans) and their potential environmentaland social impact. 75. The phases and steps of Strategic Environmental and Social Assessment of forestry policydocuments . 145.1 Overall procedure for conducting SEA. 145.2 SEA steps and activities . 165.2.1 Phase A – Screening. . 165.2.2 Phase B – Scoping. . 185.2.3 Phase C - Conducting SEA and preparing its report. 195.2.4. Phase D - SEA Report Review and decision making. . 245.2.5 Phase E: Draft SEA Report disclosure and public participation. 265.2.6 Phase F - Follow-up. . 306. World Bank’ Operational Policies and their main requirements with a focus on their implicationsfor the forestry sector . 317. Main provisions of the relevant EU Directives. 358. Institutional arrangements and capacity building . 379. SESAF disclosure and consultation . 38Annex I. 39Annex II . 41Annex III . 51Annex IV . 582

1. SummaryProgram scope and objectives. The European Neighborhood and Partnership Instrument East CountriesForest Law Enforcement and Governance II Program (ENPI EAST COUNTRIES FLEG II PROGRAM)will support the participating countries (Armenia, Azerbaijan, Belarus, Georgia, Moldova, RussianFederation and Ukraine) in strengthening forest governance through improving implementation of relevantinternational processes, enhancing their forest policy, legislation and institutional capacity, and developing,testing and evaluating sustainable forest management models at the local level on a pilot basis for futurereplication. The main development objectives of the Program are aimed to make progress in implementingand reviewing policies documents, in testing and demonstrate the best practices for sustainable forestmanagement. The Program consists of regional, national and sub-national components supporting thecontinuation of Phase I activities, organizing joint meetings during the Program implementation, promoting agood investment climate and a credible private sector operators, maintaining a high-quality Internet site inEnglish and Russian and other Program’s activities as described bellow in the special section.Program environmental category and its environmental assessment. According with the Bank’ SafeguardOperational Policies and taking into account the potential environmental and social issues and impacts(positive and negative) associated with forest management policies, legislation and practices, it was agreedthat the Program will be rated as Category B. It was also decided as the Program would support designingforestry policy documents and not investment operations the appropriate EA instrument would a StrategicEnvironmental and Social Assessment Framework (SESAF). The SESAF should be prepared taking intoaccount the following WB OPs that the Program triggers: Operational Policy (OP 4.01): EnvironmentalAssessment; World Bank Policy on Disclosure of Information (combined with BP 17.50); Operational Policy(OP 4.04): Natural Habitats; Operational Policy (OP 4.09): Pest Management; Operational Policy (BP 4.11):Physical Cultural Resources; Operational Policy (OP 4.12): Involuntary Resettlement; Operational Policy(OP 4.10): Indigenous Peoples.Strategic Environment and Social Assessment Framework (SESAF) its scope and objectives. The main scopeof the document is to ensure all draft of Policy, Program and Plan (PPP) documents to be prepared under theProgram will follow the SEA process. The PPPs will be assessed from environmental and social points ofview and with the proposed necessary mitigation, monitoring and supervision activities in each of the sevenparticipating countries in view of improving the sustainable management of the forests. This will assist theparticipating countries to prepare the policy documents that would be consistent with the WB safeguardspolicies. Furthermore, as specified in the SESAF, per WB requirements, the SEA Reports will be disclosedand consulted in the countries.Potential Environmental and social impacts. The potential environmental and social impacts of differenttypes of Forestry Sector Policy documents, such as: concepts, strategies, regulations/laws, programs, plansand projects, are mostly indirect and cumulative. They are described in a special table that might facilitate theanalysis of the direct and indirect, positive and negative environmental and social impacts on each categoryof in country forestry policy documents.Strategic Environmental Assessment (SEA) phases and concrete steps. The SESAF document presents indetails all stages of the SEA process along with roles and responsibilities of involved stakeholders, includingthe procedures of the SEA disclosure and public consultation. During the screening phase it is decided if aPPP falls or not under the SEA regulatory frame, being followed by the scoping phase that defines theboundaries of investigation, assessment and assumptions required by a PPP. Within the phase of conductingimpact assessment and preparing its report the SESAF specified main requirements for preparing BaselineScenario; Identifying Social and Environmental Impacts, designing mitigation and monitoring activitiesalong with implementing arrangements.3

A special attention in the SESAF is given to disclosure, public participation and consultation in the SEAprocess, which should start at early stage of the screening process and is extended up to the moment whenthe decision on the PPP is taken. The last phase of the SEA process is related to proposed follow-up activitiesin terms of monitoring mechanisms, evaluation and reporting on the PPP implementation.Institutional arrangements and capacity building. As in all participating countries at the moment there is noin place special legal procedures for a SEA process, the formal review of the prepared policy documentswould be done by the IOs (WB, IUCN and WWF) Safeguards Specialists who will be also responsible forthe following: performing the screening phase in order to identify the forestry policy documents which needto be considered under the SEA process; based on the WB’ Operational Policies, making recommendationsduring the SEA process; performing control of the way of development for SEA process; organize andensure the public participation in all SEA phases, which request this; revising of the documents; reporting tothe WB. The SESAF specifies also the role and responsibilities of the WB FLEG II Safeguards Specialistwhich should: (a) oversee the implementation of the SESAF and ensure high quality of conducted SEA; (b)provide his conformation on the categorization of the proposed PPP activities within the Program; (c)provide, if needed advises on SEA for supported PPP; (d) ensure SESAF disclosure in the Infoshop; (e)provide training to interested parties as specified above. The IOs Safeguards Specialists should also informabout the SEA of supported PPP the National Program Advisory Committee (NPAC) which represents allkey forestry stakeholders in the participating countries. In order to build capacities with regard to safeguardsissues, at the initial stage of the FLEG II implementation a special training will be delivered to IUCN andWWF Safeguards Specialists as well as to NPAC members from all participating countries. The curricularfor the training along with timing and needed financial resources are presented in the Annex IV.SESAF disclosure and public consultation. Will follow the World Bank Policy on Disclosure of Informationand it will summarize the results of document’s disclosure and consultation done in all participating countriesand how the comments and recommendations have been addressed.2. ENPI FLEG II ProgramThe ENPI FLEG II PROGRAM will support strengthening forest governance through improvingimplementation of relevant international processes, enhancing their forest policy, legislation and institutionalarrangements, and developing, testing and evaluating sustainable forest management models. This is thesecond phase of the Program and is implemented in partnership between the EU and the World Bank toimprove forest governance and law enforcement in the ENPI-East countries. Phase I was implemented from2008-2012 in collaboration with IUCN and WWF. The same arrangement will be used to implement PhaseII.The main scope of ENPI-FLEG is to create processes to address the complex and politically sensitive issuesassociated with illegal logging, timber and forest resource degradation, smuggling, and trade of illegal timberand wood fuel products at the national and regional levels. Development of new Forest Sector Policies alongwith legal and institutional reforms will include a diverse collection of studies, researches, analyses, andproposed actions within and across the participating countries. Specific detailed work plans for Phase II willbe prepared during a six-month Inception Phase of the Program. During this phase, country teams willreview performance and achievements in individual activities carried out during Phase I. The overallapproach will be to focus on fewer but larger high-impact activities that have proved their relevance andimpact during Phase I.The three specific Development Objectives of Program are to:4

make progress in implementing the 2005 St. Petersburg FLEG Ministerial Declaration in theparticipating countries and support the participating countries in committing to a time-bound actionplan in order to ensure its implementation and follow-up activities (regional level); review or revise (or establish a time-bound action plan to review or revise) forest sector policies andlegal and administrative structures; improve knowledge of and support for sustainable forestmanagement and good forest governance (including the impact of related EU regulations) in theparticipating countries (national level); and, test and demonstrate best practices for sustainable forest management and the feasibility of improvedforest governance practices at the field-level on a pilot basis in all participating countries (subnational level).The Program has several components:Component 1: Regional Program will focus on: strengthening the policy dialogue between participating countries and institutions regarding the 2005St. Petersburg Declaration by organizing thematic meetings on FLEG issues of shared interest, monitoring the implementation of the St. Petersburg Declaration in the participating countries throughstakeholder reporting and preparation and regular up-dating of tracking tables on implementation ofthe declaration; identifying areas of the St. Petersburg declaration where implementation needs morefocus and support, conducting regional studies and developing publications in the framework of the 2005 St. PetersburgDeclaration, and providing regional support to the implementation of the FLEG country work plans based on partnergovernment requests, developing a communications strategy prepared in accordance with the EC’s Communication andVisibility Manual, and the World Bank’s Access to Information Policy, to develop and maintain theENPI FLEG corporate branding and to ensure that relevant participants and stakeholders areprovided with consistent up to date Program information, contributing to communication activities inorder to promote regional and national activities developed within the framework of 2005 St.Petersburg Declaration, maintaining a high-quality Internet site in English and Russian on state ofthe art forest sector governance and reform. Country work Programs (cf. paragraph ) may also havetheir own, national and local communication activities, and regional coordination of the program through annual meetings of the ENPI FLEG focal points, donorsand implementing organizations.Component 2: National and Sub-National Program will focus on:a) National Level: supporting, continuation from Phase I, the formulation and implementation of forest policy, legal,administrative and institutional reforms on the national and sub-national levels, promoting a good investment climate for credible private sector operators, providing capacity building, training and advice on administrative/institutional reforms and on forestgovernance issues more directly, liaising and co-operating with forest sector experts from EU member states, and Formulating national work plans and ensuring compliance with safeguards.b)Sub-national and Local Program: providing support on forest governance techniques (e.g. legal knowledge, technical knowledge ofoffences, how to document forest crimes, detection techniques etc.), to enable forest staff ensure lawenforcement, documenting and communicating concrete local results on forest governance and forest lawenforcement (e.g. local dedicated websites, hotlines etc.), supporting the use of modern technology (timber tracking, GPS, and other ICT) through pilotactivities addressing FLEG issues,5

involving local communities in policy development and in sustainable forest management as well asproviding the appropriate information which is accessible, easy to use and relevant for local decisionmakers, and increasing public awareness and participation.Component 3: Program Management will consist of: overall management of the Program, ensuring compliance with World Bank and EU safeguard policies and directives, quality control of Program deliverables, Program reporting and monitoring of the results framework indicators, and organizing joint meetings for national focal points and other Program-level coordination events (suchas Program Management Team tele-conferences, quarterly video conferences between theimplementing partners and, as required, the relevant EU delegations), exchange of informationbetween the participating countries and planning and coordination of national work plans.3. Scope and objectives of the Strategic Environment andSocial Assessment FrameworkGiven the wide range of environmental and social issues and potential impacts (positive and negative)associated with forest management policies, legislation and practices, it was agreed that this Program will berated as Category B. These impacts would not site-specific, mostly indirect and cumulative. As part of thedue diligence activities for the program, it was agreed that the appropriate instrument for identifyingenvironmental and social issues and potential impacts associated with forest management policies,legislation, programs and plans would be the Strategic Environment and Social Assessment Framework(SESAF). The overall objective of this document is for the outputs of all supported by the project draft lawsand policies, programs and plans (PPP documents) to be consistent with the WB Safeguards Policies. Thescope of the SESAF is to ensure all PPPs will be assessed from environmental and social aspects andnecessary mitigation, monitoring and supervision activities are integrated in the proposed documents in viewof improving the sustainable management of the forests.The SESAF document will guide the PPP assessment and would identify the types of environmental andsocial issues which can be expected to be associated with the types of policy/legislative/institutional reformswhich the project will support, providing guidance on how these aspects should be integrated into theanalytical and decision-making processes as well as how to organize an effective stakeholder participation.This will assist the participating countries to prepare the forestry PPP documents that would be consistentwith the WB safeguards policies.The SEA process helps to integrate environmental and social considerations into decisions that relate topolicies, laws, plans and programs. It brings an element of objectivity to the evaluation of different optionsand to encourage more open and transparent decision making by engaging all interested parties(stakeholders). Its aim is to identify opportunities for enhancing environmental and social outcomes and tominimize adverse effects of change, and to make recommendations for capacity building and governancereform. Its outputs would include a policy matrix identifying practical measures that will help to secure itsrecommendations, and in setting out time scales, milestones, and responsibilities for action. The SEA processwould: (a) Enhance the systematic approach to policy, planning and programme processes, making themmore rigorous and transparent; (b) Improve good governance; build public trust and confidence in decisionmaking; and (c) Help to achieve the procedural component of decision making for environmentally soundand sustainable development.6

Because of the nature of potential issues associated with forest management, the following of the WBSafeguards Operational Policies should be taken into consideration and reflected in the SESAF document:Environmental Assessment (OP-4.01); Consultation and Disclosure Procedure as set up in EA Policy OP4.01 and see also BP-17.50; Forests (OP-4.36); Involuntary Resettlement (OP-4.12); Indigenous People (OP4.10); Pest Management (OP-4.09); Physical Cultural Resources (OP-4.11); Natural Habitats (OP-4.04).These triggered WB’ Safeguards Operational Policies are presented in Annex I of this document.The SESAF document was prepared based on the analysis of many SEA Guiding documents and publication,as well as on the texts of mentioned WM Operational Policies and taking into account several studies donewithin the WB operations - all of used documents and publications are presented in the Annex I.Further advice and information on the role and application of a

May 16, 2013 · management and good forest governance (including the impact of related EU regulations) in the participating countries (national level); and, test and demonstrate best practices for sustainable forest management and the feasibility of improved forest governance practices at the field-le