TORSESA Indonesia 25Juni2010
Terms of Reference (ToR)
STRATEGIC ENVIRONMENTAL AND SOCIAL ASSESSMENT
(SESA) - Indonesia
Introduction about SESA
Strategic Environmental and Social Assessment or SESA is a tool that uses a
range of analytical and participatory approaches that aim to integrate
environmental and social consideration into policies, plans and programs and
evaluate the inter linkages with economic and institutional considerations
(SESA training, Nairobi 3-5 February 2010).
SESA has two components: the strategic assessment (SA) and the
Environmental and Social Management Framework (ESMF). The strategic
assessment addresses drivers of deforestation by applying ranges of analytical
tools as well as participatory processes. The assessments aim to develop
recommendations for institutional, policy and legal adjustment for the REDD
strategy that has been developed in the Readiness Plan Proposal of R_PP. The
ESMF addresses policies and legal adjustments as proposed by the strategic
assessment by looking at institutional, regulatory and capacity requirements. It
constitutes elements of baseline of social and environmental situations, potential
risks and impacts of proposed adjustments, interventions and projects within the
REDD strategy, scenario analysis, and institutional, policy, legal and capacity
requirements. The framework shall be developed to monitor and mitigate
potential risks of both social and environmental that might occur as the result of
REDD implementation strategy as has been formulated in the R_PP.
Links between SESA and R_PP
SESA may not be separated from the R_PP that identifies sources of
deforestation and forest degradation and proposes strategy to reduce emissions
from the sources. The R_PP outlines policy measures to tackle deforestation and
points out the importance of strengthening institutions and capacities to manage
forest resource in a sustainable manner.
Sources of deforestation and forest degradation vary, in general they may
originate from human activities or natural hazards of forest fire or prolonged
drought that result into fire. Often, deforestation and forest degradation may be
the result of combined sources, which may be difficult to separate its origin.
Conversion of forestland uses into non-forestry uses plays major roles, and that
may come from needs to develop the country. They include for developing
agricultural sector through expansion of crops plantation, establishment of new
settlement, for developing remote regions through infrastructure development,
1
or for utilizing mineral deposits inside forest areas. Deforestation may also be
the result of poor forest governance as reflected in the weak enforcement of law,
illegal practices and encroachment of forest areas.
Deforestation and forest degradation as stated in the R_PP may not be separated
from characteristics of the country that influence the country in governing,
including controlling the resource. The country is composed of many islands
that form an archipelago of which rich in diversity in terms of social- cultural
and economical conditions as well as bio-physical natural resources conditions
across the regions. Population pressure is considerably high while its density
differs across regions. The country applies a unified system of governance,
which is structured in a hierarchical of national government with 33 provincial
level of government and hundreds of autonomous district level government.
In implementing the REDD Readiness strategy, Indonesia establishes
Demonstration Activities (DA) in collaboration with other countries as well as
international agencies. Selection of the DA’s takes into consideration the
diverse forest condition in the country as well as conditions of socio-economic
and customary practices of community in particular who are living in the
vicinity of forest areas and use the forest to sustain their livelihood and improve
their well-being.
Based on the location and its collaborating partners, the DAs as has been
declared by the Ministry of Forestry could be presented as the following:
KFCP project (Kalimantan Forest Carbon Parnertship) at the Central
Kalimantan province in collaboration with the government of Australia;
GTZ project at the East Kalimantan province in collaboration with the
government of Germany;
TNC project at the East Kalimantan province supported by The Nature
Conservancy;
KOICA project at the West Nusa Tenggara province in collaboration with
the government of South Korea;
ITTO project at the East Jawa province supported by the International
Tropical Timber Organization;
UNREDD project supported by the UN agencies of UNEP, UNDP and
FAO;
In addition of those DAs other projects are also ongoing or under preparatory
stage.
The implementation of REDD Readiness strategy was supported by related
regulations, organizations as well as processes of consultation with key
stakeholders. On Demonstration Activities, the government issued ministerial
regulation of P.68/2008 signed by the Ministry of Forestry. In addition, the
2
Ministry also set procedures to reduce deforestation and forest degradation
through the regulation of P.30/2009. Working Group on REDD has been
established to facilitate REDD implementation processes within the Ministry of
Forestry. The processes for reducing emission resulting from activities of
various sectors are coordinated by The National Council on Climate Change of
DNPI. That body is supervised directly by the President of the country.
Stakeholder consultations were organized both at the national and sub-national
levels. The processes involve various parties to gather inputs from different
perspectives concerning the strategy and its implementation, and they were
documented in the R_PP. The documentation serves as a preliminary step to
prioritize ranges of issues raised by different groups which further need to be
taken into policy measures.
The implementation of REDD strategy all over the country has potential
impacts both socially as well as environmentally. The impacts may benefits
certain groups or certain location, but it may also bring risks that may be
detrimental for others. A set of proposed actions for conducting environmental
and social impacts assessments were identified in the R_PP, and they include
the following:
(i)
risks of REDD strategies/policies;
(ii)
environmental and socio-economic impacts of REDD;
(iii) potential additional benefits of REDD; and
(iv) trade-offs and risks of REDD to sustainable development.
The objectives of SESA for Indonesia therefore could be presented as the
following:
(i)
to identify the institutional arrangements and governance needed for
the implementation of REDD Readiness strategy;
(ii) to identify the social and environmental risks from REDD
strategies/policies; and
(iii) to outline possible mitigation options.
Outputs of SESA
The outputs of SESA are two-folds; in one hand it is expected to contribute in
identifying and minimizing potential risks that might be resulted from the
implementation of REDD policy. On the other hand, it is expected to contribute
in identifying and in capturing potential benefits of both social and
environmental impacts that might be delivered from the REDD policy.
SESA therefore shall assess some ongoing Demonstration Activities which have
been conducted in several locations. Selection of the ongoing DA shall
3
represent characteristics of social-economical of certain region as well as biophysical characteristics which are particular, such as the extent of peat land that
potentially has high contribution into forest emission. The selection of the DAs
shall encompass both characteristics so they will be able to represent diverse
conditions of Indonesia . Output of the SESA for Indonesia shall include but not
limited to the socio-economic profile of the DA, land tenure issues, legal and
policy review on REDD and Environmental and Social Management
Framework (ESMF).
The assessments shall cover issues related to land and forest uses being raised
by key stakeholders depicted from the locations of DAs, but also issues related
to the management of REDD+, such as distribution of REDD revenues. It shall
capture forest policy and governance as strategic component to tackle drivers of
deforestation at the DAs. Particular attention shall be given to roles of
community who use the forest traditionally and who need forest resource to
support their livelihood and how REDD may affect them. Among of these
groups are those who are living adjacent to the forests and the Indigenous
People (IP). Other attention shall also be given to the group who use forest
resources for commercial purposes.
The assessment of concrete REDD DP shall provide inputs for policy
recommendations at a national scale and that will be followed by a proposed
social and environmental management framework (ESMF) to monitor the
implementation of REDD strategy during REDD implementation phase, not
only in the assessed PD, but also in future PDs. The framework shall address
gaps concerning legal institutional, regulatory and capacity to manage social
and environmental risks. In addition, it shall outline applicable safeguard
policies. SESA shall encourage public awareness on the ongoing REDD
strategy and it shall encourage stakeholders to participate in refining and
implementing the strategy.
Scopes of work of SESA-Indonesia
SESA shall be initiated by conducting an assessment in some selected DA sites,
as the basis for discussion and further strategic assessment at a national scale;
with the final objective to formulate a framework to manage risks of social and
environmental upon the implementation of REDD strategy.
The strategic assessment shall be conducted through consultation processes and
analytical works that include the following steps:
1. To conduct rapid situational analysis concerning REDD policy in the country.
Analyze main issues and roles of stakeholders in the processes of REDD policy
4
making and its implementation. The analysis shall be formulated as potential
risks to be taken into account and mitigation measure to be addressed. Among
the issues to be addressed are: participation, investment and livelihood, access
to forest resources, biodiversity, forest services, and emission reduction.
2. To conduct a rapid assessment in some (to be defined) ongoing REDD
Demonstration Activities in different locations by conducting:
Identification of key stakeholders involved in the REDD policy and
identification of key issues being raised by stakeholders at the DAs
Locations of the DAs shall be selected from the ongoing projects combine
with the proposed DA as has been identified at the initial phase might
include the locations of Kampar Riau, North Sumatera, South Kalimantan
and or Maluku.
Identification of land tenure issues and options as well as conflict
resolution mechanism
Formulation of priority issues to be addressed in the REDD policies and
development of stakeholder mapping and its networks.
3.
To prepare baseline profile on socio-economic and bio-physics of the new,
proposed DAs based on primary and or the latest secondary data. The profile
shall be used among others for monitoring progress of the DA and for
developing inputs to formulate legal, policy and institutional adjustments
[w1]
4. To consult key stakeholders on the result of rapid situational analysis by
conducting scientific and policy dialogues at selected locations of DA and at
the national level. The systematization of findings will be conducted in a
seminar at national level, involving a number of key stakeholders, including
Government, Academia, private sector representatives and representatives of
NGO and IP networks, which shall be identified from the rapid situational
analysis and rapid assessment of the ongoing DAs and proposed, new
locations. The consultation shall help to prioritized the issues to be assessed
under the SESA for Indonesia which will that identify components of the
framework to address social and environmental risks and their potential
benefits of REDD policy.
5. To finalize workplan for preparing the ESMF of management framework to
address social and environmental risks and their potential benefits of REDD
policy. The ESMF shall comply with the World Bank Safueguard policies.
With regards to the social safeguards, to comply with Involuntary Resettlement
policy (OP4.12), and the Indigenous People policy (OP 4.10). Regarding the IP
policy (OP4.10) the REDD Strategy must provide their Broad Community
Support. Finalization of the workplan shall be conducted through consultation
processes with key stakeholders at the national and it shall involve key
stakeholders at the sub-national level (from the selected DP). Means of
consultation shall be developed in relevance with nature of the groups of
5
stakeholder. It shall identify relevance analytical works needed to support the
ESMF
6. To test ESMF at the selected locations of DA, and to monitor implementation
of the framework. Mechanism for monitoring shall be developed and the
mechanism shall be made accessible for public to participate in the monitoring
processes.
7. To inform decision making regarding the potential benefits and risks of REDD
policy during the process of monitoring and to propose policy, legal and
institutional adjustment.
Team Composition and Schedule
SESA for Indonesia shall be conducted in a team work that composes members
who are knowledgeable about Indonesia and have interdisciplinary background
on:
Forestry and forest climatology,
Cultural anthropology / sociology,
Institutional and Capacity Building specialist /
Legal specialist with particular focus on land tenure
Socio-economic specialist
Year 2010:
- Conducting Strategic assessment on rapid situational analysis concerning REDD
policy and its implementation
- Consulting key stakeholders on the result of rapid situational analysis by conducting
scientific and policy dialogues
- Proposing the framework of ESMF and consulting the framework for the
implementation of SESA in Indonesia
- Conducting workshop on ESMF to the stakeholder that include private sector and
communities as well as government at the national and selected provincial and district
level.
Year 2011:
- Monitoring the implementation of ESMF and its mechanism to mitigate risks, and
conduct consultation processes with key stakeholders as means to inform decision
making
- Collaborating with other parties whenever is needed to conduct necessary analytical
works such as concerning scenario analysis on social and environmental risks and
potential benefits of REDD strategy
Year 2012:
- Evaluation on the framework of ESMF and proposed policy, institutional and legal
adjustment for REDD implementation strategy.
Budget
The budget allocated to conduct SESA for Indonesia is 100,000 USD.
Separate budget is provided to support SESA activities. They are allocated in the forms of
analytical work of rapid situational analysis concerning REDD policy in the country (USD
49,600); developing baseline profile of proposed new DA that include socio-economics and
6
bio-physical profiles (USD 194,350); and consultation plans prior formulation of the ESMF,
during the monitoring phase and its evaluation (USD 66,976).
7
STRATEGIC ENVIRONMENTAL AND SOCIAL ASSESSMENT
(SESA) - Indonesia
Introduction about SESA
Strategic Environmental and Social Assessment or SESA is a tool that uses a
range of analytical and participatory approaches that aim to integrate
environmental and social consideration into policies, plans and programs and
evaluate the inter linkages with economic and institutional considerations
(SESA training, Nairobi 3-5 February 2010).
SESA has two components: the strategic assessment (SA) and the
Environmental and Social Management Framework (ESMF). The strategic
assessment addresses drivers of deforestation by applying ranges of analytical
tools as well as participatory processes. The assessments aim to develop
recommendations for institutional, policy and legal adjustment for the REDD
strategy that has been developed in the Readiness Plan Proposal of R_PP. The
ESMF addresses policies and legal adjustments as proposed by the strategic
assessment by looking at institutional, regulatory and capacity requirements. It
constitutes elements of baseline of social and environmental situations, potential
risks and impacts of proposed adjustments, interventions and projects within the
REDD strategy, scenario analysis, and institutional, policy, legal and capacity
requirements. The framework shall be developed to monitor and mitigate
potential risks of both social and environmental that might occur as the result of
REDD implementation strategy as has been formulated in the R_PP.
Links between SESA and R_PP
SESA may not be separated from the R_PP that identifies sources of
deforestation and forest degradation and proposes strategy to reduce emissions
from the sources. The R_PP outlines policy measures to tackle deforestation and
points out the importance of strengthening institutions and capacities to manage
forest resource in a sustainable manner.
Sources of deforestation and forest degradation vary, in general they may
originate from human activities or natural hazards of forest fire or prolonged
drought that result into fire. Often, deforestation and forest degradation may be
the result of combined sources, which may be difficult to separate its origin.
Conversion of forestland uses into non-forestry uses plays major roles, and that
may come from needs to develop the country. They include for developing
agricultural sector through expansion of crops plantation, establishment of new
settlement, for developing remote regions through infrastructure development,
1
or for utilizing mineral deposits inside forest areas. Deforestation may also be
the result of poor forest governance as reflected in the weak enforcement of law,
illegal practices and encroachment of forest areas.
Deforestation and forest degradation as stated in the R_PP may not be separated
from characteristics of the country that influence the country in governing,
including controlling the resource. The country is composed of many islands
that form an archipelago of which rich in diversity in terms of social- cultural
and economical conditions as well as bio-physical natural resources conditions
across the regions. Population pressure is considerably high while its density
differs across regions. The country applies a unified system of governance,
which is structured in a hierarchical of national government with 33 provincial
level of government and hundreds of autonomous district level government.
In implementing the REDD Readiness strategy, Indonesia establishes
Demonstration Activities (DA) in collaboration with other countries as well as
international agencies. Selection of the DA’s takes into consideration the
diverse forest condition in the country as well as conditions of socio-economic
and customary practices of community in particular who are living in the
vicinity of forest areas and use the forest to sustain their livelihood and improve
their well-being.
Based on the location and its collaborating partners, the DAs as has been
declared by the Ministry of Forestry could be presented as the following:
KFCP project (Kalimantan Forest Carbon Parnertship) at the Central
Kalimantan province in collaboration with the government of Australia;
GTZ project at the East Kalimantan province in collaboration with the
government of Germany;
TNC project at the East Kalimantan province supported by The Nature
Conservancy;
KOICA project at the West Nusa Tenggara province in collaboration with
the government of South Korea;
ITTO project at the East Jawa province supported by the International
Tropical Timber Organization;
UNREDD project supported by the UN agencies of UNEP, UNDP and
FAO;
In addition of those DAs other projects are also ongoing or under preparatory
stage.
The implementation of REDD Readiness strategy was supported by related
regulations, organizations as well as processes of consultation with key
stakeholders. On Demonstration Activities, the government issued ministerial
regulation of P.68/2008 signed by the Ministry of Forestry. In addition, the
2
Ministry also set procedures to reduce deforestation and forest degradation
through the regulation of P.30/2009. Working Group on REDD has been
established to facilitate REDD implementation processes within the Ministry of
Forestry. The processes for reducing emission resulting from activities of
various sectors are coordinated by The National Council on Climate Change of
DNPI. That body is supervised directly by the President of the country.
Stakeholder consultations were organized both at the national and sub-national
levels. The processes involve various parties to gather inputs from different
perspectives concerning the strategy and its implementation, and they were
documented in the R_PP. The documentation serves as a preliminary step to
prioritize ranges of issues raised by different groups which further need to be
taken into policy measures.
The implementation of REDD strategy all over the country has potential
impacts both socially as well as environmentally. The impacts may benefits
certain groups or certain location, but it may also bring risks that may be
detrimental for others. A set of proposed actions for conducting environmental
and social impacts assessments were identified in the R_PP, and they include
the following:
(i)
risks of REDD strategies/policies;
(ii)
environmental and socio-economic impacts of REDD;
(iii) potential additional benefits of REDD; and
(iv) trade-offs and risks of REDD to sustainable development.
The objectives of SESA for Indonesia therefore could be presented as the
following:
(i)
to identify the institutional arrangements and governance needed for
the implementation of REDD Readiness strategy;
(ii) to identify the social and environmental risks from REDD
strategies/policies; and
(iii) to outline possible mitigation options.
Outputs of SESA
The outputs of SESA are two-folds; in one hand it is expected to contribute in
identifying and minimizing potential risks that might be resulted from the
implementation of REDD policy. On the other hand, it is expected to contribute
in identifying and in capturing potential benefits of both social and
environmental impacts that might be delivered from the REDD policy.
SESA therefore shall assess some ongoing Demonstration Activities which have
been conducted in several locations. Selection of the ongoing DA shall
3
represent characteristics of social-economical of certain region as well as biophysical characteristics which are particular, such as the extent of peat land that
potentially has high contribution into forest emission. The selection of the DAs
shall encompass both characteristics so they will be able to represent diverse
conditions of Indonesia . Output of the SESA for Indonesia shall include but not
limited to the socio-economic profile of the DA, land tenure issues, legal and
policy review on REDD and Environmental and Social Management
Framework (ESMF).
The assessments shall cover issues related to land and forest uses being raised
by key stakeholders depicted from the locations of DAs, but also issues related
to the management of REDD+, such as distribution of REDD revenues. It shall
capture forest policy and governance as strategic component to tackle drivers of
deforestation at the DAs. Particular attention shall be given to roles of
community who use the forest traditionally and who need forest resource to
support their livelihood and how REDD may affect them. Among of these
groups are those who are living adjacent to the forests and the Indigenous
People (IP). Other attention shall also be given to the group who use forest
resources for commercial purposes.
The assessment of concrete REDD DP shall provide inputs for policy
recommendations at a national scale and that will be followed by a proposed
social and environmental management framework (ESMF) to monitor the
implementation of REDD strategy during REDD implementation phase, not
only in the assessed PD, but also in future PDs. The framework shall address
gaps concerning legal institutional, regulatory and capacity to manage social
and environmental risks. In addition, it shall outline applicable safeguard
policies. SESA shall encourage public awareness on the ongoing REDD
strategy and it shall encourage stakeholders to participate in refining and
implementing the strategy.
Scopes of work of SESA-Indonesia
SESA shall be initiated by conducting an assessment in some selected DA sites,
as the basis for discussion and further strategic assessment at a national scale;
with the final objective to formulate a framework to manage risks of social and
environmental upon the implementation of REDD strategy.
The strategic assessment shall be conducted through consultation processes and
analytical works that include the following steps:
1. To conduct rapid situational analysis concerning REDD policy in the country.
Analyze main issues and roles of stakeholders in the processes of REDD policy
4
making and its implementation. The analysis shall be formulated as potential
risks to be taken into account and mitigation measure to be addressed. Among
the issues to be addressed are: participation, investment and livelihood, access
to forest resources, biodiversity, forest services, and emission reduction.
2. To conduct a rapid assessment in some (to be defined) ongoing REDD
Demonstration Activities in different locations by conducting:
Identification of key stakeholders involved in the REDD policy and
identification of key issues being raised by stakeholders at the DAs
Locations of the DAs shall be selected from the ongoing projects combine
with the proposed DA as has been identified at the initial phase might
include the locations of Kampar Riau, North Sumatera, South Kalimantan
and or Maluku.
Identification of land tenure issues and options as well as conflict
resolution mechanism
Formulation of priority issues to be addressed in the REDD policies and
development of stakeholder mapping and its networks.
3.
To prepare baseline profile on socio-economic and bio-physics of the new,
proposed DAs based on primary and or the latest secondary data. The profile
shall be used among others for monitoring progress of the DA and for
developing inputs to formulate legal, policy and institutional adjustments
[w1]
4. To consult key stakeholders on the result of rapid situational analysis by
conducting scientific and policy dialogues at selected locations of DA and at
the national level. The systematization of findings will be conducted in a
seminar at national level, involving a number of key stakeholders, including
Government, Academia, private sector representatives and representatives of
NGO and IP networks, which shall be identified from the rapid situational
analysis and rapid assessment of the ongoing DAs and proposed, new
locations. The consultation shall help to prioritized the issues to be assessed
under the SESA for Indonesia which will that identify components of the
framework to address social and environmental risks and their potential
benefits of REDD policy.
5. To finalize workplan for preparing the ESMF of management framework to
address social and environmental risks and their potential benefits of REDD
policy. The ESMF shall comply with the World Bank Safueguard policies.
With regards to the social safeguards, to comply with Involuntary Resettlement
policy (OP4.12), and the Indigenous People policy (OP 4.10). Regarding the IP
policy (OP4.10) the REDD Strategy must provide their Broad Community
Support. Finalization of the workplan shall be conducted through consultation
processes with key stakeholders at the national and it shall involve key
stakeholders at the sub-national level (from the selected DP). Means of
consultation shall be developed in relevance with nature of the groups of
5
stakeholder. It shall identify relevance analytical works needed to support the
ESMF
6. To test ESMF at the selected locations of DA, and to monitor implementation
of the framework. Mechanism for monitoring shall be developed and the
mechanism shall be made accessible for public to participate in the monitoring
processes.
7. To inform decision making regarding the potential benefits and risks of REDD
policy during the process of monitoring and to propose policy, legal and
institutional adjustment.
Team Composition and Schedule
SESA for Indonesia shall be conducted in a team work that composes members
who are knowledgeable about Indonesia and have interdisciplinary background
on:
Forestry and forest climatology,
Cultural anthropology / sociology,
Institutional and Capacity Building specialist /
Legal specialist with particular focus on land tenure
Socio-economic specialist
Year 2010:
- Conducting Strategic assessment on rapid situational analysis concerning REDD
policy and its implementation
- Consulting key stakeholders on the result of rapid situational analysis by conducting
scientific and policy dialogues
- Proposing the framework of ESMF and consulting the framework for the
implementation of SESA in Indonesia
- Conducting workshop on ESMF to the stakeholder that include private sector and
communities as well as government at the national and selected provincial and district
level.
Year 2011:
- Monitoring the implementation of ESMF and its mechanism to mitigate risks, and
conduct consultation processes with key stakeholders as means to inform decision
making
- Collaborating with other parties whenever is needed to conduct necessary analytical
works such as concerning scenario analysis on social and environmental risks and
potential benefits of REDD strategy
Year 2012:
- Evaluation on the framework of ESMF and proposed policy, institutional and legal
adjustment for REDD implementation strategy.
Budget
The budget allocated to conduct SESA for Indonesia is 100,000 USD.
Separate budget is provided to support SESA activities. They are allocated in the forms of
analytical work of rapid situational analysis concerning REDD policy in the country (USD
49,600); developing baseline profile of proposed new DA that include socio-economics and
6
bio-physical profiles (USD 194,350); and consultation plans prior formulation of the ESMF,
during the monitoring phase and its evaluation (USD 66,976).
7