The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) Concept Environmental and Social Review Summary Concept Stage (ESRS Concept Stage) Public Disclosure Date Prepared/Updated: 11/27/2019 | Report No: ESRSC00968 Dec 15, 2019 Page 1 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) BASIC INFORMATION A. Basic Project Data Country Region Project ID Parent Project ID (if any) Congo, Republic of AFRICA P169610 Project Name Support to Indigenous Peoples and Local Communities for Sustainable Resources Management Practice Area (Lead) Financing Instrument Estimated Appraisal Date Estimated Board Date Environment, Natural Investment Project 3/16/2020 Resources & the Blue Financing Economy Borrower(s) Implementing Agency(ies) Ministry of Forest Economy Public Disclosure Proposed Development Objective(s) The project objective to support and increase participation of Indigenous Peoples and local communities (IPLCs) in the Forest Investment Plan and REDD+ policies and programs. Financing (in USD Million) Amount Total Project Cost 4.50 B. Is the project being prepared in a Situation of Urgent Need of Assistance or Capacity Constraints, as per Bank IPF Policy, para. 12? No C. Summary Description of Proposed Project [including overview of Country, Sectoral & Institutional Contexts and Relationship to CPF] The DGM in the Republic of Congo has a financing envelope of US $ 4.5 million grant funding. This funding will be used for activities to support and increase the participation of Indigenous Peoples and Local Communities (IPLCs) in the Forest Investment Plan as well as other initiatives including the national and global Emissions Reduction from Deforestation and Forest Degradation (REDD+, includes conservation, sustainable management of forests and enhancement of forest carbon stocks) processes. The project expects to reach these objectives through two main components. The first component will support capacity building in order to ensure the sustainable management of Dec 15, 2019 Page 2 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) forest ecosystems in the Republic of Congo by IPLC in the Forest Investment Project (FIP, climate-smart agroforestry) and REDD + Process. The second component will finance multiple grants to IPLCs which will aim at: promoting economic development and improving rural livelihoods through financing IPLC-led practices that emphasize mitigation and adaptation to climate change and are consistent with the values of indigenous peoples and local communities (IPLCs); and supporting investments in the sustainable management of forest landscapes, including timber and non-timber forest products (NTFPs), for efficient use of energy, mitigation and adaptation to climate change. The third component will support project management, including the recruitment of a National Execution Agency (NEA). D. Environmental and Social Overview D.1. Project location(s) and salient characteristics relevant to the ES assessment [geographic, environmental, social] Similarly to the Forest Investment Program Project (P166189), the DGM project will be implemented in following five (5) departments of the RoC where IPs are present : - Sangha in the districts of Ouesso (ville Pokola et village Djaka), Mokéko (Ngombé, Paris village and Zoulabouth), Sembé, and Souanké; - Likouala in the districts of Impfondo, Epena, Dongo, Enyelle and Bouanella; - Plateaux in the districts of Djambala, Lekana, Ngo, and Gamboma; - Pool in the districts of Kinkala, Kindamba, Vindza, Kimba and Mayama; and - Brazzaville in the district of Mbamou. Most of these five departments are located in forested areas, and constitute the habitat for Indigenous Peoples. The total forested area of the Republic of Congo is estimated at about 23.5 million ha. The two northern departments of Sangha and Likouala for example, cover 12.4 million ha, 11.7 million (or 94%) of which are forested. This represents 52% of the national forest area. The most common income-generating activities in the project area include shifting agriculture and employment in the formal and informal forestry sectors (Sangha and Likouala). The significant indigenous Public Disclosure population mostly relies on hunting and gathering for its livelihood, with limited small-scale agriculture, though most communities also rely on non-timber forest products for household consumption. RoC is among countries with a low rating of deforestation. The main direct causes of deforestation and forest degradation identified are: (i) unsustainable shifting agriculture; (ii) unsustainable or illegal logging; (iii) industrial agriculture development and (iv) mining. These direct causes are exacerbated by indirect drivers or underlying causes of deforestation and degradation: (i) weak governance, (ii) lack of policy coordination and land use planning, (iii) poverty and insufficient enabling conditions for sustainable economic activities, and (iv) population growth and infrastructure development. The project area also includes industrial logging concessions, agro-industrial concessions operated, mining exploration and research concessions, (including overlapping claims of forestry concessions), in addition to national parks and community conservation reserve, as well as unattributed areas. Concession management implies that communities face access restrictions. In the case of forest concessions with management plans, logging companies leave a portion of the concessions to forest communities, called Community Development Zones (CDZ), in which communities can practice agriculture and economic activities. In Congo, women are central to socio-economic activities, and particularly to agricultural activities. They account for 70% of agricultural workers (UNDP, 2015), however only 28.8% of agricultural holdings belong to women. The situation of rural women and indigenous women is worrying, as household tasks - such as drinking water, firewood collection, and agricultural work – are arduous. The project will have three components as follows: Component 1: Implementation of IPLC grants in FIP areas Sub-Component 1.1: The component aims at promoting economic development and improving rural livelihoods through practices that emphasize mitigation and adaptation to climate change and are consistent with the values of indigenous peoples and local communities (IPLCs). Dec 15, 2019 Page 3 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) Sub-Component 1.2: Activities in this component will aim at supporting investments in the sustainable management of forest landscapes, including timber and non-timber forest products (NTFPs), for efficient use of energy, mitigation and adaptation to climate change. Component 2: Capacity Building The objective of the component is to ensure the sustainable management of forest ecosystems in the Republic of Congo by IPLC in the FIP project (climate-smart agroforestry) and REDD + Process. Component 3: Project management, Monitoring and Evaluation This component will support project management. D. 2. Borrower’s Institutional Capacity The National Executing Agency (NEA) has not yet been selected and is expected to be on board by December 2019. The management of environmental risks in the Republic of Congo is under the responsibility of the Ministry of Environment and Tourism, through the Direction Générale de l’Environnement (DGE). The DGE is the national technical body that assists the Ministry in charge of the environment in the implementation of Environmental Impact Assessment procedures, as per the Decree No. 98-148 of 12 May 1998. At the regional level, the DGE has Regional Environmental Departments that can support the environmental selection process of projects to be implemented and participate in their monitoring. In the context of this project, the DGE will have the responsibility of approving E&S risks management documents to be produced by the NEA. The DGE has a little experience with the implementation of Bank financed projects under the ten safeguard policies. However, its capacity to really assess and monitor environmental and social risks of projects is weak. They capacity of both the NEA (to be installed) and the DGE to implement the rigorous requirements of the new ESS is expected to be particularly challenging, especially for several Public Disclosure organizations accessing DGM funds. Therefore, they will need a strong support and capacity building from Bank experts to be able to support the management of environmental and social risks related to the implementation of this projects in compliance with the new ESF. The NEA will be required to hire one Environmental and one Social development Specialists to oversee DGM activities. These specialists will receive support from the World Bank Specialists, and their responsibilities will mainly consist of day-to-day supervision of the ESS instruments preparation as well as implementation. They will be required to provide training to the local communities, community-based organizations and other actors engaged in project interventions. II. SCREENING OF POTENTIAL ENVIRONMENTAL AND SOCIAL (ES) RISKS AND IMPACTS A. Environmental and Social Risk Classification (ESRC) Moderate Environmental Risk Rating Moderate The environmental risk rating is Moderate. Potential risks and impacts from project’s activities on the environment are not expected to be irreversible, and can be managed during implementation. Potential environmental impacts and risks may be water quality, quality and quantity of biodiversity quality, community health and safety, and pest management . Social Risk Rating Moderate Dec 15, 2019 Page 4 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) The social risk rating is Moderate, because the potential adverse risks and impacts on human populations are not likely to be significant. Social risks are expected to be site-specific, predictable and expected to be temporary and/or reversible. Project activities are all designed to the improve socioeconomic well-being of target beneficiaries, who are Indigenous Peoples and Local Communities (IPLCs) that will be affected by the project. Potential risk to project affected persons (PAPs) could come from misappropriation or misuse of funds and poor management of the project, thereby leading to reduced project benefits or development outcomes for the target beneficiaries. There may also be a risk of GBV for local populations if outside contractors or NGOs are used to implement some of the project activities, including development of agroforestry operations. However, this risk is limited as all activities are expected be implemented by one National Executing Agency (NEA) which will be adequately trained and prepared to manage these risks. Conflicts over land are unlikely, as the project is working with IPLCs that have well-established and recognized land rights. Possible conflicts may arise among potential project beneficiaries if some are seen as gaining better access to project resources than others, but this will be mitigated through robust stakeholder engagement and outreach about the project’s objectives. B. Environment and Social Standards (ESSs) that Apply to the Activities Being Considered B.1. General Assessment ESS1 Assessment and Management of Environmental and Social Risks and Impacts Overview of the relevance of the Standard for the Project: Assessment and management of environmental and social risks and impacts will be required mainly for activities associated with Component 2 "Implementation of IPLC grants in FIP areas". Proposed Component 2 activities are Public Disclosure anticipated to have positive social and environmental impacts, as they will seek to promote sustainable management of natural resources in the community lands whose livelihoods depend on these resources. Potential adverse environmental impacts on human populations or environmentally important areas will be site-specific and few, if any, are expected to be irreversible. Although the nature and scale of the proposed activities are not expected to have significant adverse impacts, as project activities are likely to take place in or around forest lands or its vicinity and/or protected areas or natural habitats, adverse impacts may occur (related to water quality, pest and waste management, community health and safety etc..) that would require due safeguards attention. The NEA will assess, manage, and monitor the environmental and social risks and impacts of the project throughout the project life cycle. Seeing as the project activities are expected to overlap in most areas with current forestry projects, as mitigation strategy for the anticipated impacts, safeguards instruments already developed under the RoC REDD+ projects : (i) Congo Forest and Economic Diversification (PFDE P124085 and PFDE Additional Financing P158604), and (ii) Northern Congo Agroforestry Project (FIP P166189) will be updated and harmonized to be applied to the ROC DGM in compliance with ESS1 requirements. The ESMF prepared and disclosed under the two RoC REDD+ projects and also the former Operational Policies (or Safeguards) will be updated to reflect risks and impacts assessment related to community safety (due to use of pesticides), any threat to the protection, conservation, maintenance and restoration of natural habitats, security of the population, land tenure and meet other requirements of the Bank’s new Environmental and Social Framework (ESF) which became operational as of October 2018.The ESMF will include procedures along with appropriate institutional arrangements for preparing, screening, reviewing, implementing and monitoring site specific ESMPs for subprojects to prevent adverse impacts as well as cumulative impacts. The ESMF will be consulted upon and will be publicly disclosed both in-country and on the Bank's External Website prior to appraisal. In addition, the Borrower will prepare an Environmental and Social Commitment Plan which will be ready prior to project appraisal. It will be attached to the Financial agreement and will be prepared in English and French. A Dec 15, 2019 Page 5 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) Stakeholder Engagement Plan will be prepared, consulted and disclosed prior to project Appraisal to meet ESF requirements. Areas where “Use of Borrower Framework” is being considered: N/A ESS10 Stakeholder Engagement and Information Disclosure Stakeholder engagement is a critical tool for social and environmental risk management, project sustainability and success. In the context of the Congo DGM, stakeholders are comprised mainly of local communities and IPs who may or may not be organized in small groups and other forest-dependent people located in the 5 departments (Sangha, Likouala, Plateaux, Pool, and Mbamou) as the main drivers and beneficiaries of the project. Moreover, civil society organizations, associations, cooperatives, and other land user groups within those landscapes are also important stakeholders as potential beneficiaries of grants and capacity building initiatives (such as RENAPAC which unites a host of IP representative CSOs) . Furthermore, the project will also consult stakeholders at the national level, including but not limited to, the National REDD+ Committee (CONA-REDD), National REDD+ Coordination (CN-REDD) and partners, the Forest Investment Program (FIP), the Central African Forest Initiative (CAFI), the Ministry Forest Economy and Sustainable Environment Development (MEFDDE), the Ministry of Social Affairs, and others whose consultation will ensure consistency of the DGM activities with othre national programs and initiatives (such as the REDD+ and relevant projects). Some key stakeholders (all from of the above mentioned categories) have already been identified, and a group of these has come together as an Interim National Steering Committee (NSC), which has been leading and participating in initial consultations on the preparation of Congo DGM. In consultation with the Public Disclosure Bank the client will prepare and implement an inclusive Stakeholder Engagement Plan (SEP) proportional to the nature and scale of the project and associated risks and impacts. A draft of the SEP will be prepared and disclosed as early as possible and prior to Appraisal. The client will seek stakeholder feedback and opportunities for proposed future engagement, ensuring that all consultations are inclusive and accessible (both in format and location) and through channels that are suitable in the local context. If major changes are made to the SEP, a revised SEP should be publicly disclosed. The borrower will engage in meaningful consultations with all stakeholders throughout the project life cycle paying particular attention to the inclusion of vulnerable and disadvantaged groups (including the elderly, persons with disabilities, female headed households and orphans and vulnerable children). Borrowers will provide stakeholders with timely, relevant, understandable and accessible information, and consult with them in a culturally appropriate manner, which is free of manipulation, interference, coercion, discrimination and intimidation. Given the geographically dispersed nature of the project area, a recommendation is that the NEA ensure that they collaborate closely with local CBOs/CSOs in the areas of implementation and engage them to implement the SEP under the guidance of the NEA. As part of the environmental and social assessment the NEA and NSC will maintain, and disclose, a documented record of stakeholder engagement, including a description of the stakeholders consulted, a summary of the feedback received and a brief explanation of how the feedback was taken into account. The SEP will include a Grievance Redress Mechanism (GRM) that will reflect local behaviors and conflict resolution processes. B.2. Specific Risks and Impacts A brief description of the potential environmental and social risks and impacts relevant to the Project. ESS2 Labor and Working Conditions Dec 15, 2019 Page 6 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) The beneficiaries of the project are mainly IPs and local communities who will be recipients of grants to be executed by the same (recipient executed grants). The grants will aim at promoting their economic development and improving rural livelihoods through practices that emphasize mitigation and adaptation to climate change and are consistent with the values of indigenous peoples and local communities. To that extent, the ESS2 would not applicable to this category (IPLCs) as they are beneficiaries and not as “people employed or engaged in providing community labor” (community workers). However, the NEA will recruit individuals with particular skills to support on a day to day basis the grantees (financial specialists, procurements specialist, environmental and social development specialists, etc...), who will be considered as direct project workers to perform core functions in project implemenation. In addition to NEA staff, the NEA may sub-contact certain services from NGOs to support communities implementing their activities to improve their livelihood and in the capacity building activities.Therefore , the borrower will develop and implement written labor management procedures applicable to the project. The procedure will address the way in which ESS2 will apply to of NEA staff (direct workers), and sub- contracted workers . A draft LMP will be prepared and disclosed in the country and the Bank external website prior to project appraisal. It should identify key Health and Safety issues related to the implementation of project activities and how they will be addressed during preparation. Finally, a labor Grievance Redress Mechanism (GRM) will be established taking into account national law and regulations and ESS 2. ESS3 Resource Efficiency and Pollution Prevention and Management Project activities are not expected to cause pollution. The project is not planning to finance pesticides procurement for the implementation of activities related to agriculture and agroforestry. However, the ESMF will assess all risks Public Disclosure related to the use of pesticides and propose adequate mitigation measures, taking into account the World Bank Group EHS guidance's on pest management. If relevant, the project will prepare good practice guidance or a Pest Management Plan to help farmers managing pest. The project is not expected to produce significant GHG emissions or use significant quantities of water. ESS4 Community Health and Safety Labor influx is not expected as there will be very few public works. However, gender-based violence, sexual exploitation, communicable diseases, may occur even with NGOs or any other institutions or indivudal contractors supporting local communities, especially if the communities are rural, remote or small. The project ESMF will evaluate risks and impacts of project activities on the health and safety of communities to be supported by the project , and propose mitigation measures in accordance with the mitigation hierarchy (i.e. avoid/minimize/mitigate/offset/compensate impacts). An assessment of potential risks Gender-based Violence or Sexual Abuse and Exploitation (GBV/SEA) will be carried out prior to Appraisal and an Action plan or other mitigation measures, if required, will be put in place prior to project implementation. The project is not expected to retain security personnel. However, some project locations, including those in the Pool region have a recent history of violent conflict; therefore a security assessment will be required and if needed appropriate mitigation measures will be included in project implementation. ESS5 Land Acquisition, Restrictions on Land Use and Involuntary Resettlement Dec 15, 2019 Page 7 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) Land Acquisition, Restrictions on Land Use and Involuntary Resettlement are not expected because of project activities. In case some land acquisition happens as a result of planned community land for small-scale agricultural or income generation activities, the project will take adequate measure to compensate impacted peoples. The ROC REDD+ Project prepared a Resettlement Policy Framework (RPF) and a Process Framework (PF). This current proposed project will update the existing documents to ensure the proper management of risks related to land acquisition or restrictions to access or land use, particularly as they may affect Indigenous Peoples. ESS6 Biodiversity Conservation and Sustainable Management of Living Natural Resources The project will be implemented in areas of biodiversity, including forests and natural habitats. The activities are not expected to have significant adverse impacts as the subprojects will support sustainable resources management and conservation methods that are anticipated to produce positive environmental benefits. The updated ESMF from the the ROC REDD+ program, will assess the overall sustainability of project activities, as well as their potential impacts on local, nearby or ecologically linked habitats, biodiversity and communities, including indigenous peoples. ESS7 Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities ESS 7 is relevant because project activities revolve around the IP communities’ sustainable management of forest resources. The project will ensure that the project promotes meaningful and culturally appropriate consultations, adverse impacts are mitigated, and that local communities share in project benefits. Where relevant, the project may apply FPIC. A separate IPP will not need to be prepared. Public Disclosure ESS8 Cultural Heritage DGM activities promote actions in areas containing cultural heritage sitesby the communities living there (e.g. holy sites such as sacred groves, sacred forests, etc.). RoC has several sites that are important to local communities, including sacred forests. Nevertheless, it is not expected that the RoC DGM will undertake activities in such areas. The ESMF will assess potential risks and impacts to cultural heritage as a result of the implementation of project activities. For activities that will involve excavation, "Chance Finds”clauses will be included all contractors' contracts even where the possible existence of such artifacts is very low. ESS9 Financial Intermediaries This ESS is not relevant, as the project will not involve Financial Intermediaries. B.3 Other Relevant Project Risks Other relevant risks may be related to the governance of the country as well as the participatory procedure of all stakeholders. Some project areas, including the Pool area, have a recent history of violent conflicts. Therefore, a security assessment and necessary mitigation measures will be put in place prior to commencing project activities on the ground. This security assessment should be updated periodically, to reflect evolving conditions. Dec 15, 2019 Page 8 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) C. Legal Operational Policies that Apply OP 7.50 Projects on International Waterways No Project proposed interventions are not expected to involve international waterways. OP 7.60 Projects in Disputed Areas No The area in which the ROC DGM will be implemented is not known to include any disputed areas. III. WORLD BANK ENVIRONMENTAL AND SOCIAL DUE DILIGENCE A. Is a common approach being considered? No Financing Partners The project will not use common approach B. Proposed Measures, Actions and Timing (Borrower’s commitments) Actions to be completed prior to Bank Board Approval: The borrower will prepare, consult upon, and publish in the Country and on the Bank external website: - An update of one of the ESMFs from an ongoing related FIP or REDD+ project that includes the requirements of ESS 1, Labor Management Procedures, pest management measures, biodiversity conservation measures, waste Public Disclosure management procedures and Chance Finds procedures - A Draft Stakeholder Engagement Plan (SEP) - An update of a Resettlement Policy Framework (RPF) and a Process Framework (PF) from an ongoing FIP or REDD+ project that meets the requirements of ESS 5 - Preparation of measures to address GBV/SEA risks, including a GBV/SEA Risk assessment and (if needed) a GBV/SEA Action Plan - If required, a standalone Draft Pest Management Plan (PMP) Possible issues to be addressed in the Borrower Environmental and Social Commitment Plan (ESCP): The borrower will need to develop Site Specific ESMPs, RAPs and labor management procedures (including Occupational Health and Safety). C. Timing Tentative target date for preparing the Appraisal Stage ESRS 02-Mar-2020 IV. CONTACT POINTS World Bank Dec 15, 2019 Page 9 of 10 The World Bank Support to Indigenous Peoples and Local Communities for Sustainable Resources Management (P169610) Contact: Joelle Nkombela Mukungu Title: Environmental Specialist Telephone No: 5377+3038 Email: jmukungu@worldbank.org Contact: Grace Muhimpundu Title: Social Development Specialist Telephone No: 5377+3001 / Email: gmuhimpundu@worldbank.org Borrower/Client/Recipient Borrower: Ministry of Forest Economy Implementing Agency(ies) V. FOR MORE INFORMATION CONTACT The World Bank 1818 H Street, NW Washington, D.C. 20433 Telephone: (202) 473-1000 Web: http://www.worldbank.org/projects Public Disclosure VI. APPROVAL Task Team Leader(s): Joelle Nkombela Mukungu, Grace Muhimpundu Practice Manager (ENR/Social) Robin Mearns Recommended on 27-Nov-2019 at 12:37:23 EST Dec 15, 2019 Page 10 of 10