LIPI Building 3 rd Floor, Jl. Ir. H. Juanda No. 18, Bogor 16122, Indonesia • Tel: +62 251 8324 487 • Fax: +62 251 8340 414 • www.hatfieldgroup.com STRATEGIC ENVIRONMENT AND SOCIAL ASSESSMENT (SESA) FOR INDONESIA’S REDD+ READINESS PREPARATION PRELIMINARY REPORT RFP NUMBER: 01/POKJA ULP/PPI/05/2018 Prepared for: DIRECTORATE GENERAL OF CLIMATE CHANGE MINISTRY OF ENVIRONMENT AND FORESTRY (KEMENTERIAN LINGKUNGAN DAN KEHUTANAN) GD. MANGGALA WANABAKTI BLOK IV LT. 6 JL. JEND. GATOT SUBROTO JAKARTA Prepared by: PT HATFIELD INDONESIA LIPI BUILDING 3 RD FLOOR, JL. IR. H. JUANDA NO. 18 BOGOR 16122, INDONESIA OCTOBER 2018 WB 8916 VERSION 1
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LIPI Building 3rd Floor, Jl. Ir. H. Juanda No. 18, Bogor 16122, Indonesia • Tel: +62 251 8324 487 • Fax: +62 251 8340 414 • www.hatfieldgroup.com
STRATEGIC ENVIRONMENT AND SOCIAL
ASSESSMENT (SESA) FOR INDONESIA’S
REDD+ READINESS PREPARATION
PRELIMINARY REPORT
RFP NUMBER: 01/POKJA ULP/PPI/05/2018
Prepared for:
DIRECTORATE GENERAL OF CLIMATE CHANGE
MINISTRY OF ENVIRONMENT AND FORESTRY
(KEMENTERIAN LINGKUNGAN DAN KEHUTANAN)
GD. MANGGALA WANABAKTI BLOK IV LT. 6
JL. JEND. GATOT SUBROTO
JAKARTA
Prepared by:
PT HATFIELD INDONESIA
LIPI BUILDING 3RD FLOOR,
JL. IR. H. JUANDA NO. 18
BOGOR 16122,
INDONESIA
OCTOBER 2018
WB 8916
VERSION 1
SESA East Kalimantan – Preliminary Report i Hatfield Indonesia
TABLE OF CONTENTS
LIST OF TABLES ............................................................................................. II
LIST OF FIGURES ............................................................................................ II
DISTRIBUTION LIST ....................................................................................... III
AMENDMENT RECORD ................................................................................. III
5.1 STRATEGIC ENVIRONMENTAL AND SOCIAL ASSESSMENTS (SESA) ........................................................................................................ 11
5.2 POTENTIAL RISKS/IMPACTS TO GUIDE THE ESMF DEVELOPMENT.......................................................................................... 15
5.2.1 Improving Land Governance ......................................................... 16
5.2.2 Strengthening Government Capacity for Forest Administration ................................................................................ 17
5.2.3 Reducing Deforestation Linked to Oil Palm Expansion .................. 17
5.2.4 Reducing Deforestation Linked to Over logging and Timber Plantation ...................................................................................... 18
5.2.5 Reducing Encroachment by Providing Sustainable Alternatives.................................................................................... 19
5.3 INDICATIVE CONTENT OF SESA, ESMF, FGRM AND IPPF .................... 20
5.3.1 Indicative Content of SESA ........................................................... 20
5.3.2 Indicative Content of ESMF ........................................................... 21
5.3.3 Indicative Content for FGRM ......................................................... 22
5.3.4 Indicative Content for IPPF ............................................................ 23
SESA East Kalimantan – Preliminary Report ii Hatfield Indonesia
LIST OF TABLES
Table 1 Summary of consultant team’s tasks for the assignments............................................ 2
Table 2 Summary of relevant secondary data compiled during the inception phase. ............... 4
Table 3 Summary of timeline for completing SESA & ESMF. ................................................... 9
Table 4 Shortlist of predicted environmental impacts of ER Program in East Kalimantan. ................................................................................................................. 13
Table 5 Shortlist of predicted social impacts of ER Program in East Kalimantan. .................. 15
Table 6 Potential implications and mitigation measures for land governance. ........................ 16
Table 7 Potential implications and mitigation measures for reducing deforestation linked to oil palm plantation. ........................................................................................ 17
Table 8 Potential implications and mitigation measures for reducing deforestation linked to over logging and timber plantation. .............................................................. 18
Table 9 Potential implications and mitigation measures for reducing encroachment by providing sustainable alternatives. .............................................................................. 19
Table 10 Indicative content of SESA. ........................................................................................ 20
Table 11 Indicative content of ESMF. ........................................................................................ 21
Table 12 Indicative content of the FGRM. ................................................................................. 22
Table 13 Indicative content of IPPF. .......................................................................................... 23
LIST OF FIGURES
Figure 1 Medium list of predicted positive environmental impacts............................................ 12
Figure 2 Medium list of predicted negative environmental impacts. ......................................... 12
Figure 3 Medium List of predicted positive social impacts. ....................................................... 14
Figure 4 Medium list of predicted negative social impacts. ....................................................... 14
SESA East Kalimantan – Preliminary Report iii Hatfield Indonesia
DISTRIBUTION LIST
The following individuals/firms have received this document:
Name Firm Hardcopies CDs Email FTP
Mrs. Novia Widyaningtyas FCPF /
P3SEKPI
- - -
Mr. I Wayan Susi Dharmawan - - -
AMENDMENT RECORD
This report has been issued and amended as follows:
Issue Description Date Approved by
1 First version of Preliminary
Report
2018-10-12
Bambang TSA
Project Director
Adhi Rachmat S Hariyadi
Project Manager
SESA East Kalimantan – Preliminary Report 1 Hatfield Indonesia
1.0 INTRODUCTION
Forest Carbon Partnership Facility (FCPF) has provided the Government of Indonesia with grant to
finance the preparation of REDD+ Implementation. The overall goal of this project is to strengthen the
technical and management capacity for REDD+ implementation at national and sub-national levels.
Forest Carbon Partnership Facility selected East Kalimantan Province as a CarbonFund pilot province
for activities in 2018 to 2024. Similarly, Initiatives for Sustainable Forest Landscape (ISFL) selected
Jambi Province for BioCarbon Fund pilot. The two mechanisms aim for implementation of
performance-based payment system that will be formalized under Emission Reduction Payment
Agreement (ERPA). Both FPCF and ISFL have kicked off the programs in respective provinces, and
indicative approaches have been developed accordingly. FCPF Grant supports a subset of readiness
effort that consists of the following components:
1. Analytical Work;
2. Support of Readiness Process;
3. Reference Emission Level (REL) and Monitoring, Reporting & Verification (MRV); and
4. Regional data collection and capacity building.
In East Kalimantan, Social and Environmental Standards for REDD+ (SES REDD+) has been
developed based on national safeguards-related initiatives such as The Principles, Criteria and
Indicators for REDD+ Safeguards (PRISAI) and Safeguards Information System (SIS).
1.1 BRIEF DESCRIPTION OF THE ASSIGNMENT
To support REDD+ implementation in Indonesia, World Bank requires Strategic Environmental and
Social Assessment (SESA) and Environmental and Social Management Framework (ESMF) as key
safeguards documents. These two documents are integral parts of the readiness components, where
analytical components of the SESA will be used for ESMF. The indicative REDD+ ESMF is already
established for national level, and will be used as the basis for ESMF development. SESA and ESMF
are part of the Emission Reduction Program Document (ERPD) that has been developed for East
Kalimantan Province. Development of SESA followed the guideline prescribed in Government
Regulation (Peraturan Pemerintah – PP) no. 46/2016 regarding guideline for Strategic Environmental
Assessment.
1.2 PURPOSE OF THE INCEPTION REPORT
The purpose of this inception report is to describe the process for setting up team organisation, as
well as administrative setup. This inception report also contains description of proposed team
mobilisation according to the tasks for completing SESA, ESMF and the components therein.
Additionally, inception report contains identification of starting point for PT Hatfield Indonesia. This is
primarily crucial for East Kalimantan Province, as the process of ERPD write up has started. Activities
done during the inception phase and initial findings are also reported in this document. The inception
phase covered a period from contract signing in August 2018 to October 2018 when preliminary
report is due for submission.
SESA East Kalimantan – Preliminary Report 2 Hatfield Indonesia
2.0 ORGANISATIONAL AND ADMINISTRATIVE SETUP
Key staffs assigned by PT Hatfield Indonesia have at least ten years of relevant experience, including
considerable experience in Sumatra and Kalimantan, Indonesia. Our team of experts brings strong
knowledge and experience in preparing SEAs for regional planning and working on REDD+ programs
supported by the KfW and other international organizations. Our experts include key staffs who have
successfully prepared ESMF documents for project developments supported by the World Bank and
the Government of Indonesia in the past two years. This demonstrates experience with the World
29 4.2.4. Component 4: Reducing Deforestation Linked to Overlogging and Timber Plantation
30 4.2.5. Component 5: Reducing Encroachment by Providing Sustainable Alternatives
31 4.2.6. Component 6: Project Management and Monitoring
32 5. ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT
Refer to matrix we have developed,
but need to be discussed among
team for any revision/ adjustment.
Results from field FGD need to be
added later on.
33 5.1 Policy and Regulation Framework
34 5.2 Gap Analysis
35 5.3 Environmental and Social Impact Assessment
36 5.4 Environmental and Social Mitigation Plan
37 5.5 Institutional Arrangement for SESA
38 5.6 Public Consultation for SESA
39 6. CONCLUSIONS AND RECOMMENDATIONS
40 6.1 Conclusions
41 6.2 Recommendations
5.3.2 Indicative Content of ESMF
Indicative content of ESMF (Environmental, Social Management Framework) is presented in Table
below:
Table 11 Indicative content of ESMF.
No. Sections
1 1.0 INTRODUCTION Concise background about ESMF,
link to the SESA, and why ESMF is
needed for the ER Program
2 1.1 Background
3 1.2 Objectives
4 2.0 ERP PROGRAM DESCRIPTION Same content with SESA
5 2.1 Component 1
6 2.2 Component 2
7 2.3 Component 3
8 2.4 Component 4
9 2.5 Component 5
SESA East Kalimantan – Preliminary Report 22 Hatfield Indonesia
No. Sections
10 2.6 Component 6
11 3.0 POLICY AND LEGAL FRAMEWORK Same content with SESA
12 3.1 GOI Regulations
13 3.2 World Bank Safeguards Policies
14 3.3 Gap Analysis
15 4.0 ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT
Similar content with SESA, with
some adjustment based on the TOC
16 4.1 Project Categorisation
17 4.2 Project Screening
18 4.3 Environmental Impact Assessment
19 4.4 Social Impact Assessment
20 4.5 Indigenous Peoples Planning Framework
21 4.6 Resettlement Planning Framework
22 5.0 IMPLEMENTATION ARRANGEMENT Refer to the Mitigation Plan in
SESA, and describe the structure
and hierarchy of institution at the
province and national
23 5.1 Institutional/Stakeholder Analysis
24 5.2 ESMF Institutional Arrangement
25 6.0 CAPACITY BUILDING AND TRAINING
26 7.0 ESMF IMPLEMENTATION BUDGET
27 8.0 ESMF CONSULTATION AND INFORMATION DISCLOSURE
5.3.3 Indicative Content for FGRM
Indicative content of FGRM (Feedback Grievance Redress Mechanism), referring to several
references and based on discussion with the World Bank Team, is presented in table below:
Table 12 Indicative content of the FGRM.
No. Sections Content
1 1.0 INTRODUCTION Why FGRM is needed for the ERP, given the Kalimantan and REDD+ context
2 1.1 Background
3 1.2 Objectives
4 2.0 LAWS AND REGULATIONS FRAMEWORK Summary of Guidelines (ILO, WB, Cancun) and National Regulations (PP, MOEF Min. Decrees)
5 2.1 International Guidelines
6 2.2 National Regulations
7 3.0 SOCIAL CONTEXT OF THE PROJECT AREA Baseline from secondary sources, map of tenurial/tradiaional community (MHA), Socio-Economic baseline data (income, livelihood activities, access to the natural resources)
8 3.1 Social Baseline Conditions
9 3.1.1 Indigenous Peoples
10 3.1.2 Tenurial Aspect
11 3.1.3 Overview of Land/Tenurial Conflict
12 3.2 Community Livelihood
13 3.2.1 Community-Forest Interaction
14 3.2.2 Sources of Livelihood
15 4.0 CURRENT PRACTICES ON LAND CONFLICT RESOLUTION
Traditional and Formal Laws in handling conflicts
SESA East Kalimantan – Preliminary Report 23 Hatfield Indonesia
No. Sections Content
16 4.1 Traditional/Cultural Laws
17 4.2 Formal Laws
18 5.0 PROPOSED FGRM FOR REDD+ Description of FGRM for the ERP, process, hierarchy, procedures, institutional setup.
19 5.1 Goals and Objectives of FGRM
20 5.2 Scope of the FGRM
21 5.3 Principles of FGRM
22 5.4 Structure of FGRM
23 5.5 Procedures of FGRM
24 6.0 OPERATIONALISATION OF FGRM How to internelise the FGRM in the government level and jow to link the FGRM at the project level to the National System
25 6.1 Roles of Stakeholders in the FGRM
26 6.2 Institutional Arrangement of the FGRM
27 6.3 Monitoring and Evaluation Requirement
28 6.4 Communication and Coordination
29 7.0 CONCLUSIONS AND RECOMMENDATIONS Conclusion and recommendations (next action plan for FGRM implementation)
30 7.1 Conclusions
31 7.2 Recommendations
5.3.4 Indicative Content for IPPF
As one of the deliverable, Indigenous Peoples Planning Framework will have the following indicative
content:
Table 13 Indicative content of IPPF.
No. Sections Content
1 1.0 INTRODUCTION Why IPPF is needed for the ERP,
given the Kalimantan and REDD+
context 2 1.1 Background
3 1.2 Objectives
4 2.0 THE ER PROJECT DESIGN Summary of Guidelines (ILO, WB,
Cancun) and National Regulations
(PP, MOEF Min. Decrees) 5 2.1 Project Objectives
6 2.2 Project Components
7 2.3 Project Beneficiaries ad Locations
8 3.0 LEGAL AND REGULATORY FRAMEWORK IN IPs List and short description of
applicable laws, regulations, and
policies 9 3.1 Relevant GOI Regulations and Policies
10 3.2 World Bank Safeguards Policies
11 3.3 Relevant International Instruments
12 4.0 Indigenous Peoples in Indonesia From relevant secondary data and
from ERPD doc. 13 4.1 Indigenous Peoples in East Kalimantan
14 4.2 Potential Impacts on Indegenous Peoples
15 5.0 POSSIBLE MITIGATION MEASURES FOR RISKS
IDENTIFIED
From internal team discussion and
through the FGD in the province and
SESA East Kalimantan – Preliminary Report 24 Hatfield Indonesia
No. Sections Content
16 5.1 Screening for the presence of Indigenous peoples national level
17 5.2 Social Impact impact assessmendtz
18 5.3 FPIC
19 5.4 Preparation of IPs Development Plan
20 6.0 INSTITUTIONAL ARRANGEMENT Refer to ERPD
21 7.0 MONITORING AND EVALUATION Monev Plan during project
implementation
22 8.0 GRIEVANCE REDRESS MECHANISM Summary from FGRM and address