INTEGRATED SAFEGUARDS DATA SHEET CONCEPT STAGE Report No.: AC5229. Date ISDS Prepared/Updated: 04/15/2010 I. BASIC INFORMATION. A. Basic Project Data

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1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Date ISDS Prepared/Updated: 04/15/2010 I. BASIC INFORMATION A. Basic Project Data INTEGRATED SAFEGUARDS DATA SHEET CONCEPT STAGE Report No.: AC5229 Country: Kenya Project ID: P Project Name: Arid and Semi-Arid Lands Sector-Wide Program Task Team Leader: Johannes Woelcke Estimated Appraisal Date: September 7, Estimated Board Date: November 23, Managing Unit: AFTAR Lending Instrument: Specific Investment Loan Sector: General agriculture, fishing and forestry sector (50%);Animal production (40%);Irrigation and drainage (10%) Theme: Other rural development (30%);Other environment and natural resources management (20%);Natural disaster management (20%);Climate change (20%);Participation and civic engagement (10%) IBRD Amount (US$m.): 0.00 IDA Amount (US$m.): GEF Amount (US$m.): 0.00 PCF Amount (US$m.): 0.00 Other financing amounts by source: BORROWER/RECIPIENT Local Communities 5.00 DENMARK: Danish Intl. Dev. Assistance (DANIDA) UK: British Department for International Development (DFID) 5.00 EC: European Commission B. Project Objectives [from section 2 of PCN] The proposed development objective is that the ASAL (arid and semi-arid lands) population has improved capacity to increase resilience and productivity of its pastoral and agro-pastoral livelihood systems. C. Project Description [from section 3 of PCN] The program will be implemented over a period of 5 years ( ). It will support the institutionalization and harmonization of key planning and implementation processes and investments at various levels. Support for the proposed program will be provided jointly by Government of Kenya (GoK), Danida, DfID, EU, and the World Bank under a basket funding

2 arrangement. Basket funding arrangements will follow modalities applied by the same Development Partners (DPs) in other sectors and countries. The World Bank expects to make available US$100 million for the program before the end of calendar year It is proposed that the program will be financed through a Specific Investment Loan (SIL). It is proposed to group program activities along the following component structure: Component One: Promotion of ASAL Development. This component would support MDNKOAL s (Ministry for the Development of Northern Kenya and Other Arid Lands) core function of providing policy and program direction for the ASAL SWAp (sector-wide approach), including national coordination structures involving key stakeholders, such as Ministries of Finance and Planning, line ministries and the private sector. This component will build consensus and lead the effort for the institutionalization of key implementation structures, such as the District Steering Groups (DSGs) and Community Development Committees (CDCs), which are required to ensure synergy and scaling-up of investments in the ASALs. Activities will also include the preparation of studies and feasibility plans for public and private investments which have the potential to transform ASAL regions for maximum growth and poverty alleviation impact. This includes the application of a regional/axis approach to analyze sources and potentials for economic growth as well as cross cutting issues such as climate change, NRM and conflict resolution and peace building. This component will also finance the supporting unit to deliver the implementation, accountability and fiduciary services required by the current set of DPs. Component Two: Drought Management. Building on the work done under the current Arid Lands Resource Management Project (ALRMP 2), effectively supported by the EU funded Drought Management Initiative (DMI), this component would support the establishment of the Drought Management Authority (DMA). The Authority will have the mandate to implement the existing drought management system of the Government. Activities include the early warning system, drought assessments, drought contingency planning, the management of a national drought contingency fund, as well as matching funds for district drought preparedness plans and rapid response at district and community level. Government is expected to take on a greater share of funding of this component over time. In the interim, and until the DMA is established, the new program will continue to support the running of the drought management system from the Project Coordination Unit (PCU). Component Three: Local Level Development. Building on the substantial institutional and human capacities established under ALRMP 2, the program would support the following activities: (i) capacity building for the preparation of common development plans at District and Community level, anchored in DSG and CDC structures. These plans would provide a common platform and process to leverage available sources of devolved funds which are currently available; and (ii) direct funding for priority activities identified by DSGs and CDCs. In addition, support will be provided to CDCs and Common Interest Groups (CIGs), farmer organizations and Water Resource User Associations (WRUAs) to increase their capacity to plan and implement micro-projects. Further, the program will improve access to technical advice and information by local-level institutions. The rationale for combining District and Community level investments in one component is to create better linkages between the two planning levels

3 and to strengthen the bottom up planning process at District level. This process will also provide capacity in anticipation of decentralization expected under the proposed new Kenyan Constitution as well as mainstream the CDD approach into government systems. Priority investments identified through this component will no doubt include key sectors such as water, irrigation, livestock development, agriculture and natural resource management, all critical to enhancing the livelihoods of ASAL communities. The program will not be able to meet all needs, even within these thematic areas. The program will need to be selective in supporting interventions, either by reducing the scope or by restricting some activities to particular areas to maximize impact and reduce overhead costs. Since the mandate of the MDNKOAL is to coordinate and implement development efforts in a geographically defined area (the ASALs), it covers the coordination of additional thematic areas or sectors, such as education, health, and infrastructure. Directly supporting investments in all sectors would lead to isolated interventions with limited impacts (a challenge in ALRMP 2). It is expected that other resources, such as the Constituency Development Fund (CDF), Local Authority Transfer Fund (LATF), line ministries and NGOs would finance investments in other sectors. D. Project location (if known) The proposed ASAL SWAp will cut across all 39 arid and semi-arid districts (greater districts as of 2006), mainly in the Rift Valley, Eastern, Northeastern and Coast Provinces. E. Borrower s Institutional Capacity for Safeguard Policies [from PCN] The proposed ASAL SWAp will build on ALRMP 2, which has a good track record in compliance with Bank Safeguard policies. The borrower s institutional capacity for implementing safeguard policies is high. The program will be implemented using safeguard institutional arrangements that were designed and tested under ALRMP 2. Technical backstopping will be done by qualified environmental and social safeguard staff. The Environmental and Social Management Framework (ESMF) developed under ALRMP 2 will be revised and updated. Similarly, an Indigenous Peoples Planning Framework (IPPF), which has just been prepared by the Borrower under the KACCAL Project, will be updated to include all the additional Arid and Semi-Arid Districts. In addition, an Integrated Pest Management Framework (IPMF) developed under the recently approved Kenya Agricultural Productivity and Agribusiness Project (KAPAP) will be revised and adopted. ALRMP 2 has already developed and introduced an effective participatory approach to service delivery, based on a good understanding of pastoralist communities. Participatory Integrated Community Development (PICD) enables communities to articulate their problems, needs, priorities and help in mapping the necessary course of action has been effective. The PICDs have also been an effective tool for community empowerment. As such, these tools are still relevant for the implementation of the proposed ASAL SWAp. F. Environmental and Social Safeguards Specialists Ms Nyambura Githagui (AFTCS) Mr Ladisy Komba Chengula (SASDA)

4 II. SAFEGUARD POLICIES THAT MIGHT APPLY Safeguard Policies Triggered Yes No TBD Environmental Assessment (OP/BP 4.01) This policy has been triggered because the program will support district and community investments, which might have environmental and social impacts. Since due to the applied CDD approach, the exact type of intervention and locations cannot be identified ex-ante, the safeguard instrument to be used will be an Environmental and Social Management Framework (ESMF). For relatively large district level investments, specific Environmental Assessments and Environmental Management Plans will be prepared. Cumulative environmental impacts of micro-projects will be taken into consideration during the approval process. Natural Habitats (OP/BP 4.04) This policy has been triggered since program activities might border or operate in natural habitats or protected areas. The screening mechanisms and review procedures defined in the ESMF will ensure that the communities will not use natural resources within the natural habitats or protected areas. Forests (OP/BP 4.36) This policy is not triggered because forest operations such as forest restoration or plantation development will not be carried out under this program. There might be indirect impacts on forests, for example through small-scale infrastructure investments that may induce pressure on forest resources due to need for construction wood. Good practice screening and mitigation measures to be provided in the ESMF will address these concerns. Pest Management (OP 4.09) This policy is triggered because the promotion of rain-fed or irrigated farming may indirectly incentivize increased pesticide use. In addition, project funds might be used to purchase animal pesticides by the pastoral communities. To address these concerns, an Integrated Pest Management Framework (IPMF) will be used for screening of pesticides and guide their safe handling, storage, and disposal. This will include training for farmers. Physical Cultural Resources (OP/BP 4.11) This policy has been triggered because program activities might affect some physical cultural resources in Lamu (a UNESCO World Heritage Center) and other coastal areas. Sites of archaeological, cultural, or historical importance may be located throughout the project area. The ESMF will address these concerns via a set of environmental screening and review procedures. Indigenous Peoples (OP/BP 4.10) The program s main goal will be to target marginalized and vulnerable communities in the arid and semi-arid lands. The community empowerment tools will be specifically tailored to reach and impact these groups. However, taken into consideration the existence of the Wasanya, the Boni (who could be present in Lamu and Malindi) and potentially other IPs in the program area, it was decided to trigger this policy. An Indigenous Peoples Planning Framework (IPPF) will be prepared, based on the IPPF of the Kenya Adaptation to Climate Change in Arid and Semi-Arid Lands Project, to guide working with these and any other groups that might be found in the program area. Involuntary Resettlement (OP/BP 4.12) The program will not support any activities that trigger this policy. Screening of microprojects will ensure that the program does not finance activities involving the involuntary restriction of access to legally designated parks and protected areas.

5 Safeguard Policies Triggered Yes No TBD Safety of Dams (OP/BP 4.37) This policy is not triggered because the program will not finance dams with height of more than 10 meters. The screening process will be included in the ESMF. Periodic training will be provided to relevant communities on basic surveillance procedures, so that they become knowledgeable in identifying and addressing potential problems (e.g. silting, signs of potential collapsing) at an early stage. Projects on International Waterways (OP/BP 7.50) This policy is not triggered because the program will not finance activities in shared international waters, which will significantly diminish the water quantity and/or reduce the quality through pollution. Projects in Disputed Areas (OP/BP 7.60) This policy is not triggered because the program will not finance any activity in disputed areas. Environmental Category: B - Partial Assessment III. SAFEGUARD PREPARATION PLAN A. Target date for the Quality Enhancement Review (QER), at which time the PAD-stage ISDS would be prepared: 07/27/2010 B. For simple projects that will not require a QER, the target date for preparing the PAD-stage ISDS: N/A C. Time frame for launching and completing the safeguard-related studies that may be needed. The specific studies and their timing 1 should be specified in the PAD-stage ISDS. As part of the preparation process, the following safeguards-related documents will be prepared or revised: (i) Environmental and Social Management Framework (ESMF); (ii) Indigenous Peoples Planning Framework (IPPF); and (iii) Integrated Pest Management Framework (IPMF). All studies will be based on existing documents prepared for ALRMP 2 (ESMF), KACCAL (IPPF) and KAPAP (IPMF) and will be revised and updated accordingly. These three documents will be made internally coherent and will be cross-referenced. All documents will be disclosed at least 120 days before the Board Date, i.e. according to the current schedule by late July Reminder: The Bank s Disclosure Policy requires that safeguard-related documents be disclosed before appraisal (i) at the InfoShop and (ii) in-country, at publicly accessible locations and in a form and language that are accessible to potentially affected persons.

6 IV. APPROVALS Signed and submitted by: Task Team Leader: Mr Johannes Woelcke 04/08/2010 Approved by: Regional Safeguards Coordinator: Ms Alexandra C. Bezeredi 04/12/2010 Comments: Sector Manager: Ms Karen Mcconnell Brooks 04/08/2010 Comments: