Terms of Reference. Package T TV-CQS-07

Transcription

1 NAME OF ASSIGNMENT: COST ESTIMATE US$ 140,000 FINANCIAL SOURCE METHOD OF SELECTION REVIEW METHOD TYPE OF CONTRACT Terms of Reference Package T TV-CQS-07 Conduct a Strategic Environment and Social Assessment (SESA) and prepare an Environmental and Social Management Framework (ESMF) for Vietnam s REDD+ Readiness Preparation FCPF Readiness Grant Selection Based on Consultant s Qualifications (CQS) Open to consultant firms with suitable experience Post review Lump Sum IMPLEMENTATION Approximately from September 2014 to June 2015 LOCATIONS REPORTING TO 1. Background and introduction Hanoiwith trips to the different regions of the country FCPF Project Director The World Bank through the Forest Carbon Partnership Fund (FCPF) is assisting Vietnam with financial and technical support focused on reducing emissions from deforestation and forest degradation, forest carbon stock conservation, the sustainable management of forests, and the enhancement of forest carbon stocks (activities commonly referred to as REDD+). Assistance from the FCPF is provided through a Readiness Fund which supports participating countries in the development of REDD+ strategies and policies, reference emission levels, management, reporting and verification (MRV) systems and institutional capacity to manage REDD+ including environmental and social safeguards. As part of the REDD+ Readiness Preparation process, the FCPF Readiness Grant in Vietnam includes a Strategic Environmental and Social Assessment (SESA). The SESAis a tool designed to ensure that environmental and social concerns are integrated into the national REDD+ strategy process; to formulate alternatives and mitigation strategies derived from the implementation of projects, activities and/or policies/regulations associated with the implementation of the strategy, and to enhance the decision-making process around the design of the national REDD+ strategy. The SESA offers a platform for consultation, to integrate social and environmental concerns into the policy-making process. Also, it enhancesthe country s nationalredd+ strategy by generating recommendations to address legal, institutional, regulatory and capacity gaps to manage environmental and social priorities associated with the drivers of deforestation and forest degradation. The SESA combines analytical and participatory approaches to: (i) integrate environmental and social considerations in the formulation of nationalredd+ strategy; and (ii) the development of a framework to manage the potential risk and impacts of policy, actions and projects during the implementation of the national REDD+ strategy. The SESA also generates an action plan on how these recommendations will be implemented and by whom. The main output from the SESA is the Environmental and Social Management Framework (ESMF). The ESMF provides a framework to help address important environmental and social issues associated with the implementation of Vietnam s national REDD+ strategy. The ESMF should be consistent with applicable World Bank safeguard policies as provided for under the FCPF Common Approach and relevant UNFCCC guidance on safeguards. 1

2 Main activities to be undertaken The processes for the SESA include: (i) a review of the current status of REDD+ in Vietnam, stakeholder analysis and consultation activities; (ii) theidentification of social and environmental priorities associated to the drivers of deforestation and Vietnam s REDD+ strategy options; (iii) an assessment of the legal, policy, regulatory and institutional context, analysis of institutional and capacity gaps to address the identified environmental and social priorities; (iv) an analysis of risks related to policy, regulatory, institutional, capacity, to help with the refinement of the proposed REDD+ strategy options (See Figure 1 for a summary of the SESA process); and (v) monitoring recommendations. A priority is to ensure that the SESAtakes as its starting point,the generalredd+ readiness policy and strategies identified in the National REDD+ Action Plan 1 (NRAP) and other government policies 2 that are related to the eventual implementation of REDD+, includingthe ER Program that is proposed in the Central Coastal Region 3. The NRAP Decision sets a very clear policy and strategy for REDD+ in Vietnam and serves as the basis of Vietnam s national REDD+ strategy. The ESMF is designed to set out the principles, rules, guidelines, and procedures to assess potential environmental and social impacts and risks, and contains measures to mitigate adverse environmental and social impacts and enhance positive impacts and opportunities of proposed projects, activities, and/or policies/regulations. Together the SESA process and ESMF should create a sustainable institutional structure that ensures effective management of social and environmental issues during and beyond the readiness phase. 2. Program area, forest communities and safeguards The expected main REDD+ program areas are expected to include communities including, ethnic minorities, that are dependent or partially dependent on the forest, and although REDD+ is expected to provide significant long term benefits, there is a potential for causing negative impacts to the environment and to the livelihoods of forest dependent communities. As the FCPF is funded through the World Bank, their safeguard policies shall apply. Table 1 World Bank safeguards policies that may be triggered World Bank safeguard policies that may be triggered Environmental assessment OP/BP 4.01 Indigenous peoples OP/BP 4.10 Involuntary resettlement OP/BP Potential safeguard issues The ESMF will establish the modalities and procedures to address potential negative environmental and social impacts from the implementation of the national REDD+ strategy, including the screening criteria, procedures and institutional responsibilities. The national REDD+ strategy involvesmany ethnic minorities and other forest dependent communities, requiring thedevelopment of a framework to avoid or address potential undesirable effects and enhance the benefits of future REDD+ activities. As part of the ESMF anindigenous Peoples Planning Framework will be prepared. No resettlement or land acquisition is expected to take place, but there is the potential for a change to, or a restriction to access 1 Decision 799/QĐ-TTg, 27/6/2012, approved National REDD Action Plan (NRAP). For purposes of this document, the NRAP and the national REDD+ strategy are one in the same. 2 Decision 403/QD-TTg On approval of the national action plan on green growth in Vietnam for the period March 2014; Decision 2139/QĐ-TTg, 5/12/2011, approved National Strategy on Climate Change. 3 ThanhHoa, Nghe An, Ha Tinh, QuangBinh, Quang Tri and ThuaThien Hue. 2

3 World Bank safeguard policies that may be triggered Potential safeguard issues 4.12 natural forest based resources, as the exact impacts cannot be determined beforehand, it is expected that a detailed Process Framework and mitigation will be detailed in the ESFM to address any potential impacts. Forests OP/BP 4.36 Natural habitats OP/BP 4.04 The national REDD+ strategy may include activities in large areas of natural forest. Any critical issues pertaining to forest and potential impacts the implementation of the national REDD+ strategy will be addressed through SESA and potential negative impacts addressed in the ESMF. The national REDD+ strategy may include activities ina number of internationally important SUFs and biodiversity corridors. Any critical issues pertaining to forest and potential impactsof the implementation of the national REDD+ strategywill be addressed through the SESA and potential negative impacts addressed in the ESMF. 3. Objectives of the consultancy The overall objective of the consultancy is to conduct a SESAand design a stand-aloneesmf following international best practices. It is expected that this will involve: (i) diagnostic work on legal, policy and institutional aspects of REDD+ readiness, including assessing existing capacities and gaps to address the identified environmental and social issues; and (ii) developing a framework to address risks, issues and impacts that may occur when implementing the national REDD+ strategy. 4. The SESA The objective of the SESA is to ensure that environmental and social concerns are integrated into Vietnam s national REDD+ strategy, by identifying opportunities to assess and mitigate environmental and socio-economic risks during the preparation and implementation of REDD+ interventions in Vietnam. The SESA may also identify where REDD+ can improve development activities and other social and, orenvironmental measures adopted to combat climate change. As describedabove, the main output of the SESA is the ESMF. The specific purpose of the SESA is to identify opportunities that: Enable an understanding of the operating environment for the REDD+ national strategy, including stakeholder analysis,identifying key social and environmental issues associated withthis strategy; Develop a multi-stakeholder engagement approach to ensure broad participation in the SESA process; and Identify socio-economic risks from the national REDD+ strategy and propose methods and measures to mitigate and managethe environmental and the socio-economic risks. Important aspects that the SESA should address include: Help to identify the main drivers of deforestation and forest degradation and important social and environmental issues associated with these drivers; Identify cross-sector inconsistencies during the preparation of the national REDD+ strategy, to ensure that the strategy optionsidentified in the NRAP are refinedand integrate a broader sector and general development policy approach; and 3

4 Help identify important social and environmental considerations for the sustainability of REDD+. 5. Summary of expected tasksthat the consultant will undertake for the SESAprocess As described in Figure 1 below, the SESA process is broadly divided into three phases: (i) the carrying out of initial assessments(including a stakeholder gap analysis) and the preparation of a SESA work plan; (ii) the identification of environmental and social priorities associated to thenational REDD+ strategy; (iii) the assessment of potential risks and mitigation measures for the implementation of the national REDD+ strategy, which leads to the preparation of the ESMF. A suggested indicative list of tasks is provided below,and clearly some may be carried out in parallel to assist in the conduct of the SESA, however, the tasks should not preclude any additional tasks or activities needed to meet the TOR and desired main outcomes associated with the SESA and ESMF. At least three important workshops should be carried at critical times in the SESA process, these include: (i) an introductory, scene-setting workshop that should be held early in the consultancy to encourage stakeholder contact and participation, help obtain feedback on the current status identify gaps, and help in the prioritization and finalisation of the overall work plan; (ii) a mid-term workshop or workshops to be held at the provincial level to help obtain feedback and identify environmental and social priorities associated to thenational REDD+ strategy at the provincial level; and (iii) a final workshop to present the findings and receive feedback from relevant stakeholders. 6. SESA related activities Introduction, review of the polices, legislative, regulatory and institutional frameworkthat relate to REDD+ readiness Review the previous and on-going work on the legislative, regulatory, institutional and policy framework 4 this should start with a review of the work completed by the Technical and sub Technical Working Groups (TWG) assigned to contribute to this, specifically including a review of: (i) the draft Safeguards Roadmap, (ii) Section 2a of the R-PP; and (iii) other REDD + related documents 5. The focus should be to critically review and build on the proposed policy reforms as part of the REDD+ readiness preparation and theprogressive development and refinement of the REDD+ national strategy. This part of the analysis should also include: A detailed review of the National REDD Action Plan and supporting policies; A review of relevant Laws, Decrees, Decisions, Circulars and government policy documents 6 relating to forest resource use including possible benefit sharing and co management mechanisms; and A brief institutional analysis of the various implementing agencies. A review of the land tenure and resource rights, including the newland Law and any other applicable Decisions or Circulars, for possible impacts on REDD+, to assess, inter alia: (i) the range of land and resource tenure rights and categories of right holders; (ii) the legal status of such rights and any significant ambiguities or gaps in the applicable legal framework, including the rights under customary rights; (iii) the areas that are subject to significant conflicts or 4 In relation to forest resources management, land use, the various forest management boards and state forest companies etc. 5 Such as documents from the UN REDD and the QuangBinh REDD+ projects. 4

5 disputes; and (iv) any potential impacts of the implementation of the national REDD+ strategy on existing land and resource tenure. Review of currentnational REDD+ strategy in Vietnam Taking account of the above, the consultant will briefly review the national REDD+ strategy in Vietnam and identify any gaps and, as part of on-going work, identify initial potential socio-economic and environment risks and possible mitigation measures that may be required to address potential risksduring the implementation of REDD+ interventions and activities. Review of work on stakeholder analysis The consultant will review and update the comprehensive list of stakeholders identified during the drawing up of the R-PP and review the stakeholders identified in the FCPF Communication Plan (April 2014 or updates) that are directly linked with the social and environmental impacts of the REDD+ readiness and implementation process.the consultant will identify and focus on those stakeholders who have most actively engaged in the process so far, and assess if any group of stakeholders has been left out of the process due to lacking awareness and capacity to engage with REDD+ discussions. The feedback solicited during past stakeholder consultations (as part of the R-PP preparation or the preparation of individual projects) should be reviewed during this analysis. The above tasks could take place in parallel and would include outputs in the form of an inception report and work plan, and an introductory workshop. This should introduce the SESA, encourage stakeholder participation and obtain feedback on the current status of REDD status, identify gaps, and help in the prioritization and of the overall work plan. Review of key social and environmental issues of the forestry sector in Vietnam This task is to providean overview and update, where necessary, of the review already undertaken for the R-PP and work for the Emission Reduction Program Idea Noteand draws on the detailed studies of environmental and socio-economic issues related to REDD+ that are already under-way, or already available. The consultant shouldreview the work for gaps and collect, analyse and present data relating to the current environmental and socio-economic situation of the forestry sector inter-related sectors,to update information on the drivers of deforestation and the important socio-economic and environmental issues associated with the drivers, including: An assessment ofthe different forest dependent communities and disadvantaged groups accessing forest resources (following the lines of the stakeholder analysis); A summary review of their relationship to the forests from an ethnic, historical, cultural and economic perspective as well as an analysis of their attachments, access to, and use of forest resources, including the formal and informal institutions and internal mechanisms relating to the use of forests and the sharing of benefits from this utilisation; A summary of their views, concerns and general issues raised and recommendations for the national REDD+ strategy; and Consultations will be undertaken as part of the review process Analysis of the particular institutional needs within the REDD+ implementation framework The consultant will undertake a brief review of the capacity of the institutions at different administrative levels, from the central to the commune level; in particular review their capacity at the different levels to manage and monitor ESMF implementation. The analysis should use Section 2c of the R-PP as a starting point and may propose new gap filling legislation (i.e. outline of a gap filling Decision or Decree) andor Circulars.Any capacity gaps identified should be addressed through a proposed capacity building program. 5

6 The above tasks will necessitate work in representative REDD+ province(s) (the selection of the provincesand districts should be agreed with the project), and should include data collection and assessment of the situation at the District, Commune and village level. The consultant should, in particular, seek the views of forest dependent ethnic minority communities and women forest users. A provincial workshop should be held to help obtain stakeholder participation and feedback from districts and commune and the consultants should provide a summary of issues from the different levels. Assessment of the potentialenvironmental and social risks and impacts of the REDD+ strategic options The consultants will analyse the social and environmental impacts,and propose mitigations where necessary, for each strategic option and, in particular, taking intoaccount the NRAP. The emphasis should be placed on poverty alleviation, environmental protection, sustainable socio-economic development and the protection of biodiversity.this includes, refining REDD+ strategic options to integrate inputs from key stakeholder groups and addresses the main environmental and social issues identified. The final SESA workshop should present the findings of the Consultants work on the SESA for final feedback from stakeholders, and presentations should include the identification of the potential risks, policy and legal gaps, institutional gaps and next steps. 7. The ESMF The World Bank s Operational Policy on Environmental Assessment (OP/BP 4.01) defines the ESMF as an instrument that applies for programs or projects with multiple sub-projects where the impacts cannot be determined at the time of the overall operation s approval. Proposed interventions may be at a relatively early stage of planning, but a set of the principles, rules, guidelines and procedures to address anticipated negative and positive impacts of program activities can be drawn up. The ESMF provides this by specifying measures and provisions for avoiding, reducing, mitigating and/or offsetting negative impacts and enhancing positive impacts. The ESMF responds to binding World Bank safeguard policy provisions and, for this reason, it is a requirement of FCPF supported REDD+ readiness programs.(see figure 1 for an overview of the ESMF process). 8. Expected content of the ESMF The consultant is expected to develop a stand-alone ESMF as an output of the SESA process and the content of the ESMF is expected to include the following: An Environmental Management Framework (EMF) to address any potential environmental impacts, including cumulative and indirect impacts of multiple activities; A Resettlement Policy Framework/Process Framework to address any potential land acquisition and/or physical relocation, loss of livelihoods or restriction of access to natural resources, including SUFnational parks and nature reserves; An Indigenous Peoples Planning Framework (IPPF) to address any effects on Indigenous Peoples (ethnic minorities); A gender action plan to identify key gender concerns, especially potential gender-based risks or unequal benefits that can hamper the welfare of different social groups, targeted opportunities should be identified that can help reduce gender-based disparities in access to and benefits; and Identification of any capacity building needs. 6

7 As a final part of the work on the ESMF, the consultant should conduct a workshop to present the ESMF for final feedback and this should be included in the final reports. 9. Summary of expected tasks that the consultant is expected to undertake for the ESMF process Activities thatcontribute to the development of the ESMF and which the consultant is expected to follow include: The consultant will recommend strategies and procedures to implement the framework in the REDD+ Readiness process 7, with a view to adopting measures that mitigateadverse environmental and socio-economic impacts. The consultant will recommend a simple screening methodology to monitor the activities recommended each in the planning of the REDD+ interventions from a socio-economic and environmental perspective to mitigate risks and negative impacts. The consultant will also recommend a simple monitoring and evaluation system for the socioeconomic and environmental impacts of the REDD+ process, with monitoring indicators, corresponding evaluation procedures and methodology. To avoid duplication of efforts, the consultant will take into consideration the monitoring indicators developed as part of the REDD+ SESA process. Based on the analyses and recommendations above, the consultant will undertake an initial screening to test the compliance of the REDD+ process with the World Bank s Safeguard Policies described in Table 1 above. The consultant will prepare a description of the required arrangements for the implementation and procedures for: (i) screening and assessment of site-specific environmental and socioeconomic impacts; (ii) the preparation of time-bound action plans for mitigating any adverse impacts; and (iii) monitoring the implementation of the action plans, including arrangements for the participation of relevant stakeholders in such monitoring. The consultant will recommend a stakeholder consultation mechanism for the monitoring and evaluation of the REDD+ process. Taking into account the public consultation mechanisms developed under various other REDD+ initiatives, the consultant will make recommendations to increase the understanding of forest management and strengthen the involvement of forest dependent communities, placing particular emphasis on ethnic minorities, women, NGOs and other civil society institutions and the private sector during implementation and monitoring of the REDD+ process. The consultant will include in the EMSF: recommendations on institutional capacity building and provide mechanisms for the inter-institutional arrangements for the preparation of timebound action plans for managing and mitigating adverse impacts related to future projects, activities, or policies/regulations. The consultant will include in the ESMF: recommendations for the establishment of mechanisms to address complaints and grievances that can be followed by individuals or a community. Grievances generally relate to issues that cannot be solved immediately and may not be solved locally. For ethnic minorities affected by the implementation of the REDD+ activities, these issues may include: (a) conflict between communities on access and management of natural resources; and (b) any other matter for grievance in relation to ethnic minority cultures. 7 Including any proposed Emission Reduction program interventions. 7

8 The draft ESMF is required to be publicly disclosed and disseminated through a major consultation event (or through multiple meetings at lower levels). The consultant will address the comments generated during the consultationsduring the finalization the ESMF. Preparation of the final ESMF should be suitable for inclusion in the R-Package. The consultant willensure that the ESMF contain specific sections addressing the requirements of the Government of Vietnam and World Bankapplicable safeguard policies. These sections can take the form of free standing chapters within the ESMF, but would be the frameworks required in the policies. (See sections 1, 2 and 8). The consultant should present the ESMF in relation to the projects, activities and/or policy regulationsassociated to the implementation of the national REDD+ strategy (e.g., methodological improvements, supplements to recommended activities) so that it does not duplicate or overlap with the REDD+ process. Identification of technical support necessary for the implementation of the ESMF The consultant will prepare a proposal to identifythe technical support necessary to support the implementation of the ESMF,this may come from CSOs, individuals, the private sector, communities, organizations with expertise of providing support to the forest sector and on environmental and socioeconomic issues. Proposal for addressing any capacitybuilding required for the implementationof the ESMF The consultant will propose a detailed capacity building strategy (the capacity building could include institutional adjustments or procedures, recruitments or new assignments and training for national, local and regional institutional)to ensure that the ESMF can be effectively implemented. The consultant will recommend public and/or civil society institutions likely to be able to conduct this capacity-building work and define the necessary budget. Determine sources of funds for ESMF implementation. The consultant should develop an estimated budget plan for the implementation of the ESMF for every activity and propose financial sources for ESMF implementation. This estimate should include the need for institutional improvement and training for the implementation of relevant instruments. 10. Overall draftworkplan for the SESA and ESMF An indicative work plan of activities and team inputs is shown below in Figure 2. The final work plan would expect to include a visitto least two provincial REDD+ areas, one of which should be in the upland areas of the North Central Coastal Region. 11. Firm experience and staffing The consultant firm should have experience of undertaking Strategic Environmental Assessments and Social Impact Assessments, Environmental Management Plans; experience of the forest sector and previous knowledge and experience working with the World Bank, including knowledge of the Bank Operational Policies and experience preparing safeguard instruments. All consultants should have relevant, regional and local experience in the required fields; international experience for the team leader and the participatory sociologist would be advantage. Composition of the team As the contract will be on a lump sum basis the inputs for the consultant team members will be proposed by the consultant company, but would be expected to provide a total of about 19 staff months of consultancy. The consultant company is expected to include the following key personnel, which are 8

9 defined in detail: Team leader economist/natural resource development specialist; Rural/development sociologist; Participatory sociologist; Environmentalist specialist. Other staff that could be included in the team are a Social forestry specialist anda Legal and policy specialist, the consultant would also needto make adequate provision for working with ethnic minority communities who may not be familiar with Kinh Vietnamese. Table 2 Key positions Position Qualifications Experience Team leader Rural/development sociologist Social participation sociologist Environmental specialist Master degree in Agricultural Economics, Natural Resource Development Economics and relevant practical experience Master degrees in rural or development sociology Master degree in sociology Master degree in environmental degree or related subject. Table 3 Other positions that could be included in the team More than 10 years with at least 5 years in project planning and management. International experience of REDD+ goals and objectives, government systems, institutional and legal frameworks, and experience of institutional reviews and World Bank safeguards. More than 10 years with at least 5 year experience as a rural sociologist; Experience of REDD+ and with participatory community natural resource management, undertaking Social Impact Assessments, and government systems, and institutional reviews and World Bank safeguards; More than 10 years with at least 5 years experience as a sociologist; Experience with participatory community natural resource management, working with rural communities and ethnic minority communities undertaking Social Impact Assessmentsand World Bank safeguards. More than 10 years with at least 5 yearsworking on environmental aspects of natural resource projects and Strategic Environmental Assessments; Experience of REDD+; communities and forest projects; developing EMPs, and monitoring and evaluation of EMPs / EMFs. Position Qualifications Experience Social forester Legal and policy specialist Master degree in Social Forestry, Forestry with practical experience in social/community forestry, forest conservation and management Master degree in Law or related institutional or policy related studies More than 10 years with at least 5 years in management of forest sector development and community forest management projects. Experience in monitoring and evaluation of conservation or development projects. More than 10 years with at least 5 years in the development of laws, regulatory frameworks related to the management of natural resources. Experience of agricultural or forestry sector development project. 9

10 Tasks for the team are as follows and may be added to as necessary: Team Leader Natural Resource Economist Be responsible for the day to day management of the consultants, their work plans and outputs and ensure quality control; Lead the analysis of policy, institutional and legalreview aspects of the REDD+ program strategy options in the NRAP; Review recent Decisions that may impact on REDD+; With other specialists review of the land tenure and resource rights, including Land Law and any other applicable regulations, for possible impacts on REDD+, to assess, inter alia: (i) the range of land and resource tenure rights and categories of right holders; (ii) the legal status of such rights and any significant ambiguities or gaps in the applicable legal framework, including the rights under customary rights; (iii) the areas that are subject to significant conflicts or disputes; and (iv) any potential impacts of the implementation of the national REDD+ strategy on existing land and resource tenure. Assess the institutional capacity at the deferent levels, from the centre to the Commune, and as necessary Forest MBs or SFCs, to implement the EMF and develop measures aimed at strengthening capacity where required; Review the previous and on-going work on the safeguards roadmap; Lead the overall development of the SESA and the ESMF; Lead on the coordination required to identify and assess the importance, and impact of the various drivers of deforestation and forest degradation; In conjunction with other team members review benefit sharing mechanisms available under REDD+ and review the potential for PFES; Ensure that the SESA and ESMF include and address safeguard issues and that appropriate mechanisms are developed including the development of the Environmental Management Framework, Process Framework, Indigenous People s Plan and Gender Action Plan; Lead on theidentification of potential risks, impacts and the development of mitigations for any potential negative impacts; and In conjunction with other team member propose, as necessary, any improvements to REDD+ policy, including the NRAP, or to the wider supporting legal framework, (this would depend on the findings of the SESA work but could include further work on improving safeguards or benefit sharing mechanisms). Rural Sociologist In conjunction with other team members assess and evaluate the potential socio economicimpact of current and future REDD+ related policies and intervention activities onforest communities; In conjunction with other team members develop a social and environmental screening mechanism andsocial safeguard mechanisms; With the direction from the Team Leader, and with other specialists, review the new Land Law for possible impacts on REDD+; In conjunction with other team members determine the social and institutional issues affecting different line agencies, NGOs Help identify investment risks associated with the REDD+ interventions and identify mitigations for reducing the potential negative impacts on vulnerable communities; Assist with the rapid training needs assessments and review of institutional capacity of institutions involved in the implementation of REDD+ interventions particularly at the Province, District and Forest Management Boards; Assist in assessing the importance and impact of the various drivers of deforestation and forest degradation; In conjunction with other team members review benefit sharing mechanisms available under REDD+ and review the potential for PFES; 10

11 Assess the institutional capacity at the deferent levels, from the centre to the Commune, and as necessary Forest MBs or SFCs, to implement the EMF and develop measures aimed at strengthening capacity where required; Ensure that gender concerns are incorporated into the ESMF, REDD+ options and planning, including the requirement for gender-disaggregated data collection, gender consultation and the gender action plan; and Take the lead in the preparation of the Process Framework (annex or chapter), in consultation other team members involved in the preparation of the Indigenous People s Planning Framework. Social Participation Sociologist Assess the potential social risks and impacts of current and future REDD+interventionson rural and forest dependent communities, particular consideration should be given to poor communities that include a high proportion of ethnic minorities; In conjunction with additional team member assist in reviewing current and proposed potential mitigation mechanisms, that will reduce any potential negative impacts from the national REDD+ strategy on rural communities; Review and contribute to the stakeholder analysis, and communication plans of FCPF and particular attention should be placed on ensuring that the communications will reach the small rural communities; Assist in assessing the importance and impact of the various drivers of deforestation and forest degradation; In conjunction with other team members review benefit sharing mechanisms available under REDD+ and review the potential for PFES at the local community level; Undertake diagnostic stakeholder meetings at the District, Commune, and village level ensuring that ethnic minority villages are adequately represented in any sample, (this should include a brief review of the availability of credit to households); Undertake diagnostic stakeholder meetings with Forest Management Boards (MBs) and State Forest Companies (SFCs) reviewing social and local community participation issues and management capabilities of the MBs and SFCs; Ensure that women stakeholders are enabled to participate and ensure that gender concerns are incorporated into the ESMF, REDD+ options and planning, including the requirement for gender-disaggregated data collection, gender consultation and the gender action plan; Identify any potential areas of conflict between community stakeholders and Forest Management Boards and propose a draft grievance mechanism; and Take the lead in preparation of the Indigenous Peoples Planning Framework (annex or chapter) in consultation with the preparation of the Process Framework. Environmental Specialist Examine the potential environmental risks and impact issues related to REDD+ current and planned interventions; Conduct public consultations on possible environmental impacts. Public consultation should engage groups affected by the proposed REDD+ policies and interventions, and should include, government organisations, for example Forest Management Boards, SFCs, civil society organisations, NGOs and communities; Assist in assessing the importance and impact of the various drivers of deforestation and forest degradation; In consultation with other team members identify potential mitigation measures and monitoring mechanisms; Take the lead preparation of the EMF (chapter or annex)including mitigation activities, budget and institutional arrangements and monitoring mechanisms; and Assess the institutional capacity at the deferent levels, from the centre to the Commune,and as necessary Forest MBs or SFCs, to implement the EMF and develop measures aimed at strengthening capacity where required. 11

12 Social Forester Assess the potential socio-economic issues (positives and negatives), risks and impacts of current and future REDD+interventionson the forest sector, particular attention should be given to forest dependent communities, the current and future role of Forest Management Boards and SFCs; Evaluate the possible options and opportunities provided under REDD+ for community forest management (CFM) and identify the potential bottle necks and issues and suggest solutions within the SESA and ESMF; Identify the principle drivers of deforestation and forest degradation; Within the limits of conducting the SESA assess the current approach to forest protection at the centre to the Commune and village, and review opportunities and options available to improve forest law enforcement, governance and trade (FLEGT) and in particular review roles at the District to the village with a view to increasing responsibility and accountability on forest management and protection; With other specialists review the new Land Law for possible impacts on REDD+; Review documentation on the progress and impact of forest land allocation (FLA, for this figures will need to be obtained from MONRE) and opportunities under REDD+ and include recommendations as necessary to improve the FLA in relation to community forest management (CFM) in the ESMF; Identify roles for the private sector in REDD+ interventions (forest sector) and in particular where the private sector can improve technology transfer to communities and facilitate investment; Assist with the rapid training needs assessments and assessment of the capacity of Forest Management Boards and SFCs; and In conjunction with other team members review benefit sharing mechanisms in REDD+ policies and the potential role for PFES, and identify potential bottle necks and solutions. Legal and policy specialist Review on-going and work completed to date on legal and policy reviews; Identify possible gaps in the reviews and proposes measures to resolve these; With contributions from other specialists review of the land tenure and resource rights, including Land Law and any other applicable regulations, for possible impacts on REDD+, to assess, inter alia: (i) the range of land and resource tenure rights and categories of right holders; (ii) the legal status of such rights and any significant ambiguities or gaps in the applicable legal framework, including the rights under customary rights; (iii) the areas that are subject to significant conflicts or disputes; and (iv) any potential impacts of the implementation of the national REDD+ strategy on existing land and resource tenure. Review processes and progress on forest land allocation (FLA) and opportunities under REDD+ and include recommendations as necessary to improve the FLA process in relation to CFM in the ESMF; Review any recent Decisions such those relating to SFCs, for any possible impacts on the implementation of REDD+; Assess the institutional capacity at the deferent levels, from the centre to the Commune, and as necessary Forest MBs or SFCs, to implement the EMF and contribute to measures aimed at strengthening capacity where required; Specifically review opportunities and options available to improve forest law enforcement, governance and trade (FLEGT) and in particular review roles at the District to village with a view to increasing responsibility and accountability; and In conjunction with other team members review benefit sharing mechanisms in REDD+ policies and the potential role for PFES, and identify potential weaknesses in the PFES approach and suggest solutions. 12

13 12. Annexes Indicative draft table of contents for the EMSF 1. Background and introduction to the ESMF 2. The national REDD+ strategy (a review of the National REDD+Action Plan) 3. Legislative regulatory and policy related to REDD+ (including capacity assessment and a special section on safeguards) 4. Stakeholder consultation processes and grievances 5. Screening and assessment of potential impacts of the REDD+strategy options 6. Mitigation of impacts and safeguard processes that are required 7. Reporting and M&E requirements (including monitoring of safeguards) 8. Work plan,resources and budget Supporting EMSF chapters or annex documents A. Environmental Management Framework to address the potential environmental impacts. B. Resettlement Policy Framework / Process Framework to address any possible relocation, loss of livelihoods or restriction of access to natural resources (by forest dependent groups etc.). The purpose of the Process Framework is to establish a process by which communities potentially affected by restricted natural resource access and the management authority of for example a Forest Management Board engage in a process of informed and meaningful consultations and negotiations to identify and implement means of reducing or mitigating the impact of restricted resource access. It further describes the planning and documentation requirements for such activities under the project. Rules of engagement between the different stakeholders, for example, the forest management authorities and local communities in negotiating acceptable mitigations, this could be through the use of Benefit Sharing Mechanisms. Note that the Process Framework may also apply where land is lost, but in general this would expected to be for exceptional cases only - as normally it would be expected that a boundary would be altered or that the Management Board and community would arrive at a negotiated agreement. Mitigation of REDD+ supported changes to land use planning and land use (loss of land or loss of access) that result in potentially negative impactsfor acommunity. In this case, other aspects of the Process Framework may also apply. C. Indigenous People s Planning Framework to address impacts in indigenous peoples and ensure that they are able to participate if they want. D. Gender Action Plan 13

14 Figure 1 Summary of the SESA and EMSF process 14

15 Figure 2 Indicative activities and team inputs 15

16 Table 4 Detailed outputs SESA related outputs Inception report and work plan Expected outputs Summary of findings and issues from the inception workshop Summary of findings and issues from provincial workshop Report on issues identified for the SESA Summary of findings and issues from final workshop Final report on SESA including potential risks ESMF related outputs Brief inception report and update of work plan for the ESMF ESMF concept report Draft ESMF Final ESMF The final ESMF should contain the following sections they can be presented as separate documents Environmental Management Framework Process Framework Indigenous People s Planning Framework Gender Action Pan Notes and proposed payments Acceptable inception report and work plan 20% payment 10% payment 10% payment 20% payment 10% payment 10% payment 20% payment Table 5 Draft Budget No Items Unit Reimbursable items 1 Local Travel Total (US$) Air Travel Lump sum 2,256 Road Travel Lump sum 2,000 2 Per Diems Accommodation and allowance Lump sum 5,016 4 Miscellaneous Printing, communication, stationary, translation Lump sum 2,000 Sub total reimbursable items 11,272 5 Remuneration Specialists Lump sum 124,972 Subtotal 136,000 6 Contingency 3,756 Total 140,000 Note Key specialist are defined, the mixture and length of the inputs is for the consultant company to propose 16