Environmental and Social Safeguard Procedure (ESSP) for Forest Investment ProgramII

1. Introduction

The Forest Investment ProgramII (FIPII) is a multidonor, multiyear initiative that supports developing countries in restoring and sustainably managing forest landscapes. To safeguard biodiversity, ecosystem services, and the rights of forestdependent peoples, the programme adopts an Environmental and Social Safeguard Procedure (ESSP). This document outlines the procedural steps, responsibilities, and standards that must be followed by all FIPII projects.

2. Objectives of the ESSP

• Ensure that project activities do not cause undue harm to the environment or to local communities.
• Identify, assess and manage potential environmental and social risks early in the project cycle.
• Promote compliance with national laws, international conventions and the World Banks Environmental and Social Framework (ESF).
• Facilitate transparent stakeholder engagement and grievance redress.
• Support the achievement of the United Nations Sustainable Development Goals (SDGs), particularly SDG13 (Climate Action) and SDG15 (Life on Land).

3. Legal and Policy Framework

The ESSP draws upon three tiers of authority:

1. International standards: World Bank ESF, UN Guiding Principles on Business and Human Rights, Convention on Biological Diversity, and the UN Declaration on the Rights of Indigenous Peoples.
2. Regional agreements: ASEAN Agreement on Transboundary Haze Pollution, African Union Forest Landscape Restoration Initiative (AFR100), etc.
3. National legislation: Countryspecific forest codes, environmental impact assessment (EIA) laws, landuse planning statutes and labor regulations.

Compliance with all applicable tiers is mandatory. Where national law is less stringent than international standards, the higher standard shall prevail.

4. Core Safeguard Principles

All FIPII projects must respect the following principles:

• Conservation of biodiversity: Avoid irreversible loss of habitats, species and ecosystem functions.
• Protection of water resources: Preserve water quality and quantity for downstream users.
• Rights of indigenous peoples and local communities (IPLCs): Obtain free, prior and informed consent (FPIC) where required, and ensure participation in decisionmaking.
• Gender equity: Address different impacts on women and men and promote equal benefits.
• Climate resilience: Integrate climate risk assessments and promote lowcarbon solutions.
• Transparency and accountability: Publish key safeguard documents and maintain open grievance mechanisms.

5. Institutional Arrangements

Effective implementation relies on clear roles:

6. Procedural Steps

6.1 Screening

All proposed activities undergo an initial safeguard screening based on three criteria:

1. Potential for significant biodiversity loss.
2. Potential for displacement or adverse impacts on IPLCs.
3. Potential for high greenhousegas emissions or climate vulnerability.

If any criterion is met, the project proceeds to a full Environmental and Social Impact Assessment (ESIA). Otherwise, a simplified mitigation plan may be approved.

6.2 Scoping and Baseline Studies

Scoping workshops with the CAB and relevant ministries identify key environmental and social issues. Baseline data are collected on:

• Forest cover and species inventories.
• Hydrological regimes.
• Land tenure, resource use rights, and cultural heritage sites.
• Socioeconomic conditions, gender roles, and livelihood dependence on forest resources.

6.3 Impact Assessment

The ESIA evaluates magnitude, likelihood, duration and reversibility of impacts. Impacts are classified as:

• Significant Positive
• Significant Negative
• Insignificant

Mitigation hierarchy (avoid, minimize, restore, offset) is applied to all significant negative impacts.

6.4 Mitigation and Management Planning

A detailed Environmental and Social Management Plan (ESMP) is drafted, specifying:

• Specific mitigation actions, responsible parties and timelines.
• Monitoring indicators, data collection methods and reporting frequency.
• Budget allocations for mitigation and monitoring.
• Capacitybuilding measures for local authorities and communities.

6.5 Approval and Disclosure

The ESIA and ESMP are submitted to the ISRP for technical review. After ISRP endorsement, the Steering Committee grants final approval. All safeguard documents are uploaded to the public FIPII portal within 30 days of approval.

6.6 Implementation, Monitoring & Reporting

The PIU implements mitigation measures while the National Coordinating Unit conducts quarterly field monitoring. Monitoring reports are submitted to the Steering Committee and made publicly available. Adaptive management is triggered when indicators exceed predefined thresholds.

6.7 Grievance Redress Mechanism (GRM)

The GRM provides a clear, accessible pathway for affected parties to raise concerns. Key features include:

• Multiple submission channels (inperson, hotline, online).
• Timelines: acknowledgment within 5days, resolution or response within 30days.
• Escalation procedures to the Steering Committee and, if necessary, to the World Banks Inspection Panel.

7. Key Safeguard Topics

7.1 Biodiversity Conservation

Projects must:

• Map and protect highconservation-value (HCV) areas.
• Develop and implement speciesspecific action plans for threatened flora and fauna.
• Promote restoration using native species and avoid the introduction of invasive exotics.

7.2 Water Resources

Measures include maintaining riparian buffers, monitoring sediment loads, and ensuring that any water extraction complies with national wateruse permits.

7.3 Land Tenure and Indigenous Rights

Prior to land acquisition, a thorough tenureverification study is carried out. Where customary rights exist, FPIC is obtained and benefitsharing agreements are negotiated.

7.4 Gender and Social Inclusion

Gender analysis informs the design of livelihoodenhancement components. Womens groups are consulted separately to identify barriers to participation and to develop targeted capacitybuilding programs.

7.5 Climate Change

Carbon accounting follows the Intergovernmental Panel on Climate Change (IPCC) guidelines. Activities that generate emissions (e.g., use of heavy machinery) are offset through additional reforestation or avoideddeforestation projects.

8. Monitoring Indicators (Sample)

9. Capacity Building and Institutional Strengthening

To sustain safeguard performance, the programme invests in:

• Training for local forest officers on ESIA preparation and monitoring.
• Workshops for community leaders on FPIC, gender equity and grievance handling.
• Technical assistance for developing national ESMP templates aligned with the ESF.

10. Conclusion

The Environmental and Social Safeguard Procedure is a cornerstone of Forest Investment ProgramII, ensuring that forest restoration delivers ecological benefits while respecting the rights and livelihoods of forestdependent peoples. By following a transparent, riskbased processfrom screening through to monitoring and grievance resolutionFIPII can achieve its dual goals of climate mitigation and biodiversity conservation, contributing meaningfully to global sustainable development agendas.