INTEGRATED SAFEGUARDS DATA SHEET RESTRUCTURING STAGE Note: This ISDS will be considered effective only upon approval of the project restructuring Public Disclosure Copy Report No.: ISDSR16526 Date ISDS Prepared/Updated: 28-Dec-2015 Date ISDS Approved/Disclosed: 21-Mar-2016 I. BASIC INFORMATION 1. Basic Project Data Country: Kenya Project ID: P088600 Project Name: Kenya Agricultural Productivity and Sustainable Land management Project (KAPSLMP) (P088600) Task Team Ladisy Komba Chengula Leader(s): Estimated 04-Oct-2007 Estimated 30-Sep-2010 Appraisal Date: Board Date: Managing Unit: GFA07 Lending Specific Investment Loan Instrument: GEF Focal Land degradation Area: Sector: General agriculture, fishing and forestry sector (36%), Agricultural extension and research (30%), Public administration- Agricultur e, fishing and forestry (22%), Irrigation and drainage (10%), Forestry (2%) Theme: Land administration and management (74%), Water resource management (26%) Public Disclosure Copy Is this project processed under OP 8.50 (Emergency Recovery) or OP 8.00 (Rapid Response to Crises and No Emergencies)? Financing (in USD Million) Total Project Cost: 12.67 Total Bank Financing: 0.00 Financing Gap: 0.00 Financing Source Amount Borrower 2.17 Global Environment Facility (GEF) 10.00 Bank-Netherlands Partnership Program 0.10 Local Communities 0.40 Total 12.67 Environmental B - Partial Assessment Category: Page 1 of 10 Is this a No Repeater Public Disclosure Copy project? 2. Current Global Environmental Objective(s) KAPSLMP development objective is to facilitate agricultural producers in the targeted operational areas to adopt environmentally-sound land management practices without reducing their incomes. The global environment objective of the proposed project is to reduce and mitigate land degradation in the targeted operational areas and to contribute to maint enance of critical ecosystem functions and structures. Proposed New GEO (from Restructuring Paper) KAPSLMP development objective is to facilitate agricultural producers in the targeted operational areas to adopt environmentally-sound land management practices without reducing their incomes. The global environment objective of the proposed project is to reduce and mitigate land degradation in the targeted operational areas and to contribute to maint enance of critical ecosystem functions and structures. 3. Project Description The proposed project has four components: (a) Building capacity for SLM: This component recognizes the critical need for capacity at multiple levels for the implementation of the objectives of the project andseeks to address these gaps. It will target communities and service pro viders for training and capacity enhancement as well as help build a broader awa reness of the potential and impact of SLM. (b) (Investments in community SLM micro-projects: This component will support community Public Disclosure Copy micro-projects. The micro-projects to be supported will be identified within the micro-catchment plans developed by communities to address land degrad ation and/or provide alternate means of livelihoods using a Community Driven Dev elopment (CDD) approach. (c) Strengthening the enabling policy and institutional environment for SLM: This component will strengthen the enabling environment necessary for mainstreamin g sustainable land management approaches through the policy and institutional la ndscape. It will seek to address gaps i n the policy framework, provide support for institutional capacity for cross-sectoral integrated planning of and monitor ing SLM interventions. It will also support improved coordination between agenc ies. Importantly, it will facilitate the evolution towards a national SLM progr am by developing a programmatic approach in the short-term. This component will also pilot the implementation of Payments for Environmental Services (PES) mecha nism in watershed of the rivers that supply water to the Sasumua Water Treatment Plant operated by the Nairobi Water and Sewerage Company. The main outputs of PES pilot willbe (i) a functioning PES program in the catchments serving the Sas umua Reservoir, with payments and recurring costs financed by the Nairobi Water and Sewerage Company; (ii) lessons for the implementation of PES programs in Ken ya and other African countries, and a specific replication strategy for Kenya. (d) Coordination, monitoring and evaluation of project activities: The implementation period for the proposed project is six years. This component will suppor t project Page 2 of 10 coordination and implementation at the national, district and grassroo ts level, both through institutional structures created under the KAPP and those adapted or created under the project as necessary. The project coordination or Public Disclosure Copy gan will include competitively selected personnel with the required skill-mix (S LM/NRM, community and social development, Environmental management, etc). This component will also coordinate the activities related to project monitoring and evaluation (M&E) as well as impact assessment. 4. Project location and salient physical characteristics relevant to the safeguard analysis (if known) Initially, five catchments/operational areas (Ops) were selected but two catchments (Tugen Hills and Yala) were dropped during the Bank?s Quality Enhancement Re view (QER) meeting that was held at the World Bank in June 2007. This decision w as based on the need to concentrate the project activities on a few areas for ma ximum impact. Furthermore, the two dropped catchments are covered by other on-go ing Bank supported projects; Western Kenya Community Driven Development &Flood M itigation Project (WKCCD/FM), Western Kenya Integrated Ecosystem Management Proj ect (WKIEMP), as well as the proposed Lake Victoria Environmental Management Pro ject (LVEMP II). The KAPSLM project now covers the following three catchments/OP s: Cherangani, Kikuyu-Kinale and Taita-Taveta . The three OPs are of high ecological and bio-physical importance and they face high erosion and land degradation hazards that are closely linked to high poverty prevalence. Apart from their bio-physical and ecological importance, these OPs were selected to maximize overlap with KAPP operational areas. The OPs cover a t otal of 11 administrative districts, half of which are KAPP operational district s. 5. Environmental and Social Safeguards Specialists Public Disclosure Copy Banu Setlur (GEN05) Jorge E. Uquillas Rodas (OPSPF) 6. Safeguard Policies Triggered? Explanation (Optional) Environmental Yes Assessment OP/BP 4.01 Natural Habitats OP/BP No 4.04 Forests OP/BP 4.36 No Pest Management OP 4.09 No Physical Cultural No Resources OP/BP 4.11 Indigenous Peoples OP/ Yes BP 4.10 Involuntary Resettlement No OP/BP 4.12 No Page 3 of 10 Safety of Dams OP/BP 4.37 Projects on International No Waterways OP/BP 7.50 Public Disclosure Copy Projects in Disputed No Areas OP/BP 7.60 II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the Restructured project. Identify and describe any potential large scale, significant and/or irreversible impacts: Environmental Assessment (OP 4.01): This Policy is applicable given the project?s emphasis on agricultural productivity and sustainable land management, spannin g three watersheds. The project?s objective is the adoption of SLM practices and technologies to mitigate land degradation and achieve greater productivity of c rops, trees and livestock; and to adopt sustainable alternative livelihood optio ns to diversify and increase income, and reduce the pressure on the natural reso urces. Any potential adverse environmental impacts on environmentally important areas or on human populations are limited, and can be mitigated. The borrower has prepared an ESMF to ensure that all environmental issues are considered duri ng project planning, implementation and monitoring. All sub-project will be give n an environment category. If a subproject is of category A in nature, a separat e EA will need to be prepared and disclosed, before subproject implementation. T he screening process will also identify if any subprojects will need EMPs. Forma t for both EA and EMP are included in the ESMF. The subproject cannot be finally approved and funded until the EA/EMP is approved and disclosed. The micro-proje ct screening criteria and intuitional arrangements through district environment committee (DEC) was agreed upon as part of ESMF.. Public Disclosure Copy Natural Habitats (OP 4.04): The effective management and reversal of degradation of natural habitats through soil and water conservation techniques will lead t o conservation of natural habitats and biodiversity. Pressure on natural habita ts will be decreased through improved on-farm and off-farm biodiversity and agro -biodiversity. The project will not be implemented in any protected area, but w ill target a number of critical natural habitats (wetlands, forest and grassland fragments) for biodiversity conservation. The project will focus on conservati on strategies and hence there will be no degradation or conversion of natural ha bitats. Other project activities are not expected to negatively impact critical habitats directly or indirectly. The ESMF provides communities and extension t eams with the appropriate checklist tools, resource sheets and planning methods to identify any potential impacts of subprojects on natural habitats, reserves, or protected areas, and to develop appropriate mitigation measures to minimize o r avoid damage, or compensate for it. Those activities that are not addressed b y the ESMF and that may have impacts on natural habitats will be identified usin g the screening and review procedures as outlined in chapter 6 of the ESMF. Forests (OP 4.36): This policy is triggered by the project. With the recent passage of the Forest Act, Kenya is advocating a major shift away from exclusive gov ernment conservation and management of forest resources. The Act emphasizes co-m anagement by local communities and private sector for the protection and sustain able use of forests. The Kenya NRM Project (P095050) that was approved by the Bo ard during March 2007 will help operationalize the Act, through the Ministry of Environment and Natural Resources Page 4 of 10 (MENR) and Kenya Forest Service (KFS). This wi ll be done by providing assistance in creating regulatory and institutional fram ework and targeted support to implement the Act. Potential forestry-related envi ronmental impacts such as Public Disclosure Copy introduction of invasive species and impacts from micr o-projects such as farm forestry or agroforestry, small scale woodlots and tree nurseries, apiculture, etc. in the KAPSLM project, will be addressed through imp lementation of the ESMF. Relevant training is also included in the training program for the various stakeholders and included in the overall project cost tables . Pest Management (OP 4.09): Pesticide use among communities in the project areas is low to non- existent. However, some subprojects such as establishment of tre e nurseries; establishment of fenced pastures to restore natural vegetation; agr oforestry for soil fertility replenishment and improved crop production; and, in troduction of improved fallows, may include the use of some fertilizers and pest icides. Hence the Pest Management Policy is triggered. The requirement to scre en for pesticide use is included in the screening checklist process as outlined in chapter 6. Additionally, the borrower has prepared a brief Integrated Pest M anagement Plan (IPM) which will be implemented during the project. The project also includes specialized training in IPM as well as pesticides/insecticides con tainer management. Depending on the nature of the subproject, the screening proc ess will identify the need for the preparation of a separate Pest Management Pla n (PMP). Such a PMP should be prepared and disclosed before the subproject is ap proved and funded. Relevant training is also included in the training program fo r the various stakeholders and included in the overall project cost tables Indigenous Peoples (OP 4.10): There are two tribal groups in the project areas that according to OP 4.10 would be characterized as Indigenous Peoples and thus the policy is triggered. These groups in the Cherangani Hills and the Kinale-Kik uyu catchments are marginalised and social discriminated peoples in their respec tive areas. These indigenous peoples face similar problems whether they are hunt er-gatherers or semi-pastoralists. During project preparation it became clear th at the project might impact on indigenous Public Disclosure Copy peoples? rights, lands, livelihoods an d culture. Given the community driven nature of KAPSLM project, it is not clear now which micro-project will impact the groups, therefore GoK prepared an Indige nous Peoples Planning Framework (IPPF). If through the screening process a micro -project has been identified to have Indigenous Peoples present in, or to have c ollective attachment to, the micro-project area, then the IPPF must be referred to and individual Indigenous Peoples Plan (IPP) prepared and disclosed. The IPPF outlines the relevant steps required in order to ensure that appropriate measur es are put in place to safeguard the rights of affected communities. Safety of Dams (OP 4.37): The policy is not triggered by project activities. It is planned that the Payment for Environmental Services (PES) pilot will be impl emented in the watershed of rivers (Chania and Kiburu) that supply water to the Sasumua Water Treatment Plant operated by Nairobi Water and Sewerage Company. T he Project will establish appropriate institutional arrangements to mediate tran sactions between service users (farmers in the watershed) and providers (NWSC), at acceptable transaction costs. The Project is facilitating the contract proces s between NWSC and the voluntary land users which will enable them to make appro priate land use changes that will reduce sedimentation in the reservoir. The pro ject will finance: (i) technical studies to identify sedimentation problems in t he Sasumua Reservoir and contamination problems in the two rivers; (ii) socio-ec onomic evaluation of upstream areas to identify the specific land users who manage the land from which sedimentation problems originate, as well as the constrai nts they Page 5 of 10 face in making land use decisions. The project will not fund any subpr ojects that will use water from the reservoir. The PES component will enable the farmers upstream to practice appropriate land uses that will result in reduced sedimentation in the reservoir, thereby increasing Public Disclosure Copy sustainability of reservoir w ith associated benefits to water users Involuntary Resettlement (OP 4 .12): The policy is not triggered by project activities. Project will not finance any activities that will trigger the policy. Pro ject activities will not entail in physical relocation and displacement of peopl e or loss of land and/or other assets. The project will not restrict access to l ivelihood. The alternative livelihoods proposed within communities for implementation will also not trigger the policy. The screening checklist for subprojects in the ESMF includes relevant questions with regards to this policy. If any subp roject anticipates land acquisition, or a potential for the policy to be trigger ed, the subproject will not be approved. Physical Cultural Resources (OP 4.11): The policy is not triggered by project activities. However, the requirement to screen for physical cultural resources and chance finds is included in the process set out in the ESMF. Safeguard Policies on Projects in International Waterways (OP 7.50) and Projects in Disputed Area (OP 7.60) are not triggered by project activities. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: Since Indigenous Peoples are part of the project beneficiaries, project activities will benefit them and help in improving their livelihoods, while strengthenin g their capacity for self development. No negative long term impacts are anticipated. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. Public Disclosure Copy All subproject activities will be subjected to environmental and social screening, as described in the safeguards reports. These procedures will allow subprojec t review and clearance authorities to identify and treat any potential adverse i mpacts. As necessary, some subprojects might require specific environmental mana gement plans (EMP) or pest management plans (PMP) to be prepared before implemen tation of subprojects. All subprojects will be given an environment category. If a subproject is of category A in nature, a separate EA will need to be prepared and disclosed, before subproject implementation. Format for an EA is included i n the ESMF. 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. Borrower has prepared an environmental and social management framework (ESMF), integrated pest management (IPM), and indigenous peoples planning framework (IPPF ) as measures to address safeguard policy issues. Both reports have identified t raining, sensitization requirements and capacity building at various levels. Ad ditionally, a brief IPM matrix is included in the ESMF, which will be used as a guide if there is a need for the preparation of a subproject specific Pest Manag ement Plan (PMP). Page 6 of 10 Institutional Arrangements for Implementation of the Safeguard Recommendations: KAPSLM will be implemented through the ministries of Agriculture (MoA) and Minis try of Environment and Natural Resources (MENR) with key participation from Mini Public Disclosure Copy stry of Water and Irrigation (MoWI) and other key relevant institutions mainly K ARI and NEMA. The project?s institutional and implementation arrangements will be linked to the existing arrangement for the ongoing Kenya Agricultural Product ivity Project (KAPP). A KAPSLM Steering Committee linked to the KAPP SC will be formed at the national level, and will report to the sector Inter-ministerial Coordination Committee ( ICC), which consists of the sector Permanent Secretaries. The KAPSLM-SC will be in charge of the work programming for the project, and will be composed of seni or staff from the relevant departments of MoA, MENR, MOWI, MoLS, MoLFD, KARI, NE MA and the NEPAD focal person in Kenya. Capacity of the existing KAPP Secretari at (KS) will be expanded with recruitment of some new expertise, including envir onmental and social expertise, who will be responsible for overall safeguards is sues. Among other roles, the KS will coordinate project activities at the national level and at the three catchments, by guiding and overseeing the activities of the Catchment Area Coordinators (see below). They will implement a monitoring system that is integral to each activity and is effectively linked to planning for per iodic adjustments in activities, when necessary; and will evaluate the project, including community evaluations, to ensure effective implementation. A Catchment Area Coordinator (CAC), will be appointed for each catchment, who will be based in the existing KAPP District Service Unit, DSU; except for the Kiku yu-Kinale catchment, which does not fall under the KAPP operational area. Here, the CAC would be located in the KS, located at KARI headquarters in Nairobi. Th e CAC will monitor activities, identify barriers, be a conduit for information, resources and technical assistance/capacity building, foster community developme nt of micro-watershed Public Disclosure Copy plans, design and implementation of micro-projects (includ ing monitoring and safeguards), and link with provincial and district developmen t and environment committees and officers (DDO, PDO, DEO, PDE) in order to imple ment broader program activities. The CAC will work closely and be assisted by K APP DSU Coordinator, the M&E officer and other officers in the DSU. Public and private service providers including CBOs, NGOs, extension teams and others, will be trained to work with communities in designing, developing and imp lementing micro-projects that are consistent with the micro-watershed plans and meet the criteria set out in the PIP. They will also be trained to use the scree ning checklist in the ESMF to screen micro-project. Additionally, any micro-pro jects that have a potential to trigger the OP 4.12 on Involuntary Resettlement, will not be approved. If a micro-project requires environmental or social mitiga tion measures, then an EMP or PMP will be prepared and attached along with the p roposal before it is submitted for approval. If a micro-project is of category A in nature, an EA will be prepared by a NEMA- registered independent consultant, which will be approved and disclosed before micro-project implementation. The pr oposal will then be reviewed and cleared by the District Environment Committee ( DEC), who will conduct field appraisal before approval, as necessary. The propos al will then go to KAPSLM-SC for final approval and funding, through the KS. Annual environmental and social progress reports will be undertaken by a NEMA-registered independent consultant, at the closing of each year of the project. A f ormat for this report is included in the ESMF, and consultancy costs are include d as part of Page 7 of 10 ESMF implementation costs. The annual environmental and social prog ress reports will be shared with the Inter-ministerial Coordination Committee, K APSLM-Steering Committee, NEMA, KARI, World Bank and other relevant governm ent a gencies. Public Disclosure Copy The Indigenous Peoples Planning Framework (IPPF): Indigenous peoples are among the project beneficiaries in two operational areas, and the project will address issues in its area of influence. During the proposed project preparation it wasagreed that most of the national and policy related issues identified in the IPP F will be supported by the IDA supported NRM project. The proposed KAPSLM will o nly support IPPF activities specific to the operational areas. The NRM Project w ill address key issues regarding IP and other forest-dependent communities in Ke nya: It will harmonize the forest policy with the draft land policy, implement a participatory forest management, support the elaboration of a comprehensive res ettlement policy and rehabilitate in the operational areas (Aberdares, Upper Tan a, Kakamega, Mt Elgon as well as the Nandi and Cherengani hills) the livelihoods of populations, which have been evicted from forests after the new Government w as sworn in December 30, 2002. The project will ensure: (a) that present and p ast settlements, land use areas and cultural sites of IP are comprehensively doc umented; (b) that the IP are well represented in all forest and resettlement rel ated decision-making bodies and processes; (c) that a comprehensive strategy to rehabilitate the livelihoods of evicted IP is elaborated in an open-minded and f ully participatory option assessment; and (d) that this strategy is implemented in a comprehensive and timely manner and that the IP are enabled to benefit from participatory forest management and reforestation. Given the broad-based suppor t of IP under NRM, the proposed KAPSLMP will support capacity building to implement the IPPF, participatory M&E system and IP inclusion in project activities. T he project has set aside US$600, 000 for IPPF and ESMF related activities. Once proposals are presented by the indigenous communities, the micro-projects will be formulated following the guidelines of OP 4.10 (Annex B) concerning preparati on of IPPs and the cost of their implementation will be covered under Components 1 and 2. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. Public Disclosure Copy Extensive consultations have been carried out during the preparation of the ESMF and IPPF, with various stakeholders. In preparation of the ESMF, the consulting team undertook field visits to the five catchments that were initially going to be covered by the project, during Nov ember and December 2005. They met with District Environment and Social Developme nt Officers, youth groups, representatives from Kenya Wildlife Service, Kenya Fo rest Service, and other representatives and stakeholders including local communi ties. Please refer to annex 2 and 3 in the ESMF for further details on the field visits and stakeholders consulted. In preparation of the IPPF, the consultant undertook extensive field visits and consulted with several organizations and individuals. Some of the groups consult ed included: Ogiek Peoples National Assembly, Sengwer Indigenous Development Gro up, African Union Sub-commission on Indigenous People, Indigenous Information Ne twork, Fisherpeoples Network. The consultant also contacted several experts on I ndigenous Peoples issues in Kenya, in several universities both in Africa as wel l as other consultants. Additionally, several workshops were held such as IP wor kshop and IP Stakeholders meeting during January 2006. Please also refer to page s 58 to 70 of the IPPF for a list of peoples and organizations consulted; partic ipants at the IPPF workshop; and minutes from the IPPF stakeholders workshop. Page 8 of 10 B. Disclosure Requirements Environmental Assessment/Audit/Management Plan/Other Public Disclosure Copy Date of receipt by the Bank 21-Sep-2006 Date of submission to InfoShop 30-Jun-2007 For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors "In country" Disclosure Comments: Indigenous Peoples Development Plan/Framework Date of receipt by the Bank 22-Jan-2007 Date of submission to InfoShop 30-Jun-2007 "In country" Disclosure Comments: If the project triggers the Pest Management and/or Physical Cultural Resources policies, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/ Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) Yes [ ] No [ ] NA [ ] Public Disclosure Copy report? OP/BP 4.10 - Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Framework Yes [ ] No [ ] NA [ ] (as appropriate) been prepared in consultation with affected Indigenous Peoples? If yes, then did the Regional unit responsible for safeguards or Yes [ ] No [ ] NA [ ] Practice Manager review the plan? If the whole project is designed to benefit IP, has the design Yes [ ] No [ ] NA [ ] been reviewed and approved by the Regional Social Development Unit or Practice Manager? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the Yes [ ] No [ ] NA [ ] World Bank's Infoshop? Have relevant documents been disclosed in-country in a public Yes [ ] No [ ] NA [ ] place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Page 9 of 10 Have satisfactory calendar, budget and clear institutional Yes [ ] No [ ] NA [ ] responsibilities been prepared for the implementation of measures related to safeguard policies? Public Disclosure Copy Have costs related to safeguard policy measures been included Yes [ ] No [ ] NA [ ] in the project cost? Does the Monitoring and Evaluation system of the project Yes [ ] No [ ] NA [ ] include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed Yes [ ] No [ ] NA [ ] with the borrower and the same been adequately reflected in the project legal documents? III. APPROVALS Task Team Leader(s): Name: Ladisy Komba Chengula Approved By Safeguards Advisor: Name: Johanna van Tilburg (SA) Date: 29-Dec-2015 Practice Manager/ Name: Preeti S. Ahuja (PMGR) Date: 21-Mar-2016 Manager: Public Disclosure Copy Page 10 of 10