INTEGRATED SAFEGUARDS DATASHEET APPRAISAL STAGE Report No.: 83312 Date prepared/updated: December 5, 2013 I. Basic Information 1. Basic Project Data Country: Forum for Agricultural Research in Project ID: P147000 Africa (FARA) Additional Project ID (if any): P112684 Project Name: FARA Multi-Donor Trust Fund (MDTF) Task Team Leader: David J. Nielson Estimated Appraisal Date: 11/22/13 Estimated Board Date: N/A Managing Unit: AFTA2 Lending Instrument: Trust Fund Sector: Agricultural extension and research (80%), Tertiary education (10%), Vocational training (5%), adult literacy/non-formal education (5%) Theme: Rural policies and institutions (50%), Rural services and infrastructure (50%) IBRD Amount (US$m.): IDA Amount (US$m.): GEF Amount (US$m.): PCF Amount (US$m.): CAADP Pillar IV Institutions: 45.0 Other financing amounts by source: Environmental Category: C – Not required Is this a transferred project Yes [ ] No [ X ] Simplified Processing Simple [ ] Repeater [ ] Is this project processed under OP 8.00 (Rapid Response to Crises Yes [ ] No [X] and Emergencies) 2. Project Objectives: Original PDO: To align African agricultural institutions at the national, regional and continental levels with the principles and objectives of the Comprehensive African Agricultural Development Program (CAADP) – Pillar IV, for effective agricultural research, extension, technology adoption, and training and education. Revised PDO: To strengthen Africa’s capacity for agricultural innovation with purposefully determined outcomes, creating capacity for innovation and enabling environments for implementation. 3. Project Description: FARA is a continent-wide umbrella organization bringing together and forming coalitions of major stakeholders in agricultural research and development in Africa. The original MDTF supports FARA’s medium-term operational plan (MTOP I) covering the period 2009-2013 and has four components, the first three of which are recipient-executed and the last Bank-executed:  Component 1: Networking Support Functions (NSFs)  Component 2: Corporate Governance Reform Stream & Program Management  Component 3: Sub-grants for Sub-projects  Component 4: Management and Supervision of the Trust Fund (Bank-executed) FARA plays advocacy and coordination roles for agricultural research for development and supports the generation, dissemination and adoption of agricultural innovations. Through MTOP I, FARA complemented the activities of national, international and sub-regional organizations (SROs) to deliver more responsive and effective services to its stakeholders. The additional financing will support FARA’s MTOP II, which builds on the achievements of the 2009–2013 MTOP, however, whereas the previous MTOP focused on the Networking Support Functions of its constituent members, the current MTOP seeks to chart strategic directions that will enable the FARA Secretariat to position itself to respond to the continental imperatives of the forum. In this regard, it will take on board the emerging issues confronting the agricultural research and development community in Africa. The services now demanded of FARA revolve around providing strategic leadership and foresight, facilitating collective action on priority areas that require regional solutions and strengthening the capacity of national programs to make them more effective partners in solving regional issues. These roles attributed to FARA have been distilled into three Strategic Priorities (SPs): a) Visioning Africa’s agricultural transformation – with foresight, strategic analysis and partnerships. The objective is to enable more productive engagement between the public and private sectors in all aspects of supply and value chains. This will lead to the ‘creation’ of an integral agricultural innovation system along with improved trade (especially intra-Africa trade) and marketing. b) Integrating capacities for change – by connecting and learning. The objective is to advocate, catalyze and facilitate the strategic reforms, processes and mechanisms that will connect and combine the capacities of actors within the knowledge system. This will also strengthen human, organizational and institutional capacities for agricultural innovation. c) Creating an enabling environment for implementation – by advocating and communicating. The objective for pro-agricultural development advocacy is to convince African governments that strong agricultural innovation systems are the linchpins of economic development and food security and they must invest more themselves and rely less on donors. Additional financing activities will focus on the above SPs. Tracking emerging opportunities and risks and providing foresight and guidance to agricultural research and innovation will be one of the main activities of the AF. For this, FARA will host the African Chapter of the Foresight Academy that will enable and encourage African decision makers, organizations and experts to use foresight systematically as a strategic tool. FARA will fulfill this mandate by continuing to spearhead and facilitate the Dublin Process for developing the African science agenda for agriculture. In this process, it will ensure that African regional institutions are brought into the science agenda and enabled to contribute and build Africa’s self-reliance in agricultural sciences. FARA will also continue to promote intra- and inter-continental platforms and partnerships, building on experiences from the North–South and South–South partnerships that have developed over the last ten years. FARA will strengthen interactions and partnerships among farmers, research, education, extension, and trade and agribusiness organizations. It will continue to support such recently established regional organizations and encourage and foster links between these organizations and others. It will also spearhead the identification and redefinition of skill sets as demanded by public and private sector actors. FARA will support the development of partnerships between countries, institutions and local programs as a means to enhance capacity strengthening, while bringing together the critical mass needed to undertake complex agricultural training and advisory tasks. Strengthening human, organizational and institutional capacities for agricultural innovation will be one of its main activities through the selection of supporting activities that exploit FARA’s continental perspective by networking, coordinating and harnessing the strengths of its stakeholders. Finally, FARA will promote networking and facilitate engagement among the economic research community and policy makers concerning strategic policy issues affecting agricultural development in Africa. It will also promote the exchange of economic policy research results and the sharing of best practice policy options among policy research institutions, policy makers and the broader community of CAADP stakeholders through several avenues, including workshops, seminars, conferences and publications. 4. Project Location and salient physical characteristics relevant to the safeguard analysis: The FARA Secretariat is located in Accra, Ghana. No physical or civil works will be undertaken under the additional financing. 5. Environmental and Social Safeguards Specialists on the Team: N/A 6. Safeguard Policies Triggered (please explain why) Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Forests (OP/BP 4.36) X Pest Management (OP 4.09) X Physical Cultural Resources (OP/BP 4.11) X Indigenous Peoples (OP/BP 4.10) X Involuntary Resettlement (OP/BP 4.12) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP 7.50) X Projects in Disputed Areas (OP/BP 7.60) X II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: The original Environmental Assessment category of the Trust Fund was B, with the Environmental Assessment, Pest Management, Forests and International Waterways policies triggered. At the time of preparation of the original project, it was expected that FARA’s Networking Support Functions would provide sub-grants for sub-projects that might trigger the above safeguard policies. FARA prepared an Environmental Management Framework (EMF) covering the requirements of all three of the policies triggered and it was approved by the Bank on January 6, 2009. The EMF is linked to FARA’s Environmental Policy and Action Plan and is posted on FARA’s website and in the Bank InfoShop. It identified procedures and responsibilities necessary for the effective implementation of these applicable safeguards policies. Over the past 4 years, FARA financed two sub-grants – one to the African Forum for Agricultural Research in Africa (AFAAS) and the other to the Center for the Coordination of Agricultural Research and Development in Southern Africa (CCARDESA). Both sub-grants supported advocacy and networking activities, as well as operational costs of the two institutions. During project implementation, the overall approach to sub-grants was not designed to finance any research or civil works. Therefore, none of the three policies were triggered during the current project implementation, which is due to close on December 31, 2013. Under the additional financing, the support to be provided through sub-grants would be of the same nature, so no safeguard policies are expected to be triggered. The project team therefore requests that the Environmental Category be downgraded from B – Partial Assessment (original) to Category C (additional financing). 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: N/A 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts: N/A 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: N/A 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people: N/A B. Disclosure Requirements Date Environmental Assessment/Audit/Management Plan/Other: Was the document disclosed prior to appraisal? N/A Date of receipt by the Bank N/A Date of "in-country" disclosure N/A Date of submission to InfoShop N/A For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors Resettlement Action Plan/Framework/Policy Process: Was the document disclosed prior to appraisal? N/A Date of receipt by the Bank N/A Date of "in-country" disclosure N/A Date of submission to InfoShop N/A Indigenous Peoples Plan/Planning Framework: Was the document disclosed prior to appraisal? N/A Date of receipt by the Bank N/A Date of "in-country" disclosure N/A Date of submission to InfoShop N/A Pest Management Plan: Was the document disclosed prior to appraisal? N/A Date of receipt by the Bank N/A Date of "in-country" disclosure N/A Date of submission to InfoShop N/A * 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 (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP 4.01 - Environment Assessment Does the project require a stand-alone EA (including Yes [ ] No [ ] N/A [ X ] EMP) report? If yes, then did the Regional Environment Unit or Sector Manager (SM) review and approve the EA report? Are the cost and the accountabilities for the EMP incorporated in the credit/loan? OP/BP 4.04 - Natural Habitats Would the project result in any significant conversion or Yes [ ] No [ ] N/A [X] degradation of critical natural habitats? If the project would result in significant conversion or degradation of other (non-critical) natural habitats, does the project include mitigation measures acceptable to the Bank? OP 4.09 - Pest Management Does the EA adequately address the pest management Yes [ ] No [ ] N/A [ X ] issues? Is a separate PMP required? Yes [ ] No [ ] N/A [ X ] If yes, has the PMP been reviewed and approved by a safeguards specialist or Sector Manager? Are PMP requirements included in project design? If yes, does the project team include a Pest Management Specialist? OP/BP 4.11 – Physical Cultural Resources Does the EA include adequate measures related to Yes [ ] No [ ] N/A [X] cultural property? Does the credit/loan incorporate mechanisms to mitigate the potential adverse impacts on physical cultural resources? OP/BP 4.10 - Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Yes [ ] No [ ] N/A [X] Framework (as appropriate) been prepared in consultation with affected Indigenous Peoples? If yes, then did the Regional unit responsible for safeguards or Sector Manager review the plan? If the whole project is designed to benefit IP, has the design been reviewed and approved by the Regional Social Development Unit? OP/BP 4.12 - Involuntary Resettlement Has a resettlement plan/abbreviated plan/policy Yes [ ] No [ ] N/A [X] framework/process framework (as appropriate) been prepared? If yes, then did the Regional unit responsible for safeguards or Sector Manager review and approve the plan/policy framework/process framework? OP/BP 4.36 – Forests Has the sector-wide analysis of policy and institutional Yes [ ] No [ ] N/A [X] issues and constraints been carried out? Does the project design include satisfactory measures to overcome these constraints? Does the project finance commercial harvesting, and if so, does it include provisions for certification system? OP/BP 4.37 - Safety of Dams Have dam safety plans been prepared? Yes [ ] No [ ] N/A [X] Have the TORs as well as composition for the independent Panel of Experts (POE) been reviewed and approved by the Bank? Has an Emergency Preparedness Plan (EPP) been prepared and arrangements been made for public awareness and training? OP/BP 7.50 - Projects on International Waterways Have the other riparians been notified of the project? Yes [ ] No [ ] N/A [X] If the project falls under one of the exceptions to the notification requirement, has this been cleared with the Legal Department, and the memo to the RVP prepared and sent? What are the reasons for the exception? Please explain: Has the RVP approved such an exception? OP/BP 7.60 - Projects in Disputed Areas Has the memo conveying all pertinent information on the Yes [ ] No [ ] N/A [X] international aspects of the project, including the procedures to be followed, and the recommendations for dealing with the issue, been prepared Does the PAD/MOP include the standard disclaimer referred to in the OP? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to Yes [X] No [ ] N/A [ ] the World Bank's Infoshop? Have relevant documents been disclosed in-country in a The Bank-approved EMF is public place in a form and language that are available on FARA’s website: understandable and accessible to project-affected groups http://www.fara- and local NGOs? africa.org/search/?q=EMF&go.x=0&go.y=0 All Safeguard Policies Have satisfactory calendar, budget and clear institutional Yes [ ] No [ ] N/A [X] responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included in the project cost? Does the Monitoring and Evaluation system of the project include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? D. Approvals Signed and submitted by: Name Date Task Team Leader: David J. Nielson Environmental Specialist: N/A Social Development Specialist N/A Additional Environmental and/or N/A Social Development Specialist(s): Approved by: Regional Safeguards Coordinator: Alexandra Bezeredi Comments: Sector Manager: Severin Kodderitzsch Comments: (Template Version November 2007)