1. USAID LEAF Regional Climate Change Curriculum Development Module: Social and Environmental Soundness (SES) Section 2. What Social And Environmental Issues Exist: Strengthening Design And Implementation of REDD+ 2.3. Stakeholder Participation

2. NameAffiliationNameAffiliation Surin Onprom; Co-Lead Kasetsart University, Thailand Tran Thi Thu HaVietnam Forestry University Penporn Janekarnkij; Co-Lead Kasetsart University, Thailand Nguyen Dinh HaiVietnam Forestry University Rejani Kunjappan; Co-Lead RECOFTC Thailand Vo Mai AnhVietnam Forestry University Claudia Radel; Co-Lead Utah State University Tran Tuan VietVietnam Forestry University Sarah Hines; Co-Lead US Forest Service Cao Tien TrungVinh University, Vietnam Sidthinat Prabudhanitisarn Chiang Mai University, Thailand Nguyen T. Trang ThanhVinh University, Vietnam Sharifah Zarina Syed Zakaria University Kebangsaan Malaysia Nguyen Thu HaUSAID Vietnam Forests & Deltas Mohd Rusli Yacob University Putra Malaysia Maeve NightingaleIUCN MFF Kaisone Phengspha National University of Laos Guada LagradaPACT MPE Phansamai Phengspha National University of Laos Le Van Trung DARD Lam Dong Kethsa Nanthavongduangsy National University of Laos Nguyen Thi Kim Oanh AIT Thailand Freddie Alei University of Papua New Guinea David GanzUSAID LEAF Bangkok Chay Kongkruy Royal University of Agriculture, Cambodia Kalpana GiriUSAID LEAF Bangkok Soreivathanak Reasey Hoy Royal University of Phnom Penh, Cambodia Chi Pham Project Coordinator USAID LEAF Bangkok

3. I.INTRODUCTION AND BACKGROUND 1.1.Introduction to Climate Change 1.2.The Climate Change Mitigation & Adaptation Context 1.3.Introduction to Social and Environmental Soundness (SES) 1.4.Guiding Frameworks – Sustainable Development & Ethics II.WHAT SOCIAL AND ENVIRONMENTAL ISSUES EXIST: STRENGHENING DESIGN AND IMPLEMENTATION OF REDD 2.1.Environmental Co-benefits: Introduction to Biodiversity and Ecosystem Services 2.1.1.Carbon/REDD+ Project Accounting, Carbon Monitoring & MRV 2.2.Governance 2.2.1. Regulatory Framework, Forest Tenure, and Carbon Rights 2.3. Stakeholder Participation 2.3.1. FPIC 2.4. Social Co-benefits 2.5. Gender Equity and Women’s Empowerment 2.5.1. Gender Analysis Tools 2.5.2. Women’s Empowerment in Agriculture Index 2.6. Indigenous Peoples and their Empowerment 2.7. Local Livelihoods: An Introduction 2.7.1 Livelihoods impact Case Study: April Salumei, PNG 2.8. REDD+ Benefits Sharing 2.9. Economic and Financial Viability and Sustainability III.STATE OF THE ART IN ACTION: BRINGING THE PIECES TOGETHER 3.1.Safeguard Mechanisms in REDD+ Programs 3.2.Streamlining of Safeguards and Standards 3.3.Developing National Level Safeguards

4. At the end of the module, learners will be able to:  Identify who are the stakeholders and what are their stakes within a REDD+ project context  Apply the 4R Stakeholder Analysis Tool to analyze within a REDD+ project context  Explain the various forms and levels of participation, the core values of participatory decision-making, and how this impacts on stakeholders in REDD+

5.  Stakeholders and their stake in REDD+  Why a stakeholder analysis is important  Using the 4R Stakeholder Analysis tool  Stakeholder participation and participatory decision

6.  Brainstorming  Small Group Discussions  Lecture - Mapping Tool: Applying 4R ( Rights, Returns, Responsibilities and Relationships) Stakeholder Analysis Tool  Case Study  Group Presentations  Short Video

7. Possible Pre-Class Readings or Viewings:  Handout: Kalimantan Forest Carbon Partnership (KFCP) Case Study  Handout: Newspaper Article, “The End of the KFCP Project”  A 15-minute video on the KFCP activity in the Kapuas District in Central Kalimantan, Indonesia, http://vimeo.com/16239538http://vimeo.com/16239538  Engel, Antonia and Benedict Korf. 2005. Negotiation and Mediation Techniques for Natural Resource Management. FAO, Pp. 102-107; 109-120.  Grimble, Robin. 1998. Stakeholder Methodology in Natural Resource Management. Natural Resources Institute, The University of Greenwich. http://www.nri.org/projects/publications/bpg/bpg02.pdf http://www.nri.org/projects/publications/bpg/bpg02.pdf

8.  Who are stakeholders within the context of REDD+?  What is their stake?  Why do a Stakeholder Analysis?

9. A Stakeholder is : “…An individual, group or institution that has an interest in a particular forest resource …”(RECOFTC) “…groups/individuals that are affected by the outcome of a conflict, as well as those who influence the outcome…” (FAO)

10. Primary Stakeholders: “…are those most affected by and are dependent on the resources…” Secondary Stakeholders : “…are those who are more indirectly or less affected or dependant on the resources…”

11. A “stake” can be:  particular forest product e.g. fuel wood; meat, timber non-timber forest products; crops, water, carbon  particular forest service e.g. recreation; biodiversity conservation; scenic beauty, cultural significance, soil erosion control  particular interests e.g. benefit, profit, influence, power

13.  Identify and define key stakeholders  Identify who needs to participate( primary stakeholders) in the project, and  Assess how these stakeholders be affected or might affect the REDD+ interventions (positively or negatively)

14.  Identify the multiple interests and objectives of stakeholders in relation to the particular REDD+ project  Understand the actual resources, influence, authority or power that stakeholders can have on particular REDD+ initiatives

15.  Assess the most appropriate means for them to participate  Assess the capacity of stakeholders to participate in the planning process  Begin to understand potential stakeholder conflicts that could arise in REDD+

16. R ights R esponsibilities R eturns (or benefits) R elationships

17. What are their legal rights to use natural resources?  Access to and use of resources (statutory and customary)  Ownership of resources (statutory and customary)  Decision-making over resource use and management (e.g. setting by-laws, enforcement/fines, zoning/ exclusion, licensing/income, etc.)

18. What are their official and unofficial responsibilities for natural resources?  Forest/resource management (planning, monitoring, measurement, etc.)  Implementing decisions in rules, regulations, procedures, etc.  Abiding by rules & regulations

19. What do they get from the natural resources (their benefits or products)? What might they get from REDD+ activities?  Direct benefits arising from forest resources  Direct benefits derived from employment related to the resource/area  Indirect benefits such as those accruing to entire community from resource management agreements, or from REDD+ activities

20. What are the relationships between stakeholder groups, at various levels and scales?  Inter-relationships among stakeholders (i.e. within the community) or intra-relationships of the particular community with others ( i.e. with outside of the community) and what are the implications of these relationships  Conflict among stakeholders

21. StakeholdersRightsResponsibilityRelationshipReturns Stakeholder A Stakeholder B Stakeholder C

22. Instructions: 1. Read the case study on a REDD+ project in Kalimantan, Indonesia (KFCP) and view the video at http://vimeo.com/16239538. http://vimeo.com/16239538 2. Break out in small groups and using the 4R Stakeholder Analysis Matrix, fill up the template on the 4Rs (rights, responsibilities, relationships, returns) for the case study. 3. Make sure you consider the following questions: (on next slide) Continued on next slide…

23. a. Who are the stakeholder/stakeholder groups? b. Who is affected? How are they affected? c. Who influences? What can they influence? Who has the relative power to influence the way a REDD+ project unfolds? How do they exert to the others? How do they exercise this power? d. Who has rights? What are their rights? Is it customary or statutory? How do they exercise these rights? e. What are their responsibilities? How do they execute their responsibilities? Continued on next slide…

24. f. Who gets the benefits/returns? What are these returns? Are there any trades–offs? g. What are the relationships among stakeholder/ stakeholder groups? Are there inter and intra community relationships? How strong/weak are these relationships? What are the benefits to stakeholder/ stakeholder groups due from these relationships? How does the relative power influence these relationships?

26. Key Points on Stakeholder Analysis: 1. It is a reiterative and not a one-off, as new stakeholders come into the scene and the REDD+ project evolves. 2. It can be done in an participatory manner. 3. It requires building trust and fostering communication and collaboration. Question for Discussion: Are some stakeholders legitimate and others not?

27. Pair and Share Activity: Take 5 minutes to discuss with a partner your understanding of the word: “PARTICIPATION” Use the context of climate change mitigation and REDD+.

28. Two Key Dimensions to Participation:  Participation at Different Levels  Different Types of Participation

29. Participation is influenced by :  Purpose of the initiative  Timeframe  Enabling conditions  Political environment  National policies and legislation  Resources – financial and human

30.  Helps to balance out costs and benefits  Reduces conflicts among major stakeholders  Increases social (and political) acceptability  Leads to empowerment of marginalised groups  Can be more cost- and resource-efficient in the long term  Increases awareness at all levels  Enhances skills of various stakeholders

31.  Combines and build on scientific and traditional knowledge  Can lead to a ‘win-win’ situation: project designed in a way that benefits the participants rather than potentially having negative impacts on local participants  Increases ownership by community  Improves long term management and sustainability

32. Self-mobilization: communities participate by taking initiatives independent of external institutions to change systems: external agents may play facilitating or catalytic role. Interactive participation: Communities participate in joint analysis, leading to action, formation of new local groups or strengthening of existing ones; local stakeholders take control over local decisions, giving them an incentive in maintaining structures or practices. Functional Participation: Communities participate by forming groups to meet pre-determined objectives of a program; driven by external stakeholders; such involvement does not tend to be at the planning stage but after major decisions have been made; such institutions may be dependent on external initiators but can also become self-dependent. Participation by consultation: Communities participate by being consulted, and external stakeholders consider their knowledge and interests; outsiders define both problems and solutions but may modify these based on local people’s responses; process does not concede any share in decision-making and outsiders are under no obligation to take on board people’s views. Participation by information giving: Communities participate by answering questions posed by external stakeholders or project staff: they do not have opportunity to influence decision-making as findings are not shared. Passive participation: Decisions made by powerful ‘external’ stakeholders only; local communities participate by being told what is going to happen or has already happened.

33. Discuss in groups of 5 members : What are 5 Key Attributes that are needed for stakeholders to be able to participate effectively in REDD+ projects? Group Pair and Share:  Chose another group to partner.  Discuss the rationale for the attributes you have chosen.  Discuss how these attributes allow for better stakeholder participation.

34. Key Points 1. Different levels of participation require different approaches. 2. Certain attributes encourage participation in REDD+ projects. 3. Level of participation is influenced by certain factors. 4. Core Values for Participatory Processes underpin stakeholder participation at all levels of engagement. 1. Mutual Understanding 2. Full Participation 3. Inclusive Solutions 4. Shared Responsibility

35. Based on the case study of Ratnakiri, Cambodia and the accompanying questions, Write a 2 page report entitled: Stakeholder Participation in REDD+ Please include the following in your report:  Analyse stakeholders using the 4R Stakeholder Analysis Matrix.  Present the levels and types of participation in the project.  Discuss briefly each of the four core values for participatory processes.  Suggest different ways that stakeholders could be provided with avenues to participate in the project.

36.  There can be a variety of different stakeholders and stakes in relation to a REDD+ project, and their successful identification is key to project success.  A variety of different tools can assist one in identifying stakeholders and stakes. One useful tool is the 4R Stakeholder Analysis Tool, which covers rights responsibilities, returns (or benefits), and relationships.  Stakeholders should then participate in REDD+ projects for various reasons, but participation can take different forms and occur at different levels.  It also important to consider the values underpinning participation which provide the rationale as to why stakeholder participation in important in ensuring sustainability of a REDD+ project.

37. 1. Braakman, L. and K. Edwards. 2002. The Art of Facilitation Capacities: A Training Manual. RECOFTC, Pp. 38-47 and 195. 2. Department of Water Affairs and Forestry, Republic of South Africa. 2005. Stakeholder Participation. (“PFM Guideline8”). http://www.daff.gov.za/doaDev/sideMenu/ForestryWeb/dwaf/cmsdocs/Elsa/Docs/ PFM/PFM%20Guideline8.pdf 3. Erni, C. and H. Tugendhat, Eds. 2012. What is REDD+? A Guide for Indigenous Communities. AIIP, 3rd Edition. http://www.forestpeoples.org/topics/redd-and- related-initiatives/publication/2012/what-redd-guide-indigenous-communities- new-edit%20 4. Engel, A. and B. Korf. 2005. Negotiation and Mediation Techniques for Natural Resource Management. FAO, Pp. 102-107; 109-120. The manual can be accessed at FAO website http://www.fao.org/docrep/008/a0032e/a0032e00.HTM

38. 5. Grimble, R. 1998. Stakeholder Methodology in Natural Resource Management. Natural Resources Institute, The University of Greenwich. http://www.nri.org/projects/publications/bpg/bpg02.pdf http://www.nri.org/projects/publications/bpg/bpg02.pdf 6. Hunjan,R. and J. Pettit. 2011. Power: A Practical Guide for Facilitating Social Change. Carnegie United Kingdom Trust. 7. TEBTEBBA, 2010. Climate Change, REDD+ and Indigenous Peoples: Training Course for Indigenous Peoples. http://tebtebba.org/phocadownload/publications-and- multimedia/books-training-modules-and-other-publications/training-manuals- and-resource-books/climate-change-redd-and-ips-training-course.pdfhttp://tebtebba.org/phocadownload/publications-and- multimedia/books-training-modules-and-other-publications/training-manuals- and-resource-books/climate-change-redd-and-ips-training-course.pdf 8. Worah, S. 2008. Participatory Management of Forests & Protected Areas: A Trainers Manual. RECOFTC. http://www.recoftc.org/site/uploads/content/pdf/Participatory_management_we b_58.pdf http://www.recoftc.org/site/uploads/content/pdf/Participatory_management_we b_58.pdf