1. Section 1. Introduction and Background
1.4. Guiding Frameworks –
Sustainable Development & Ethics
USAID LEAF
Regional Climate Change Curriculum Development
Module: Social and Environmental Soundness (SES)

2. Social and Environmental Soundness (SES) Module Development Team
Acknowledgements
Name
Affiliation
Surin Onprom; Co-Lead
Kasetsart University,
Thailand
Tran Thi Thu Ha
Vietnam Forestry University
Penporn Janekarnkij; Co-Lead
Nguyen Dinh Hai
Rejani Kunjappan; Co-Lead
RECOFTC
Vo Mai Anh
Claudia Radel; Co-Lead
Utah State University
Tran Tuan Viet
Sarah Hines; Co-Lead
US Forest Service
Cao Tien Trung
Vinh University, Vietnam
Sidthinat Prabudhanitisarn
Chiang Mai University,
Nguyen T. Trang Thanh
Sharifah Zarina Syed Zakaria
University Kebangsaan Malaysia
Nguyen Thu Ha
USAID Vietnam Forests & Deltas
Mohd Rusli Yacob
University Putra Malaysia
Maeve Nightingale
IUCN MFF
Kaisone Phengspha
National University of Laos
Guada Lagrada
PACT MPE
Phansamai Phengspha
Le Van Trung
DARD Lam Dong
Kethsa Nanthavongduangsy
Nguyen Thi Kim Oanh
AIT Thailand
Freddie Alei
University of Papua New Guinea
David Ganz
USAID LEAF Bangkok
Chay Kongkruy
Royal University of Agriculture,
Cambodia
Kalpana Giri
Soreivathanak Reasey Hoy
Royal University of Phnom Penh,
Chi Pham
Project Coordinator
Social and Environmental Soundness (SES) Module Development Team
Various individuals have participated in the development of the RECCCD SES Module.

3. Social and Environmental Soundness (SES) Module
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
WHAT SOCIAL AND ENVIRONMENTAL ISSUES EXIST: STRENGHENING DESIGN AND IMPLEMENTATION OF REDD
2.1. Environmental Co-benefits: Introduction to Biodiversity and Ecosystem Services Carbon/REDD+ Project Accounting, Carbon Monitoring & MRV
2.2. Governance
Regulatory Framework, Forest Tenure, and Carbon Rights
Stakeholder Participation
FPIC
Social Co-benefits
Gender Equity and Women’s Empowerment
Gender Analysis Tools
Women’s Empowerment in Agriculture Index
Indigenous Peoples and their Empowerment
Local Livelihoods: An Introduction
Livelihoods impact Case Study: April Salumei, PNG
REDD+ Benefits Sharing
Economic and Financial Viability and Sustainability
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
Social and Environmental Soundness (SES) Module
The full module outline is on the slide, including subsections. Below are the number of possible teaching sessions associated with each section or topic (with subsections sessions included with the main section sessions). The estimation of possible teaching sessions is based on an assumption of 50 minutes or an hour per teaching session. Course material can be adapted to longer and shorter formats.
Social & Environmental Soundness Module Outline
1.0. Introduction and Background: What is Social and Environmental Soundness (SES) and its Larger Climate Change Context?
1.1. Introduction to Climate Change (1 session)
1.2. The Climate Change Mitigation & Adaptation Context – An Introduction to REDD+ (3 sessions)
1.3. Introduction to Social and Environmental Soundness (SES) (4 sessions)
1.4. Guiding Frameworks—Sustainable Development & Ethics (1 session)
2.0. What Social And Environmental Issues Exist: Strengthening Design And Implementation of REDD+
2.1. Environmental Co-benefits: Introduction to Biodiversity and Ecosystem Services (5 sessions)
2.2. Governance (5 sessions)
2.3. Stakeholder Participation (4 sessions)
2.4. Social Co-benefits (1 session)
2.5. Gender Equity and Women’s Empowerment (4 sessions)
2.6. Indigenous Peoples and their Empowerment (1 sessions)
2.7. Local Livelihoods: An Introduction (2 sessions)
2.8. REDD+ Benefits Sharing (2 sessions)
2.9. Economic and Financial Viability and Sustainability (3 sessions)
3.0. State of the Art in Action: Bringing the Pieces Together
3.1. Safeguard Mechanisms in REDD+ Programs (1 session)
3.2. Streamlining of Safeguards and Standards (1 session)
3.3. Developing National Level Safeguards (1 sessions)

4. Learning Objectives
At the end of this section, learners will be able to:
Identify the principles of sustainable development linked to social, economic and environmental issues
Describe the concept of environmental ethics and the essential features of moral or ethical thinking
Identify how a human-rights-based approach can arise from an ethics framework
Relate and develop the skills to recognize and apply moral discourse for leadership in environmental fields, including in climate change mitigation

5. Outline Introduction Sustainable development concepts
Environmental ethics
Activities
Key Message: The purpose of this section is to introduce students to two key conceptual frameworks to guide their progress through the rest of the module content: (1) a sustainable development framework, and (2) an environmental ethics framework. A secondary purpose is for students to explore how a human-rights-based approach can arise from an ethics framework, including one of environmental ethics.
Graphic Source:  

6. Methodology Lecture Class discussion
presentation of concepts and information
Class discussion
decision making
identifying issues

7. Pre-Class Preparation
Read:
The concept of sustainable development published in “Our Common Future” report in 1987 (The Brundtland Report)
Kortenkamp, K & Moore, C. F Ecocentrism and Anthropocentrism: Moral Reasoning About Ecological Commons Dilemmas. Journal of Environmental Psychology 21, (
“Our Common Future” is a book-length report. We suggest the instructor assign a short excerpt that defines sustainable development. The definition from this report remains the primary definition in use today.

8. Introduction This module section:
Examines in detail the applicability of the sustainable development concept as the framework for REDD+
Relates the use of ethical frameworks for decision making
Key Message: Ethical principles are part of ethical frameworks which provide support and guidance for ethical decision making. By applying the framework of sustainable development + environmental ethics to decision making, important aspects of the issues/situation can be highlighted and evaluated. These frameworks can then be carried through the subsequent module content sections, to help structure our thinking for specific issues and concerns.
Note to instructors: If you use this slide deck, you should attempt to refer back in subsequent module slide deck discussions to any discussions held through the use of this deck. We have not incorporated this deck material explicitly into the subsequent decks, so that each deck can stand alone, however, students will benefit from threading the concepts used here through any subsequent material.

9. Sustainable Development
Sustainable Development (SD) Framework consists of three pillars:
Economic (Goal: Growth?)
Environment (Goal: Conservation?)
Social/Livelihood (Goal: Equity?)
We then also add a fourth consideration:
Governance/Political (political process and how decisions are made)
Key Message: The three pillars are identified here with the standard (“mainstream”) interpretations of the goals—e.g. for the economic pillar, it is assumed by many that the appropriate goal in this area is one of economic growth or more specifically even, of GDP growth. We present these goals in question form to facilitate initial student discussion. For example—is economic growth the only possible goal? Is it the correct goal? What are we really interested in for this pillar? Material wellbeing? Are there different options for how we might measure indicators for what we are really interested in? Instructors should stimulate discussion and contemplation for each of the three pillars. These three pillars are then supplemented by consideration of a fourth area—that of how decisions are made in the public arena.

10. Economic Commonly accepted considerations: Maximize human well-being.
Ensure efficient use of all resources, natural and otherwise, by maximizing rents.
Seek to identify and internalize environmental and social costs.
Maintain and enhance the conditions for viable enterprise.
For this and the following three slides, encourage students to identify whether or not they would like to add any additional considerations to each list of commonly accepted considerations. This identification of additional considerations should be based on or build from the earlier discussion of goals for each pillar area. Students should also be encouraged to question and debate the appropriateness or universal desirability of these listed considerations.

11. Environmental Commonly accepted considerations:
Promote responsible stewardship of natural resources and the environment, including remediation of past damage.
Minimize waste and environmental damage along the whole of the supply chain.
Exercise prudence where impacts are unknown or uncertain.
Operate within ecological limits and protect critical natural capital.
Encourage students to identify whether or not they would like to add any additional considerations to each list of commonly accepted considerations. This identification of additional considerations should be based on or build from the earlier discussion of goals for each pillar area. Students should also be encouraged to question and debate the appropriateness or universal desirability of these listed considerations.

12. Social Commonly accepted considerations:
Ensure a fair distribution of the costs and benefits of development for all those alive today.
Respect and reinforce the fundamental rights of human beings, including civil and political liberties, cultural autonomy, social and economic freedoms, and personal security.
Seek to sustain improvements over time; ensure that depletion of natural resources will not deprive future generations through replacement with other forms of capital.
Encourage students to identify whether or not they would like to add any additional considerations to each list of commonly accepted considerations. This identification of additional considerations should be based on or build from the earlier discussion of goals for each pillar area. Students should also be encouraged to question and debate the appropriateness or universal desirability of these listed considerations.

13. Governance / Political
Commonly accepted considerations:
Support representative democracy, including participatory decision- making.
Encourage free enterprise within a system of clear and fair rules and incentives.
Avoid excessive concentration of power through appropriate checks and balances.
Ensure transparency through providing all stakeholders with access to relevant and accurate information.
Ensure accountability for decisions and actions, which are based on comprehensive and reliable analysis.
Encourage cooperation in order to build trust and shared goals and values.
Ensure that decisions are made at the appropriate level, adhering to the principle of subsidiarity where possible.
Encourage students to identify whether or not they would like to add any additional considerations to each list of commonly accepted considerations. This identification of additional considerations should be based on or build from the earlier discussion of goals for each pillar area. Students should also be encouraged to question and debate the appropriateness or universal desirability of these listed considerations.

14. Framework for a National SD Strategy
For Discussion:
Where, diagrammatically, does the governance / political element fit?
Can the three SD pillars be effectively balanced? Why or why not?
SOCIAL
human rights, equal opportunity, health, education, housing, security, families & villages
Sustainable Development (SD)
Key Message: Arguably, Sustainable Development (SD) implies economic growth together with the protection of environmental quality, each reinforcing the other, and further supported by social inclusion considerations for all segments of the population. Thus, SD maintains a balance between the human needs to improve lifestyles and well-being on one hand, and the preservation of natural resources and ecosystems, on which we and future generations depend. Sometimes, SD is described as a “three-legged stool”—if any of the three legs is missing or weak, the stool will not stand or support weight. Thus, sustainable development does not focus solely on environmental issues. More broadly, it encompasses the three general policy areas namely economy, environment and society + political process and decision-making (governance).
The discussion questions here prompt students to consider how the fourth area of governance or politics fits in, and further, to consider whether or not this idea of a “three-legged stool” (with compatibility among the three areas) is accurate or desirable?
Graphic developed for this module.
ECONOMIC
ENVIRONMENTAL
population, GDP, exports, employment, entrepreneurship, innovation
air quality, water quality, waste recycling, energy, forest renewal, biodiversity

15. National Strategy Scorecard
National Scorecard
National Strategy Scorecard
Vital indicator metrics
Current value
Bench-
mark country
Milestones
2015
Goal Actual
2016
2017
Goal Actual
Social:
Human rights indicator
Equal opportunity indicator
Etc.
Economic:
Population indicator
Growth indicator (e.g. GPD per capita)
Environmental:
Air quality
Water quality
Key Message: This “scorecard” example of an approach to goal setting and the monitoring of progress towards those goals, provides an opportunity to introduce the concept of indicators, if students are not yet familiar with this concept. It then also provides an opportunity to discuss why it matters what indicators are selected and monitored. Fundamentally, it matters because the selection of indicators defines strategies and ultimately, outcomes. The selection of the “wrong” indicators results in the “wrong” outcomes. Indicators are often selected based on ease of measurement and quantification, political expediency, etc., but these are not necessarily the best criteria for indicator selection, although they may be important criteria.

16. Tools to Support Sustainable Development in REDD+
Is REDD+ “conservation as development”? Can environmental conservation be economic development at the same time?
Environmental conservation
Sustainable development
Key Message: The goal here is to encourage students to think about the role of REDD+ from within the SD framework: If conservation activities also foster economic development, do those activities then necessarily lead to sustainable development? Ask students to consider whether REDD+ activities are “conservation as development” activities? In addition, prompt students to consider the REDD+ mechanism from each of the different dimensions of social, economic, environmental, and political.
Graphic developed for this module.
REDD+
Economic development

17. Ethics Basics: Meaning and Function
the study of good and bad, right and wrong
criteria that help differentiate right from wrong
Ethical Standards
Key Message: Here we begin to add some of the basic conceptual background on ethical systems of thinking. We begin with an introduction of some key concepts (ethics, ethical standards, and environmental ethics).
the study of ethical questions regarding human interactions with the environment
Environmental Ethics

18. What is Environmental Ethics?
guides humans behavior and relations with nature and other species on earth.
deals with the moral relationships between humans, nature and other species on earth.
addresses the ethical dimensions of humans’ relations with and behavior towards nature and other species on earth more generally.
Key Message: Environmental ethics is the theories and practices for appropriate concern for, values in, and duties towards the natural world. Environmental ethics starts with human concerns for a quality environment, beyond inter-human concerns, and defines the values at stake when humans relate to animals, plants, species and ecosystems.

19. Environmental Ethics Encompasses:
Understanding human ethical attitudes towards themselves and nature.
Understanding how environmental exploitation affects livelihoods (social/economic/political)
Understanding how conduct of social/economic/ political activities affects the environment.
Understanding how technologies affect the environment, livelihood, social well-being and nature.
In the context of this course: understanding, from an ethics perspective, the role of REDD+ in addressing both conservation and development.
Key Message: This list includes examples of the sorts of topics we might consider under the umbrella of environmental ethics. The instructor can bring students back to the earlier basic concepts of “ethics” (the study of right and wrong) and “ethical standards” (criteria that help differentiate right from wrong) to discuss these examples. We suggest focussing on the last topic on the list here—REDD+, since this is the key topic of the course. Students can be asked to brainstorm ethical questions under this topic (e.g. “Is it right for a community to lose access to a forest commons for firewood collection under a REDD+ project?” “Who are the rightful beneficiaries of funds generated from a REDD+ project?”). It should quickly become evident that these are in fact difficult and complicated questions.

20. Differing Environmental Ethics Perspectives
Environmental ethicists define three value systems that differ sharply with regards to on whom the ethics are centered:
1. Anthropocentrism – Human-centered
considers the effects of environmental actions on humans only
humans as more important than any other species
2. Biocentrism – Life-centered
considers the effects of environmental actions on all living things
all species are important elements in a system of interdependence
3. Ecocentrism – Ecosystem-centered
considers the effects of environmental actions on all components of our environment, both living and nonliving
totality is more important than individuality
Key Message: All three value systems are concerned with human stewardship of the natural world, however they differ sharply with regards to for whom or what ultimately they carry out this stewardship. Anthropocentrism emphasizes human domination over nature and views non-human environment as a bundle of natural resources to be managed and exploited for maximal human gain. The other species and ecosystems have only instrumental value, not intrinsic worth. In biocentrism, humans are members of the Earth’s community, all species are integral elements in a system of interdependence, and all organisms are centers of life, each pursuing its own good. Humans are not inherently superior to other living things. Ecocentrism expands biocentrism by including abiotic components of the environment. This perspective or value system cares less about individual life forms and instead emphasizes interaction between them and fosters a system approach.

21. What obligation do humans have…?
to other humans?
to other living things?
to other species?
to non-living things?
to future human generations?
The recognition of values or importance can strengthen relations within all living, non-living, humans and other species as a moral obligation and responsibility.
Students can be guided to discuss more critically their thoughts regarding obligations, responsibilities, etc. towards others (other humans, other living things, non-living things, etc.).

22. Human Rights and Ethics
One framework we use to consider our obligations to other humans is that of:
Human Rights
Different peoples and different countries may recognize different sets of human rights based on different collectively shared ethical principles.
International human rights debates and agreements are attempts to build a shared discourse of moral obligation and then to codify this discourse in law.
Students should be encouraged to discuss how different peoples might have different specific ethical principles, including ethical standards, that guide their conceptions of “rights”—who holds what sorts of rights and what duty others have to uphold these rights.
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23. A Human-Rights-Based Approach
Four Fundamental Principles:
Participation
Non-discrimination
Transparency
Accountability
Key Message:
These four principles arise out of the United Nations’ Universal Declaration of Human Rights (passed in 1948). This particular list of four comes from SIDA’s approach to incorporating a human-rights-based approach into their work. SIDA is the Swedish international Development Cooperation Agency. Each of these terms might require explanation.
Participation: Here we mean the rights of individuals to be included in decision-making processes, to have a voice.
Non-discrimination: Here we mean the rights of individuals to not be excluded from the benefits of the society, on the basis of their identity (e.g. ethnic, gender, disability).
Transparency: Here we mean openness in behaviour and action, in other words, taking actions in ways that others can easily see what those actions are, how they are being performed.
Accountability: Here we mean the state of being accountable for or answerable for ones actions and the consequences of ones actions.
We will see these principles surface in different forms throughout this module, as a human-rights-based approach provides one of the guiding frameworks for the SES module.
Other key principles have been identified as being part of a human-rights-based approach: Universality and Inalienability, Indivisibility, and Inter-Dependence and Inter-Relatedness. These three principles relate to the nature of human rights themselves. We do not explore these three principles in this module.
Content Source: SIDA
Graphic from:

24. Ethical Principles
participation and stakeholder engagement
Do we need ethical principles that constrain and guide our actions?
Do we need guiding frameworks?
governance, tenure, legal processes
economic / financial viability and sustainability
social benefits and co-benefits
indigenous empowerment
local livelihoods
Key Message: Ethical principles can be the tool guide in making the ‘right’ decision when facing social, economic, environmental or political issues. This diagram illustrates that ethical principles, including those that are part of a human-rights-based approach, should be a part of our thinking as we move forward with the content in this SES module and can help us with decision-making in the various SES issues or concerns, whether for REDD+ or for any other conservation and development projects or policies.
Graphic created for this module.
environmental benefits and co-benefits
gender equity and women’s empowerment

25. Activity A: Judging Actions
Consider the following:
“A farmer has to clear land by cutting trees / forests to feed and support his or her family“
What do we need to include in our consideration of the farmer’s actions?
Identify arguments for and against the farmer’s actions based on the SD framework:
conservation perspectives (environment)
economic perspectives (economy)
humanity perspectives (social / political)
Identify arguments for the “rightness” or “wrongness” of the farmer’s actions based on environmental ethics perspectives (anthropocentrism, biocentrism, ecocentrism).
Now consider the impact of processes at broader scales: Why might the farmer clear forest to farm? (consider the potential roles of national policies, legal frameworks, markets, etc. in shaping the farmer’s actions) Does this change our judgment of the farmer’s actions?
Instructors can consider using the activity here or the activity on the following slide to reinforce the concepts introduced in this module topic.
The SD Framework and environmental ethics philosophies or views can be used to weigh the solutions to environmental issues. Have students (individually, in small groups, or as a full class) consider an example environmental issue from both the perspective of the SD Framework and from the three main environmental ethics perspectives. Other examples of environmental issues can be used in addition to or in substitution for the example here, depending upon the background of the students.

26. Activity B: Applying the SD framework to various human actions in the environment
Social
Economic
Environmental
Political
Actions that can cause the extinction of other species for convenience of humanity
Cutting down of trees for the sake of human consumption
Performing animal testing for scientific research
Restoring lands that were destroyed
Protecting endangered species
Instructors can consider using the activity here or the activity on the preceding slide to reinforce the concepts introduced in this module topic.
Instructions:
This activity can be conducted as a full class, facilitated by the instructor, or can be given to small groups of students (3-5 students per group).
Ask students to consider each of a series of human activities in the environment. Provided here are five examples, but the instructor should feel free to add additional examples or substitute examples that are more relevant to the specific group of learners. For each human activity, students should consider how that activity might relate to or impact each of the four SD dimensions (social, economic, environmental, political. If working in small groups, students can use the cells of the matrix to make notes.
Students next should be asked to identify, for each human activity, if one or more dimensions are more important to understanding the impacts of that activity (or whether all are equally important). If working in small groups, the groups can present their argument to the whole class after each group has come to a consensus.
As a final task, the instructor can ask students to identify what perspective on environmental ethics (anthropocentrism, biocentrism, or ecocentrism) guided their judgment on the relative importance of the four dimensions.

27. TAKE HOME MESSAGE (1)
The sustainable development framework can be a tool to support decision-making to address multiple policy aspects: social, economic, environmental, and political.
Environmental ethics are the constraining and guiding value perspectives which shape the intention and purpose for conservation and development actions.

28. TAKE HOME MESSAGE (2)
The framework of human rights is a key system of ethical thinking that positions obligation to other humans in terms of “rights.” A human-rights-based approach can provide ethical guidance to projects design and implementation.
By providing frameworks for development of ethical decisions, these theories strengthen our ability to reach balanced and insightful judgments and to clarify and communicate the bases for those judgments.

29. References
World Commission on Environment and Development Our Common Future. London: Oxford University Press. (The Brundtland Report)
Corbera, E., Schroeder, H Governing and implementing REDD+. Environ. Sci. Policy, doi: /j.envsci
Clugston R Ethical Framework for a Sustainable World. Journal of Education for Sustainable Development. 5, September:
Gary W. Luck, Kai M. A . Chan, Uta Eser, Erik Gómez-Baggethun, Bettina Matzdorf, Bryan Norton, & Marion B. Potschin Ethical Considerations in On-Ground Applications of the Ecosystem Services Concept. BioScience. Vol. 62, No. 12, December.
Jagger P., Sills E.O., Lawlor, K. and Sunderlin, W.D A guide to learning about livelihood impacts of REDD+ projects. Occasional paper 56. CIFOR, Bogor, Indonesia.
Rolston. H Environmental Ethics. In The Blackwell Companion to Philosophy, 2nd ed. Bunnin. N and Tsui-James. E.P (eds), Oxford: Blackwell Publishing.
Ulvin, Peter From the right to development to the rights-based approach: how ‘human rights’ entered development. Development in Practice 17(4-5):