1. USAID LEAF Regional Climate Change Curriculum Development Module: Social and Environmental Soundness (SES) Section 2. What Social And Environmental Issues Exist: Strengthening Design & Implementation of REDD+ 2.2.1. Regulatory Frameworks, Forest Tenure, and Carbon Rights

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 this section, learners will be able to:  Describe regulatory frameworks and identify how they relate to forest governance  Define and differentiate tenure, forest tenure, and carbon rights and compare different types of rights that can be part of tenure  Analyze the relevance of regulatory frameworks, forest tenure, and carbon rights to governance

5. 1. Key terms and definition: regulatory framework, tenure, forest tenure and rights 2. Contemporary carbon rights debate 3. Relation of forest tenure and carbon rights to governance and to REDD+.

6.  Lecture  Brainstorming  Group discussion  Case study.

7.  FAO. 2011. Reforming forest tenure: issues, principle and process. Rome: Food and Agriculture Organization of the United Nations.  Sunderlin, W.D., Larson, A.M., Cronkleton, P. 2009. “Forest tenure rights and REDD+: From inertia to policy solutions.” In Angelsen, A. et al. (eds). Realising REDD+: National Strategy and Policy Options. Bogor, Indonesia: Center for International Forestry Research (CIFOR), pp. 139-149..

8.  How are forest resources allocated and used in this country?  How are decisions concerning forest allocation made? By whom?.

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10. They are:  The formal arrangements that define:  How and for what purposes forests are used,  Who is mandated by law to carry out particular functions.  They include legislation, policies, rules and regulations for applying legislation, and operational guidelines for implementation.  Many countries do not have all these components, and may have only a decree..

11. tenure forest tenure carbon rights Resource rights are an essential aspect of regulatory frameworks. Key resource right questions to understand are:  What is tenure?  What is forest tenure?  What are carbon rights?

12.  Tenure is a generic term referring to a variety of arrangements that allocate rights to, and often set conditions on, those who hold land or other natural resources.  Tenure regulates access to and use of resources.  Tenure does not equate to ownership..

13. Forest tenure is a broad concept including forest ownership rights, tenancy and other arrangements for the use of forests. It shapes the relationship between people and forests:  Who can use what forest resources, for how long, and under what conditions. Forest tenure includes both formal and informal arrangements..

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15.  Begins with understanding the range of beneficiaries and tenure systems  Requires understanding of opportunity costs, power and responsibilities of each beneficiary  Considers need for legal approaches to secure rights:  Legal reform through explicit or implicit law  Contract-based approaches

16.  Rights to carbon may or may not be tied directly to forest or land rights.  Carbon rights refer to the rights to physical carbon stored in biomass.  Also, they refer to the rights to benefits that arise from transferring property rights through trading schemes..

17. Questions for Discussion:  Should rights to forest and carbon be combined or separated?  What are the opportunities or risks of each approach?

18. What are the implications of each scenario for REDD+ design and implementation? Scenario 1: Devolution of full ownership rights to local communities Scenario 2: Co-management or limited devolution to local communities Scenario 3: No legal recognition of community rights to carbon

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20. 1. State owned property 2. Privately owned property 3. Common property 4. Open access resources.

21. Class Exercise Instructions:  Instructor divides students into groups (e.g. 5 students each)  Each group is assigned to read the case study from Vietnam and then answer the following questions: 1. Why and how are forest tenure and rights related to governance? 2. Did property rights regimes change under this case? If so, how? 3. How do forest tenure rights arrangements link to benefit sharing?  Students then share orally across the groups. Alternatively, groups can be assigned the collective task of writing down their responses for submission the following class..

22. In 2008, forests in Asia were:. 67% 24% 6% 3%

23. There are different types of rights, which might or might not be bundled together, and which could be held by different individuals or groups. Rights to:  access  withdrawal  management  exclusion  alienation. For Discussion: What about the right to participate fully in forest project design, implementation, and evaluation? Is this part of forest tenure? For Discussion: What about the right to participate fully in forest project design, implementation, and evaluation? Is this part of forest tenure?

24.  Rights to forest land are often contested.  Types of forest land vary with regards to tenure arrangements in place.  Rights to forest are more than a question of formal title (existence of a bundle of rights).  As a result, there are a variety of stakeholders (based on holding different rights), with different participation needs and responsibilities.

25.  Resource tenure is essential for benefit sharing when implementing REDD+ scheme.  Identify the resource/carbon rights holder  In reality, forest tenure rights are often unclear and contested.  Who should be paid? Who should receive the benefits from REDD+ intervention?.

26.  An enabling regulatory framework is essential for supporting good forest governance.  In many countries, the regulatory framework failed to support national forest management objectives (e.g. the Islamic Republic of Iran, see FAO 2011).  The regulatory framework in some countries in the Mekong region (e.g. Viet Nam) has shifted from centralized control, to the decentralization of forest management..

27. Governance Forest management objectives:  sustainable forest management  economic development  improved livelihoods  rights of indigenous peoples  increased carbon stocks, etc.) Forest management objectives:  sustainable forest management  economic development  improved livelihoods  rights of indigenous peoples  increased carbon stocks, etc.) Regulatory Framework Tenure

28.  The regulatory framework supports forest governance.  Tenure consists of various types of resource rights.  The majority of forest land in 11 Asian countries in managed by the government.  Understanding the forest tenure and carbon context is critical for understanding the positions of different stakeholders.  Governance, tenure, and the regulatory framework are linked realms and interact to produce NRM outcomes, including under REDD+.

29. 1. CIFOR. 2010. Rights to forests and carbon under REDD+: Initiatives in Latin America, brief info No.33. Center for International Forestry Research. 2. Dahal, R., G. 2011. Forest tenure in Asia: Status and trends. Kuala Lumpur: EU FLEGT Facility. 3. FAO. 2011. Reforming forest tenure: Issues, principles and process. Rome: Food and Agriculture Organization of the United Nations. 4. Rights and Resources Initiative. 2012. What rights?: A comparative analysis of developing countries’ national legislation on community and indigenous peoples’ forest tenure rights. Washington DC: Rights and Resources Initiative. 5. Sunderlin, W.D., Larson, A.M., Cronkleton, P. 2009. “Forest tenure rights and REDD+: from inertia to policy solutions.” In Angelsen, A. with Brockhaus, M., Kanninen, M., Sills, E., Sunderlin, W. D. and Wertz-Kanounnikoff, S. (eds). Realising REDD+: National Strategy and Policy Options. Bogor, Indonesia: Center for International Forestry Research (CIFOR), pp. 139-149.