1. USAID LEAF Regional Climate Change Curriculum Development Module: Social and Environmental Soundness (SES) Section 3. State of the Art in Action: Bringing the Pieces Together 3.3. Developing National Level Safeguards

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:  Relate the status and key initiatives for REDD+ safeguards in various countries in the region  Demonstrate familiarity with national safeguard options, national safeguard systems, and grievance redress mechanisms  Synthesize and integrate SES issues and tools in the context of either/both a hypothetical country or a real-word case study

5.  National safeguard approaches and examples  Grievance Redress Mechanisms (GRM)  Brainstorming exercise  Role play exercise  Class exercise/writing assignment

6.  Lecture  Brainstorming  Role Play  Class Exercise Time: 1 session or hour

7. Options for student reading:  A. Setyowati. 2012. A Guidance Note to Integrate Gender in Implementing REDD+ Safeguards in Indonesia. UN-REDD Programme and WOCAN.  Giri, K. 2012. Gender Mainstreaming Strategy and Checklist. LEAF.  Parrotta, J. A., Wildburger, C., and Mansourian, S., eds. Understanding Relationships between Biodiversity, Carbon, Forests and People: The Key to Achieving REDD+ Objectives. A Global Assessment Report. Prepared by the Global Forest Expert Panel on Biodiversity, Forest Management, and REDD+. IUFRO World Series Volume 31. Vienna.  Reduced Emissions from Degradation and Deforestation in Community Forests –Oddar Meanchey, Cambodia Project Implementation Report. Climate, Community & Biodiversity Standard. Developed by Terra Global Capital and Pact for The Forestry Administration of the Royal Government of Cambodia, 2012.  Phạm Minh Thoa, et al. 2012. Final report on a Pilot of Establishment of R-coefficients for REDD+ Benefit Distribution in Di Linh District, Lam Dong Province, Vietnam. UN-REDD Programme Vietnam.  Davis, C., Daviet, F., Nakhooda, S., Thualt, A. 2009. A Review of 25 Readiness Plan Idea Notes from the World Bank Forest Carbon Partnership Facility. WRI Working Paper. World Resources Institute, Washington DC. Available online at http://www.wri.org/gfi.  Rey, D., Swan, S., and Enright, A. 2013. A Country-led Approach to REDD+ Safeguards and Multiple Benefits. SNV REDD+, Vietnam.

8. Why safeguards at the national level?  Safeguards as requirements for international policy and financing  UNFCCC requirements  Additional expectations from multilateral & bilateral donors  Existing safeguard options at national level  Country ownership  National system that is more sensitive to unique national circumstances

10. 3 key elements for National Safeguard Approaches Existing or NEW policies, laws and regulations on social and environmental issues that will apply to REDD+ activities PLR- (Policies, Laws and Regulations) Indicators for process and outcomes for country-specific safeguards interpretation Monitoring & reporting frameworks for different information needs SIS- (Safeguard Information Systems) Country level mechanism to receive and address conflicts related to the country safeguards system GRM- (Grievance Redress Mechanisms)

11.  Vietnam: Developing national safeguard system by review of policies, laws and regulations  Indonesia: Integrating gender indicators in its safeguard  Lao PDR: Revision of Laws (Land Law, Forestry Law) to undertake REDD+ issues

13.  Benefit Distribution (or Sharing) System as a way to safeguard  NORAD REDD project: Nepal  R-Coefficient: Vietnam  REDD+ projects internal mandates  Stakeholder engagement  LEAF’s Gender Mainstreaming Strategy

14.  “An important element of REDD+ safeguards, which is being negotiated under the United Nations Framework Convention on Climate Change (UNFCCC), is systems for providing information on how safeguards are addressed and respected.” (Boyle and Murphy, 2012)  Safeguard information systems (SIS): How to store and report safeguard-related information  “Effective systems to share information will help promote transparency, guard against unintended social and environmental harms, and provide information on the impact of REDD+ actions.” (Boyle and Murphy, 2012)  Examples:  Indonesia’s SIS system  Factsheets of countries, Vietnam: http://forestcarbonpartnership.org/vietnam http://forestcarbonpartnership.org/vietnam

15.  “A decision of the 17th Conference of the Parties in Durban in 2011 agreed on broad provisions for guidance, including that safeguard information systems (SIS) ‘build upon existing systems, as appropriate.’” (Boyle and Murphy, 2012)  “REDD+ SIS do not necessarily require new mechanisms, methodologies or indicators, as there are opportunities to build upon existing architecture. These opportunities include methods and processes to report on obligations and provide information under international agreements, national legislation, bilateral and multilateral agreements and REDD+ pilot-level initiatives.” (IISD, 2012)

16.  The third key element is a grievance redress mechanism (GRM) that allows stakeholders to address concerns that they might have about how a country safeguards system has been managed and implemented by a country.

17.  What questions, grievances, and disputes are likely to come up in your country?  What systems already exist in your country to address those grievances?  What could be done to make your existing grievance redress systems work better?

18. REDD+ framework includes safeguards as an important element:

19. Laos has addressed safeguards well in relation to social and environmental issues through mechanisms such as FSC, EIA (Mining and Dam) and World Bank safeguards. BUT safeguards for economic aspects has not had much attention; benefit sharing mechanism for REDD is not yet in place. Lao is a World Bank’s FCPF country and should affirm with SESA/ESMF.

20. Purpose of the exercise:  To gain familiarity with the national safeguard formulation process.  To develop skills for the development of a national safeguard process, by critically reviewing Terms of Reference for safeguard development for REDD+ and then, presenting analysis. Country Context: A hypothetical country, ‘Macondo’  This role play can be customized to real country’s case study.

21. SCENARIO: The Ministry of Natural Resources and Environment (MONRE) has initiated activities to prepare for SES. Macondo is developing its safeguard plans for climate change mitigation and REDD+ As a first step  the country has developed a proposal to prepare for REDD+ (RPP)  A section of the proposal (called SESA/ESMF) deals with the social and environmental issues and the plans to address those issues.  The detail of the plan are provide in the TOR (Terms of Reference).  The country has submitted the same proposal to the donor (World Bank) to receive support for the REDD Readiness process in Macondo.

22.  An NGO has heavily criticized the REDD+ proposal and has pointed out many threats related to social and environmental issues. 1. Communities would be excluded from the forests and only strict conservation would be allowed. 2. Only powerful people, close to the government, would decide on the REDD+ strategies. Poor farmers and indigenous peoples who will be most affected will have no chance to influence the REDD+ process. 3. Benefits of REDD+ would accrue to the government. Costs would be borne by forest-dependent people, women and farmers. 4. Potential social and environmental impacts of implementing REDD+ strategy can be significant. Macondo does not have robust environmental and social regulations and enforcement capacity.  This MEETING today (the Role Play) is called by The Ministry of Natural Resources and Environment (MONRE) to find solutions to address these issues.

23. Consultation & Review Meeting of SESA/ESMF of Macondo Minister of Natural Resources and Environment Supported by the World Bank Forest Carbon Partnership Fund (FCPF)

24. Possible Characters:  Minister Rosarita and her Technical Advisory  Press & World Bank staff  Three possible groups: NGOs, Technical Consultants and Academics  3 sessions of this role play exercise (read supplemental activity materials)  Wear the shoes of your characters Break-out group discussions:  Allocate one leader and one note taker in each group  Follow the time (45´):  Discussion = 30´  Preparation = 10´  Presentation = 5´  Everyone participates  Be creative  Enjoy

25. 1. How do you feel ? 2. What did you learn? 3. What key SES issues emerged in the role play? 4. Is the country similar or different to your country? Why and how? KEY SES ISSUES that may have emerged: Stakeholder engagement, participation/consultation Rights to land, forest, carbon Decision-making Disclosure of information Costs & benefit-sharing Governance & livelihoods Gender issues Indigenous issues

26. Prepare and Present a Project Implementation Report for a REDD+ project. Students act as auditor to the project and provide comments on environmental and social issues that need to be addressed more adequately (example: Oddar Meanchy of Cambodia).

27.  There is growing consensus that national safeguard approaches for REDD+ could consist of three key elements: 1. policies, laws, and regulations 2. safeguards information systems (SIS) 3. grievance redress mechanisms (GRM)

28. 1.Boyle, J. and Murphy, D. 2012. Designing Effective REDD+ Safeguard Information Systems: Building on existing systems and country experiences. International Institute for Sustainable Development. 2.Davis, C., Daviet, F., Nakhooda, S., Thualt, A. 2009. A Review of 25 Readiness Plan Idea Notes from the World Bank Forest Carbon Partnership Facility. WRI Working Paper. World Resources Institute, Washington DC. Available online at http://www.wri.org/gfi. 3.Giri, K. 2012. Gender Mainstreaming Strategy and Checklist. LEAF.  Provides rationale and practical steps to integrate gender in climate change mitigation/REDD+ projects) 4.IISD. 2012. Defining REDD+ Success: Expert workshop on safeguard information systems and private sector engagement. International Institute for Sustainable Development. 5.Institute for Global Environmental Strategies (IGES). 2012. Lao PDR REDD+ Readiness: State of Play.

29. 6.Le Ha Phuong. 2013. Safeguards Roadmap for Vietnam’s National REDD+ Action Programme. Vietnam REDD+ Office. 7.Parrotta, J. A., Wildburger, C., and Mansourian, S., eds. Understanding Relationships between Biodiversity, Carbon, Forests and People: The Key to Achieving REDD+ Objectives. A Global Assessment Report. Prepared by the Global Forest Expert Panel on Biodiversity, Forest Management, and REDD+. IUFRO World Series Volume 31. Vienna. 161 p.  A document highlighting the relationship between deforestation and forest degradation and biodiversity, people, and governance. 8.Phạm Minh Thoa, et al. 2012. Final report on a Pilot of Establishment of R- coefficients for REDD+ Benefit Distribution in Di Linh District, Lam Dong Province, Vietnam. UN-REDD Programme Vietnam.  A description of the proposed ‘r-coefficient’ for Viet Nam and results from interviews in the field on its applicability for BDS.

30. 9.Reduced Emissions from Degradation and Deforestation in Community Forests – Oddar Meanchey, Cambodia Project Implementation Report. Climate, Community & Biodiversity Standard. Developed by Terra Global Capital and Pact for The Forestry Administration of the Royal Government of Cambodia, 2012.  A description of the proposed ‘r-coefficient’ for Viet Nam and results from interviews in the field on its applicability for BDS. 10.Rey, D., Swan, S., and Enright, A. 2013. A Country-led Approach to REDD+ Safeguards and Multiple Benefits. SNV REDD+, Vietnam. 11.Setyowati, A. 2012. A Guidance Note to Integrate Gender in Implementing REDD+ Safeguards in Indonesia. UN-REDD Programme and WOCAN.  Reviews existing efforts of safeguard development and integration of gender in REDD+ in Indonesia. 12.Williams, P. Social and Environmental Soundness, Safeguards and Safeguard Information Systems. Slide Presentation. USAID.