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+ 2.2. Governance

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:  Define governance in the context of REDD+  Explain the three key components of governance in the context of REDD+  Explain the four key principles of governance (transparency, accountability, participation, and rule of law) in relation to REDD+  Refine arguments for why the four principles of natural resource governance are important in the REDD+ context

5.  Natural resource governance  Why improve governance?  What is the role of forest governance in the context of REDD+?  Governance at different levels in the REDD+ processes  Definition of governance  The governance framework – components and principles  Class debate activity

6.  Brainstorming  Small group discussions  Lecture  Debate

7. Readings: 1. SES 2.2 Handout “Defining Governance: An Overview Reading.” 2. Ozinga, Saskia. 2012. The impact of REDD on forest governance. In ETFRN News 53 (European Tropical Forest Research Network). http://theredddesk.org/sites/default/files/resources/pdf/2012/4. 2.s.ozinga.pdf

8. Natural Resource Management:  Has been mostly top down so far  Has focused on conservation goals  Has given little recognition and support to marginalised and vulnerable communities A Different Governance Vision:  We need to provide information, build equity, and recognize rights in NR decision making and implementation  We need to support communities’ roles in NR governance.

9. Governance can be improved in order to:  Increase voice and social accountability  Maximize co-benefits  Empower communities through recognizing and strengthening land tenure and other rights  Have transparent rules on ownership  Structure institutions to apply the rules in a fair and proper way  Implement activities through the right to adequate, accurate and timely information

10. Why is governance important in REDD+? So that we can:  Reduce the risks of forest land use change, by enhancing sustainable management of forest land through long term planning with a close link to land allocation and co-benefit issues.  Reduce illegal logging through enhancing forest law enforcement.  Reduce forest degradation and contribute to carbon conservation and enhancement through  application of environmentally friendly technical measures such as RIL and SFM/FSC,  reduced risk of forest fire and diseases, and  re-habitation and development of forest resources.

11. Why is governance important in REDD+? So that we can:  Provide a positive impact on livelihood and living conditions of forest dependant people through applying a multi-benefit approach.  Allow for the collective voice of poor, vulnerable, and marginalized groups.  Ensure the distribution of costs and benefits for all stakeholders.

12. Governance occurs at:  Global level  National level  Local level For discussion: How does governance at each level influence governance at the other levels?

13. Key concerns at global level:  How can voices of marginalised people be taken into consideration in frameworks for climate change action? Key concerns at national level:  How does climate change affects livelihoods of communities in a specific country?  Who in the country will need information to be able to voice their concerns and priorities? (on tenure, social conditions, participation, equity, choices and trade-offs)  What systems allow for participation at the national level?

14. Key concerns at local level:  How do we empower communities to address climate change, or impacts of REDD+?  How do we incorporate local knowledge?  How do policies help increase (or decrease) capacities of local communities?  What are effective participatory approaches for multiple stakeholders?  Are voices of marginalised groups of communities ( e.g. women, youth, indigenous/ethnic communities ) heard? How are they addressed?

15. What is Governance for YOU ? Instructions:  There are a number of definitions of governance posted on the walls.  Read each definition carefully and stand under the definition that you think best defines governance for you.  Discuss with others who stand with you your reason for choosing the definition.  Let’s then discuss as a class some of the insights you had from this exercise.

16.  There is no ONE definition of governance, as it is based on context.  A working definition can be developed by asking six questions on Decision Making in Natural Resource Management.

17. The six questions on decision making in NRM: 1. Who has the power to make decisions? 2. How do they make these decisions? 3. Who has the power + responsibility to implement the decisions? 4. How do they implement them? 5. Who is accountable for implementation of the decision? 6. How are they accountable for implementation?

18. The six questions need to be asked within the parameters of three components of governance:  Customary and Statutory Rules and Laws (formal and non formal)  Institutions (formal and non-formal)  Processes/mechanisms (formal and non–formal)

19. The six questions also need to be framed within the four principles of governance:  Accountability  Transparency  Participation  Rule of Law

20. COMPONENTSPRINCIPLES TransparencyAccountabilityParticipationRule of Laws Laws and Other Norms WHAT Institutions WHO/HOW Process WHO/HOW

21. Based on the class session(s), we will hold a class debate competition. The question for the debate is: Are all the 4 principles of natural resource governance equally important for governance within the REDD+ context?

22. 1. The four fundamental principles of governance are inter-related and support each other. 2. The concept of governance is dynamic and evolving, and how it is defined is also evolving. 3. Aspects of governance in NRM are also reiterated within the REDD+ context. 4. Key aspects of governance are important to understanding the concept of governance:  What is governance? (ask six questions)  What are the fundamental components and principles of governance?  How are these components and principles applied within a particular NRM context (i.e. REDD+, forestry, etc.)?

23. 1. Agarwal, Bina. 2009. Gender and forest conservation: The impact of women's participation in community forest governance. Ecological Economics 68: 2785–2799. 2. Broekhoven, G., Savenije, H., and Von Scheliha, S., eds. 2012. Moving Forward with Forest Governance. http://theredddesk.org/sites/default/files/resources/pdf/2012/etfrn_53.pdf http://theredddesk.org/sites/default/files/resources/pdf/2012/etfrn_53.pdf 3. IUCN. 2008 Governance for Sustainability, IUCN 2008. 4. Mearns, R. and Norton, A., eds. 2010. Social Dimensions of Climate Change: Equity and Vulnerability in a Warming World. Washington, DC: The World Bank. https://openknowledge.worldbank.org/bitstream/handle/10986/2689/520970PUB0E PI11C010disclosed0Dec091.pdf?sequence=1 https://openknowledge.worldbank.org/bitstream/handle/10986/2689/520970PUB0E PI11C010disclosed0Dec091.pdf?sequence=1 5. Moore, P., Zhang, X., and Triraganon, R. 2011. Natural Resource Governance: A Trainer’s Manual. RECOFTC. http://www.recoftc.org/site/resources/Natural-Resource- Governance-Trainer-s-Manual.phphttp://www.recoftc.org/site/resources/Natural-Resource- Governance-Trainer-s-Manual.php 6. Naughton-Treves, L. and Day, C., eds. 2012. Lessons about Land Tenure, Forest Governance and REDD+. Case Studies from Africa, Asia and Latin America. Madison, Wisconsin: UW-Madison Land Tenure Center.

24. 7. Ozinga, Saskia. 2012. The impact of REDD on forest governance. In ETFRN News 53 (European Tropical Forest Research Network). 8. RECOFTC. 2014. Training manual: Improving grassroots equity in the forests and climate change context. Bangkok, RECOFTC – The Center for People and Forests.