1. 4.3 Developing a Safeguard Information System as part of a country-led approach to REDD+ safeguards Tom Blomley

2. REDD+ Readiness – elements (UNFCCC)

3. What are safeguards? Ensuring social and environmental benefits from projects and adoption of good practices Avoiding potential risks and social and environmental damage resulting from projects Principles, rules, measures, laws, policies, regulations or procedures – designed to ensure positive social and environmental goals and outcomes Ensure that social and environmental issues are taken into account in design, implementation and evaluation of projects

4. Potential positive impacts of REDD+ on people and biodiversity Conserve and restore habitats of engandered species Protect watersheds and soils Promote agricultural sustainability and productivity Create employment and new livelihood strategies Maintain traditional cultures and livelihoods Recognize customary rights and promote securing land tenure

5. Borrador kit de capacitación - Febrero 2014 Potential negative impacts of REDD+ on People and Biodiversity Exclude and impact local communities, indigenous peoples, women, vulnerable and marginalised groups Reduce the quality and regulation of water Damage or destroy natural ecosystems and endangered species Deny or restrict access to traditional lands and resources Degrade traditions and cause social conflict

6. Where were REDD+ safeguards defined? 194 countries meet to discuss action on climate change Definition of REDD+ safeguards: Cancun (2010) Durban (2011) Warsaw (2013) United Nations Framework Convention on Climate Change

7. Why are safeguards needed? National agenda and goals: Process for developing national REDD+ strategy / action plan is done in an inclusive and participatory manner, involving those groups who may be impacted (either positively or negatively) by these actions Policies developed for supporting REDD+ are designed in ways that reflect social as well as environmental goals Outcomes from REDD+ implementation generate positive benefits and that negative impacts are reported and mitigated in future. International agenda and goals : Cancun and Durban decisions – UNFCCC International financing requirements (e.g. World Bank)

8. Safeguard models Mandatory / compliance approaches Modification, development or reinforcement of national policies, laws and regulations, institutions and compliance frameworks to respond to UNFCCC requirements Conforming to donor requirements (eg World Bank Carbon Fund, Norwegian Forests and Climate Initiative) Voluntary approaches Principles, criteria and indicators that assess progress across a range of different social and environmental risks and impacts (eg REDD+ SES)

9. Twin-track approach to safeguard development

10. When undertaking REDD+ activities, the following safeguards should be promoted and supported: (a) Complement or consistent with the objectives of national forest programmes and relevant international conventions and agreements (b) Transparent and effective national forest governance structures (c) Respect for the knowledge and rights of indigenous peoples and members of local communities d) Full and effective participation of relevant stakeholders e) Consistent with the conservation of natural forests and biological diversity – not used for conversion of natural forests – protection and conservation of natural forests and their ecosystem services, – enhance other social and environmental benefits f) Address the risks of reversals g) Reduce displacement of emissions REDD+ Safeguards in UNFCCC

11. When undertaking REDD+ activities, the following safeguards should be promoted and supported: (a) Complement or consistent with the objectives of national forest programmes and relevant international conventions and agreements (b) Transparent and effective national forest governance structures (c) Respect for the knowledge and rights of indigenous peoples and members of local communities d) Full and effective participation of relevant stakeholders e) Consistent with the conservation of natural forests and biological diversity – not used for conversion of natural forests – protection and conservation of natural forests and their ecosystem services, – enhance other social and environmental benefits f) Address the risks of reversals g) Reduce displacement of emissions REDD+ Safeguards in UNFCCC - “No harm”

12. When undertaking REDD+ activities, the following safeguards should be promoted and supported: (a) Complement or consistent with the objectives of national forest programmes and relevant international conventions and agreements (b) Transparent and effective national forest governance structures (c) Respect for the knowledge and rights of indigenous peoples and members of local communities d) Full and effective participation of relevant stakeholders e) Consistent with the conservation of natural forests and biological diversity – not used for conversion of natural forests – protection and conservation of natural forests and their ecosystem services, – enhance other social and environmental benefits f) Address the risks of reversals g) Reduce displacement of emissions REDD+ Safeguards in UNFCCC - Good governance

13. When undertaking REDD+ activities, the following safeguards should be promoted and supported: (a) Complement or consistent with the objectives of national forest programmes and relevant international conventions and agreements (b) Transparent and effective national forest governance structures (c) Respect for the knowledge and rights of indigenous peoples and members of local communities d) Full and effective participation of relevant stakeholders e) Consistent with the conservation of natural forests and biological diversity – not used for conversion of natural forests – protection and conservation of natural forests and their ecosystem services, – enhance other social and environmental benefits f) Address the risks of reversals g) Reduce displacement of emissions REDD+ Safeguards in UNFCCC - Multiple benefits

14. When undertaking REDD+ activities, the following safeguards should be promoted and supported: (a) Complement or consistent with the objectives of national forest programmes and relevant international conventions and agreements (b) Transparent and effective national forest governance structures (c) Respect for the knowledge and rights of indigenous peoples and members of local communities d) Full and effective participation of relevant stakeholders e) Consistent with the conservation of natural forests and biological diversity – not used for conversion of natural forests – protection and conservation of natural forests and their ecosystem services, – enhance other social and environmental benefits f) Address the risks of reversals g) Reduce displacement of emissions REDD+ Safeguards in UNFCCC - Greenhouse gas emissions integrity

15. UNFCCC Cancun (2010) and Durban (2011): safeguards information system agreements Cancun decision Requests developing country Parties (…) to develop (...): (d) A system for providing information on how the safeguards are being addressed and respected throughout the implementation of the activities; Durban decision 2. Agrees that systems for providing information on how the safeguards [in Cancun agreement] are addressed and respected should, (a) Be consistent with guidance [in Cancun agreement]; (b) Provide transparent and consistent information that is accessible by all relevant stakeholders and updated on a regular basis; (c) Be transparent and flexible to allow for improvements over time; (d) Provide information on how all of the safeguards [in Cancun agreement] are being addressed and respected; (e) Be country-driven and implemented at the national level; (f) Build upon existing systems, as appropriate;

16. Other international REDD+ safeguard regimes 1.Forest Carbon Partnership Facility (FCPF) Carbon Fund Strategic Environmental and Social Assessment (SESA) Environmental and Social Management Framework (ESMF) 2.UN-REDD Programme (Social and Environmental Principles and Criteria) 3.REDD+ Social and Environmental Standards Initiative

17. World Bank’s SESA / ESMF SESA stands for “Strategic Environmental and Social Assessment” Applied to national (or jurisdictional) level REDD+ Programmes SESA is a key output of the implementation of R-PPs and demonstrates compliance with WB safeguard policies Undertaken by government agencies who report back to World Bank. Involvement and ownership of information by other parties is limited The ESMF – Economic and Social Management Framework provides a framework for managing and mitigating the environmental and social risks associated with future investments (projects, activities, and/or policies and regulations) associated with implementing a country’s REDD+ strategy

18. REDD+ SES Initiative Voluntary, civil-society lead initiative. Overseen by an international steering committee. Co-ordinated by CCBA and CARE International. Seven principles that define high-level objectives for national REDD+ programmes. These principles cover: Respect for rights of Indigenous Peoples and local communities, including free, prior & informed consent Equitable benefit sharing Benefits for Indigenous Peoples and local communities improve human well-being Contribution to broader sustainable development Maintenance of biodiversity and ecosystem services Full and effective participation and access to information Compliance with national and international law

19. REDD+ SES Initiative The criteria define the conditions to be met related to processes, impacts and policies in order to deliver the principles. The indicators define quantitative or qualitative information needed to show progress achieving a criterion. The indicators can generally be characterized into three main categories: – Policy indicators assess policies, strategies, legal frameworks, and institutions related to the REDD+ program that should be in place. – Process indicators assess whether and how a particular process related to the REDD+ program has been planned, established and implemented. – Outcome indicators assess the impacts of the REDD+ program A ten-step process is provided that guides countries through the development and implementation of standards

20. How are countries approaching development of SIS? Putting SIS into the context of other elements that are important to address and respect safeguards Tailoring to country context and circumstances Deciding what inputs already exist in country and what international inputs are helpful Deciding who should be involved, when and how Defining what information to collect, how to analyze and how to report and use the information

21. Benefits of a safeguards information system Builds stakeholder understanding of potential benefits and risks of REDD+ Improves understanding of policies, laws and regulations, and their implementation Transparency of information on safeguards enhances accountability and trust Promotes effective participation from diverse stakeholder groups Identifies areas for improvement of the REDD+ program, avoiding harm and enhancing benefits Demonstrates contribution of REDD+ to national development and conservation goals, and to well-being of Indigenous Peoples and local communities Builds broad political support for the REDD+ strategy Demonstrates the quality of the REDD+ strategy for donors and results-based finance

22. A Safeguards Information System: Objectives and Sources Institutions Safeguards Information System Policies, Laws and Regulations Feedback & Grievance Redress Mechanism Processes and Procedures UNFCCC – Summary of information for Cancun Safeguards Financing Agencies – Donor-specific safeguards and reporting requirements Market, Private Sector, Other Donors – Comprehensive international safeguards and independent review National /Local Stakeholders – Country-specific safeguards, participatory monitoring and review REDD+ Program Management – Safeguards monitoring for effectiveness/ efficiency National Surveys/ Data Sets Protected Areas REDD+ Projects Forest Management Units Primary Data Safeguards Information System SIS OBJECTIVES/USES INFORMATION SOURCES

23. System for providing information on how safeguards are addressed and respected throughout the implementation of REDD+ activities (SIS) Decision 1/ CP.16 (Cancun) Transparent and flexible Country-driven and implemented at national level Accessible to all relevant stakeholders Updated on a regular basis Built on existing systems Consistent How is information provided on application of REDD+ safeguards? Decision 12/CP.17 (Warsaw)

24. What are the key steps in the development of a national REDD+ safeguard system? Identify goals and objectives for national safeguards Undertake gap analysis and assessment of existing development policies, laws, regulations (PLR) Determine what kind of safeguard model will be developed Develop a safeguards information system to compile and communicate information on compliance Governance of SIS development (role and participation of government, other stakeholders )

25. Tanzania Example

26. Group work In country teams: Discuss what stage you have reached in terms of developing REDD+ social and environmental safeguards in your respective country / region Discuss what opportunities you have in terms of safeguard development (existing laws, regulations, policies, project level processes) Discuss what steps you might take at country level to move the safeguard process forward