Section 3. State of the Art in Action:
Bringing the Pieces Together
3.1. Safeguard Mechanisms in REDD+ Programs
USAID LEAF
Regional Climate Change Curriculum Development
Module: Social and Environmental Soundness (SES)
Name
Affiliation
Kasetsart University,
Thailand
Penporn Janekarnkij; Co-Lead Kasetsart University,
Thailand
Surin Onprom; Co-Lead
Name
Affiliation
Tran Thi Thu Ha
Vietnam Forestry University
Nguyen Dinh Hai
Vietnam Forestry University
Rejani Kunjappan; Co-Lead
RECOFTC
Thailand
Vo Mai Anh
Vietnam Forestry University
Claudia Radel; Co-Lead
Utah State University
Tran Tuan Viet
Vietnam Forestry University
Sarah Hines; Co-Lead
US Forest Service
Cao Tien Trung
Vinh University, Vietnam
Sidthinat Prabudhanitisarn
Chiang Mai University,
Thailand
Nguyen T. Trang Thanh
Vinh University, Vietnam
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
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 Ganz
USAID LEAF Bangkok
Chay Kongkruy
Royal University of Agriculture,
Cambodia
Kalpana Giri
USAID LEAF Bangkok
Soreivathanak Reasey Hoy
Royal University of Phnom Penh,
Cambodia
Chi Pham
Project Coordinator
USAID LEAF Bangkok
I.
INTRODUCTION AND BACKGROUND
1.1.
1.2.
1.3.
1.4.
Introduction to Climate Change
The Climate Change Mitigation & Adaptation Context
Introduction to Social and Environmental Soundness (SES)
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
3.1. Safeguards Mechanisms
in REDD+ Programs
3.2. Streamlining of
Safeguards and Standards
(global level)
3.3. Developing National Level
Safeguards
At the end of this section, learners will be able to:

Relate currently available specific SES safeguards and tools

Explain associated key concepts, purposes, and operational
processes of key safeguard mechanisms relevant for REDD+
programs

Exhibit skills to analyze social and environmental issues in
REDD+ using one of the safeguard mechanisms employed in
REDD+



Review of available specific SES safeguards and standards
designed by the:
 World Bank
 UNREDD Program
 CCB (Climate, Community, Biodiversity Alliance)
 W+ (Women’s Carbon Standard)
Understand and analyze the key concepts, purpose, and
operational processes of key safeguard mechanisms.
Apply key concepts to a REDD+ project through a class
exercise.
Methods

Lecture

Class exercise
Time

1 to 1.5 sessions or hours
Students can read:

CCBA. 2011. Social and Biodiversity Impact Assessment
(SBIA) Manual for REDD+ Projects. Parts 2 & 3.
http://www.climate-standards.org/2011/11/22/social-andbiodiversity-impact-assessment-manual/

Joint Regional Initiative for Women’s Inclusion in REDD+.
2013. Scoping Study of Good Practices for Strengthening
Women’s Inclusion in Forest and other Natural Resource
Management Sectors. WOCAN, UNREDD, USAID-LEAF.

UNFCCC Safeguards/Cancun environment and social Safeguards

World Bank and FCPF safeguards and operational policies

UN-REDD social and environmental principles & criteria (SEPC)

CCBA

REDD+ SES

FIP standards

Plan vivo

CCB standards

W+ standard

Bi-lateral safeguards

Others rights (non-binding) & legal(binding) framework

Rights. REDD+ strategy recognizes and respects rights to forest
resources (including customary claims by forest dependent peoples).

Compliance. REDD+ strategy adheres to relevant international
environmental and social safeguards.

Good governance. REDD+ strategy is implemented in the context of
broader good governance objectives including transparency and
accountability.

Land-use planning. Land use plans are responsive to the opportunity
costs of forests and E&S sustainability.

Participation and adequate information. All relevant stakeholders
have the opportunity to participate fully and have timely access to
appropriate and accurate information.

World Bank’s operational policies (OP)

Forest Carbon Partnership Fund’s Strategic Environmental
and Social Assessment (SESA) and Environment and Social
Management Framework (ESMF)

SESA as appropriate approach for incorporating relevant
environmental and social considerations into REDD+
Readiness/Planning.

ESMF for REDD+ Implementation

SESA strategic dimension helps in refining the REDD+ strategy
by assessing the responsiveness of the strategy options to
environment & social priorities in the forestry sector and the
opportunity cost of conserving forests.


ESMF is prepared when REDD+ strategy has been refined.


SESA informs REDD+ strategy.
ESMF establishes the framework for environment & social
management of future projects, policies and activities through
which the refined REDD+ strategy is implemented.
Together SESA & ESMF ensure that REDD+ maximizes social,
cultural, economical and environmental good whilst avoiding
or mitigating harm.
Purpose
 Integrate key SES consideration in the planning stages and establish the
linkages therein.
 Use analytical & participatory approaches with stakeholders in iterative
fashion
 Link to the readiness phase
Outcomes
 Formulate the R-PPs and R-Packages in a way that reflects inputs from key
stakeholder groups and addresses the key environmental and social issues
identified
Key documents
 Formulation of REDD+ strategy that contains E&S concerns
 Key sections of R-PP: Stakeholder consultation plan, REDD+ strategy
development

Purpose: Establish the framework for E&S management
of future projects, policies and activities through which
the refined REDD+ strategy is implemented

ESMF is prepared when REDD+ strategy is refined

ESMF need to be compliant with World Bank’s
operational policies.
“Environmental
Safeguards”
Environmental
Assessment OP
4.01
Natural Habitats
OP 4.04
“Social
Safeguards”
Indigenous Peoples
OP 4.10
Involuntary
Resettlement
OP 4.12
Forests
OP 4.36
Pest Management
OP 4.09
Safety of Dams
OP 4.37
Physical and Cultural
Resources
OP 4.11
• Piloting the Use of Borrower
Systems (March 2005) OP 4.00
• Program for Results (P4R)
(January 2012) OP 9.00
Projects and
Programs
financed by the
World Bank
“Legal
Safeguards”
International
Waterways
OP 7.50
Disputed Areas
OP 7.60
Access to Information Policy
Excerpt only;
full list includes
9 Principles.
- Stakeholder gap
analysis
- consultation
-activities
- Key E&S issues associated
with the drivers D & FD
- Assessment of trade-offs
(opportunity costs of
forests)
SESA work plan
Community
consultations
National workshop
Institutional
stakeholder
consultations
Environmental & Social
priorities
REDD+ Strategy
policy options
Gap
assessment
Refined
REDD+ Strategy
options
National
workshop
Step 1: Launching (planning)
Step 2: Scoping of priority issues
Step 3: Assessment
ESMF
The Social and Environmental Principles and Criteria (SEPC) draw on, are
consistent with, and seek to help countries meet their commitment to, inter alia,
the following international agreements and, when applicable, the decisions taken
in their COPs/MOPs:

United Nations Framework Convention on Climate Change (UNFCCC)

Convention on Biological Diversity (CBD)

Non-Legally Binding Instrument on all Types of Forest (NLBI)

Convention on the Elimination of All Forms of Discrimination against Women (CEDAW)

International Labour Organization Convention 169 (ILO 169)

United Nations Convention Against Corruption (UNCAC)

United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP)

United Nations Convention on the Elimination of All Forms of Racial Discrimination
(UNCERD)

The Millennium Development Goals (MDGs)
Provide a guiding framework for the UN-REDD Programme to
address two specific needs:
1. Addressing social and environmental issues in UN-REDD
National Programmes and other UN-REDD funded activities.

Planning, Review & Implementation of UNREDD national
programmes
2. Supporting countries in developing national approaches to
REDD+ safeguards in line with the UNFCCC.

Help countries to develop national approaches for: developing
safeguards and safeguard information systems…and
demonstrating their achievements beyond carbon (e.g. with
respect to poverty alleviation and biodiversity conservation).
Principle 1 – Apply norms of democratic governance, as reflected in national commitments and
Multilateral Agreements
Criterion 1 – Ensure the transparency and accountability of fiduciary and fund management
systems linked to REDD+ activities
Criterion 2 – Ensure legitimacy and accountability of all bodies representing relevant stakeholders,
including through establishing responsive feedback and grievance mechanisms
Criterion 3 – Ensure transparency and accessibility of information related to REDD+, including
active dissemination among relevant stakeholders
Criterion 4 – Ensure the full and effective participation of relevant stakeholders in design, planning
and implementation of REDD+ activities, with particular attention to indigenous peoples, local
communities and other vulnerable and marginalized groups
Criterion 5 – Promote coordination, efficiency and effectiveness among all agencies and
implementing bodies relevant to REDD+8
Criterion 6 – Promote and support the rule of law, access to justice and effective remedies9
Principle 2 – Respect and protect stakeholder rights in accordance with international
obligations10
Criterion 7 – Respect and promote the recognition and exercise of the rights of indigenous
peoples, local communities and other vulnerable and marginalized groups to land, territories and
resources, including carbon
Criterion 8 – Promote and enhance gender equality, gender equity and women’s empowerment
Criterion 9 – Seek free, prior and informed consent of indigenous peoples and respect and uphold
the decision taken (whether consent is given or withheld)11
Criterion 10 – Ensure there is no involuntary resettlement as a result of REDD+
Criterion 11 – Respect and protect traditional knowledge, and cultural heritage and practices12
Excerpt only;
full list includes
7 Principles and
24 Criteria.
CCB standards developed by CCBA.
Two stages of application:

Validation: Assessment of designed
REDD+ project against CCB standards

Verification: Evaluation a project’s
delivery of net benefits (climate,
community, biodiversity) against the
validated design & monitoring plan

GOLD level is highest attainment
CCB Manual provides guidance on
Part I- Project Proponents
Part II-Social Impact Assessment
Part III- Biodiversity Assessment
CCBA Project Validation Report Appendix A
CCBA Compliance Checklist – [Project Name]
Page A-1
General Section
G1.
G2.
G3.
G4.
G5.
Original Conditions in the Project Area (Required)
Baseline Projections (Required)
Project Design and Goals (Required)
Management Capacity and Best Practices (Required)
Legal Status and Property Rights (Required)
Conformance
Yes
Yes
Yes
Yes
Yes
No
No
No
No
No
Yes
Yes
Yes
No
No
No
Yes
Yes
Yes
No
No
No
Yes
Yes
Yes
No
No
No
Yes
Yes
Yes
No
No
No
Climate Section
CL1.
CL2.
CL3.
Net Positive Climate Impacts (Required)
Offsite Climate Impacts (“Leakage”) (Required)
Climate Impact Monitoring (Required)
Community Section
CM1.
CM2.
CM3.
Net Positive Community Impacts (Required)
Offsite Community Impacts (Required)
Community Impact Monitoring (Required)
Biodiversity Section
B1.
B2.
B3.
Net Positive Biodiversity Impacts (Required)
Offsite Biodiversity Impacts (Required)
Biodiversity Impact Monitoring (Required)
Gold Section
GL1.
GL2.
GL3.
Climate Change Adaptation Benefits (Optional)
Exceptional Community Benefits (Optional)
Exceptional Biodiversity Benefits (Optional)
CCBA Validation Level Attained:
APPROVED (all requirements met)
GOLD (all requirements and also at least one optional Gold Level criterion met
Measures gender equity in six domains:
1.
Income and Assets
2.
Time
3.
Education and Knowledge
4.
Leadership
5.
Food Security
6.
Health

A country’s IP has filed a lawsuit against World Bank on the grounds that
the World Bank’s template R-PP did not include any specific mandatory
guidelines to include IP’s concerns, citing the Bank’s non-compliance with
its Operational Policies. Learning from this experience, World Bank has
mandated a specific template in the R-PP where IP-related issues must be
included. A recent gender workshop on REDD+ has, however, critiqued the
Bank for not providing a specific template to safeguard women’s issues in
the same manner as the IPs and also contended that many of the
customary provisions of IPs can still discriminate against women. They
have written to World Bank for further actions.

Key questions:

Who is the Bank safeguarding? Why?

How can bank respond to the gender-specific critiques?

What options can be suggested to improve greater integration of
gender issues?

Take UNREDD’s SEPC Criterion 8 – Promote and enhance
gender equality, gender equity and women’s
empowerment and suggest ways to translate this
criterion into practice.
OR

Take one of the six domains of the W+ Standard and
suggest activities to promote gender equity.


There are a variety of REDD+ safeguards and standards,
including:

The World Bank’s safeguards and operational policies

UNREDD’s Social & Environmental Principles and Criteria

CCBA’s CCB Standards

The W+ Standard
Safeguard outcomes include enhanced rights, compliance,
good governance, land-use planning, and participation and
adequate information.
1.
CCBA. 2011. Social and Biodiversity Impact Assessment (SBIA) Manual for REDD+
Projects. Parts 2 & 3. http://www.climate-standards.org/2011/11/22/social-andbiodiversity-impact-assessment-manual/

Toolboxes for social impact (part 2) and biodiversity impact (part 3)
assessment
2.
Joint Regional Initiative for Women’s Inclusion in REDD+. 2013. Scoping Study of
Good Practices for Strengthening Women’s Inclusion in Forest and other Natural
Resource Management Sectors. WOCAN, UNREDD, USAID-LEAF.
2.
UN-REDD Programme. 2012. UN-REDD Programme Social and Environmental
Principles and Criteria. http://www.unredd.org/Multiple_Benefits_SEPC/tabid/54130/Default.aspx
3.
World Bank. 2005. Operational Manual: Operational Policies. Table.
http://siteresources.worldbank.org/PROJECTS/5378571129662724162/20687952/OP4-00andTable.pdf