REDD+ safeguards gap analysis and roadmap for Papua New … · 5 Executive Summary In order to comply with the multiple international safeguard requirements under the UNFCCC and the

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REDD+ safeguards gap analysis and roadmap for Papua New Guinea

Version 2.0 September 2016

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Table of Contents

Acronyms and abbreviations ............................................................................................ 4

Executive Summary .......................................................................................................... 5

Introduction ................................................................................................................... 11

Background.............................................................................................................................................. 11

Objectives and structure of this report ................................................................................................... 11

Part I- International context on REDD+ and REDD+ safeguards ........................................ 13

UNFCCC requirements for REDD+ ........................................................................................................... 13

UNFCCC REDD+ safeguards requirements .............................................................................................. 14

Requirement 1: Implement REDD+ activities in a manner consistent with the Cancun safeguards

....................................................................................................................................................... 15

Requirement 2: Establish a system to provide information on how the Cancun safeguards are

being addressed and respected ..................................................................................................... 15

Requirement 3: Provide a summary of information on how the Cancun Safeguards are being

addressed and respected............................................................................................................... 15

FCPF REDD+ safeguard requirements ..................................................................................................... 15

Substantive Requirements ............................................................................................................. 16

Procedural Requirements .............................................................................................................. 16

Part II- Overview of PNG’s context and efforts carried out so far relevant to meeting the REDD+ safeguards requirements ..................................................................................... 18

Relevant context ..................................................................................................................................... 18

Efforts carried out to meet safeguard related requirements ................................................................. 20

The gap analysis of existing policies, laws and regulations ........................................................... 20

The policy to practice roadmap for the development and implementation of national REDD+

social and environmental safeguards ............................................................................................ 20

Part III – Conceptual Framework for a Country Approach to Safeguards .......................... 22

Existing governance arrangements for safeguards ................................................................................. 22

Role of each framework in a country approach to safeguards ..................................................... 23

The role of the Safeguard Information System and links with the Country Approach to

Safeguards ..................................................................................................................................... 24

General 'steps' for the design of a country approach to safeguards and a SIS ....................................... 24

Part IV- Recommendations for adapting the conceptual framework for a country approach to safeguards in PNG ...................................................................................................... 26

1) Engaging stakeholders in country approaches to safeguards ......................................................... 26

Progress made by PNG relevant to this area of work and suggested next steps .......................... 27

Recommendations ......................................................................................................................... 27

2) Setting safeguard goals and scope................................................................................................... 28



3) Clarifying the Cancun safeguards in accordance with national circumstances ............................... 30

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4) Identification and analysis of governance frameworks relevant to REDD+ safeguards .................. 32



5) Developing the safeguard information system ............................................................................... 35



Annex: Overview of a SESA ESMF process ....................................................................... 37

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Acronyms and abbreviations

CAS Country Approach to Safeguards EA Environmental Assessment ESMF Environmental and Social Management Framework FCPF Forest Carbon Partnership Facility FGRM Feedback, Grievance and Redress Mechanism OCCD Office of Climate Change and Development in PNG PLRS Policies, Laws and Regulations PNG Papua New Guinea REDD+ Reducing Emissions from Deforestation and forest Degradation, the

conservation and enhancement of forest carbon stocks, and the sustainable management of forests

REDD SES REDD Social and Environmentall Standards SESA Strategic Environmental and Social Assessment SIS Safeguard Information System UNFCCC United Nations Framework Convention on Climate Change UN REDD United Nations Programme on Reducing Emissions from

Deforestation and forest Degradation UN REDD SEPC United Nations Programme on Reducing Emissions from

Deforestation and forest Degradation Social and Environmental Principles and Criteria

WB World Bank

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Executive Summary

In order to comply with the multiple international safeguard requirements under the UNFCCC and the FCPF, a successful approach countries are adopting is a Country Approach to Safeguards (CAS). To date, several countries have initiated processes to design country approaches to safeguards, following conceptual frameworks and developing roadmaps designed to meet UNFCCC and other relevant requirements.1 The objective of this roadmap is to provide a clear conceptual overview and outline a stepwise process for a country approach to safeguards for PNG. This approach aims to meet applicable international safeguard requirements, notably those of the UNFCCC and FCPF. The diagram below provides a summary overview of the generic components or ‘steps’ that constitute a CAS, and the table below outlines how these could be adapted and used in practice, as far as possible building on existing processes and efforts of PNG in a stepwise manner. For further details on recommendations for PNG, please see section IV of this report.

1 Rey D., Shah, W.P. & Swan S.R. 2015. Country Approaches to REDD+ Safeguards: A Global Review of Initial Experiences and Emerging Lessons. United Nations Collaborative Programme on Reducing Emissions from Deforestation and Forest Degradation in Developing Countries (UN-REDD), Geneva

Step 1: Engaging stakeholders in country

approaches to safeguards

Step 2: Setting safeguards goals and

scope

Step 3: Clarifying the Cancun safeguards in

accordance with national circumstances

Step 4: Identifying, assessing and

strengthening existing governance

arrangements

Step 5: Developing the safeguard information

system

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Step 1: Involve relevant stakeholders

Recommendations Next steps and sought results Suggested Timeframes

Achieved/Pending

1.1 Define key actors for the development and implementation of the country approach to safeguards building on the existing TWG-SES

Relevant actors that need to be included in the development and implementation of the country approach to safeguards are clearly identified. Revision of TWG-SES membership has been undertaken.

March 2016 Achieved

1.2 Build or identify a multi-actor platform (based on existing participatory platforms) that can be used to guarantee and promote a participation and communication process during the design and implementation of the CAS and SIS

The TWG-SES is confirmed as the

appropriate multi-stakeholder

platform.

The TOR for TWG-SES has been

reviewed and strengthened to

ensure greater awareness, buy-in

and participation from all relevant

actors, including key line agencies

within government.

July 2016 Achieved

1.3 Build capacities of members of both platforms on REDD+ safeguards and the country approach to safeguards

Members of both the technical and participatory platform (and therefore all relevant stakeholders) have a good and common understanding of REDD+, REDD + safeguards and design of the country approach to safeguards, enabling them to participate fully and effectively. A dedicated safeguards capacity building tool-kit has been prepared. However, capacity building activities need to be carried out.

2016-2017 onwards (capacity building activities throughout)

Pending

Step 2: Determine the objectives and scope of the safeguards


Achieved/Pending

2.1 Determine the safeguard goals the country seeks to

A clear identification of what are the safeguard goals the country seeks to

May 2017 Pending

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achieve (i.e. Cancun safeguards and any other additional safeguards), through a participatory process, discussed with all relevant stakeholders.

implement/fulfil. This could be embedded in the National REDD+ Strategy or a stand-alone technical-policy document.

2.2 Specify the REDD+ actions that are to be implemented as part of PNG's REDD+ strategy or action plan. A clear and precise identification and characterization of the proposed REDD+ actions is required to understand what the safeguards should be applied to.

A draft/adopted REDD+ strategy/action plan that defines what are the proposed REDD+ activities and associated REDD + actions.

May 2017 Pending

2.3 Determine the scope of the safeguards application. Ascertaining the scope of safeguard application is important in managing stakeholder perceptions and expectations. To provide clarity to all relevant stakeholders, it is recommended that PNG clearly outline the scope of REDD+ safeguards application within their NS/APs.

Draft/adopted REDD+ strategy/action plan ascertains what actions (REDD+ and any additional ones) will be carried out in consistency with the safeguards adopted by the country.

May 2017 Pending

Step 3: Clarify the Cancun safeguards in accordance to national context and circumstances


Achieved/Pending

3.1 Agree on a robust methodological approach for clarifying the Cancun safeguards.

A clear methodological approach to undertake the participatory process of clarifying the Cancun safeguards to the country context. A clear and robust methodological approach has been adopted.

March 2016 Achieved

3.2 Clarify the Cancun Safeguards to the country context and circumstances

Technical or policy document validated by all relevant stakeholders that sets out the country specific safeguards (i.e. clarification of the Cancun safeguards and other relevant safeguards). A draft clarification has been prepared, but needs to be validated by all relevant stakeholders.

March 2017 Achieved/Pending

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Step 4: Identify, evaluate and strengthen the existing governance arrangements (components/elements of the CAS: the legal, institutional and compliance framework)


Achieved/Pending

4.1 Assess legal framework relevant to REDD+ safeguards (in paper and in practice)

Technical document which identifies relevant aspects (i.e. which PLRs) of the legal framework which can/are to be used to address and respect (i.e. operationalize) the country specific safeguards when undertaking the proposed REDD+ actions, as well as gaps and weaknesses that need to be addressed and how. The legal gap analysis has been carried out. The document must be validated with relevant stakeholders.

May 2016 Achieved

4.2 Assess the institutional framework relevant to REDD+ safeguards

A technical document which identifies relevant aspects of the institutional framework, which can/are to be used to oversee the country specific safeguards are addressed and respected, as well as gaps and weaknesses that need to be addressed and how.

August 2017 Pending

4.3 Assess the compliance framework relevant to REDD+ safeguards The compliance framework of a country includes: a. grievance redress mechanisms that can be used to address any grievances that should arise in relation to the country specific safeguards; b. information, monitoring and reporting mechanisms, that can be used to collect and provide information on how the country specific safeguards are being addressed and respected; and c. enforcement mechanisms, which can be used to address the lack of, or insufficient, application of the country specific safeguards.

Technical document that clearly identifies the relevant aspects of the compliance framework that can be used to guarantee the country specific safeguards are adhered to when implementing REDD+ actions, as well as gaps and weaknesses that need to be addressed and how. This has be done in a preliminary manner concerning the information systems and sources. However, this document must be validated with all relevant stakeholders and requires further inputs (linked to adoption of information needs).

-Information systems by July 2016 -GRMs by August 2017 -Enforcement mechanisms by August 2017

Achieved/pending

Pending Pending

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4.4 Articulate the governance arrangements part of the country approach to safeguards Drawing from the results of the previous analysis, this step aims to articulate how the relevant and existing governance arrangement are to be used to address and respect the safeguards. We recommend that PNG aims to have a clear idea of the proposed REDD+ actions and an assessment of their potential risks and benefits, before undertaking this step.

Policy document validated by all relevant stakeholders, which clarifies:

which aspects of the legal framework (e.g. PLRs) are to be used to address and respect (i.e. operationalize) the country specific safeguards when undertaking the proposed REDD+ actions;

which aspects of the institutional framework are to be used to oversee the country specific safeguards are addressed and respected when undertaking the proposed REDD+ actions

which and how existing information systems will be used to collect and provide information on how the country specific safeguards are being addressed and respected;

If applicable, how existing GRMs or dispute resolution mechanisms are to be used to address any grievances that should arise in relation to the country specific safeguards

If applicable, how existing enforcement mechanisms are to be used to address the lack of, or insufficient, application of the country specific safeguards;

November 2017 Pending

4.5 Address gaps and weaknesses in identified governance arrangements

Strengthening the mandate, procedures and the capacities of relevant institutions, and/or PLRs reforms

Throughout-by November 2017

Pending

Step 5: Develop a safeguard information system

Recommendations Suggested Timeframes Achieved/Pending

4.1 Define the objectives of the SIS It is recommended PNG consider and determine what objectives the SIS should be expected to fulfil (e.g. national objectives, in addition to UNFCCC requirements). This has be done in a preliminary manner when crafting the SIS ToR. However, this document must be validated with all relevant stakeholders.

November 2016 Achieved/Pending

4.2. Determine the safeguard information needs April 2017 Achieved/Pending

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A key SIS design consideration countries have identified is determining 'what type' of information is needed to demonstrate whether the Cancun safeguards are being addressed and respected. This is usually referred to as the process of determining the 'information needs'. PNG plans to determine information needs in early 2016. We recommend this process is undertaken in a participatory and consultative manner to ensure the expectations of the relevant stakeholders are duly considered. A draft document has been prepared. However, this document must be validated with all relevant stakeholders and additional inputs are required.

4.3. Determine the functions of the SIS It is recommended that PNG determine what are the key functions their SIS is expected to fulfil. This has be done in a preliminary manner when crafting the SIS ToR. However, this document must be validated with all relevant stakeholders and additional inputs are required.

April 2017 Achieved/Pending

4.4. Determine the Institutional arrangements for the SIS The final SIS design element countries are considering is defining institutional arrangements for the SIS and articulating how existing information systems and sources are to be used to provide information about how the safeguards are being addressed and respected. This has be done in a preliminary manner when crafting the SIS ToR. However, this document must be validated with all relevant stakeholders and additional inputs are required.


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Introduction

Background

Papua New Guinea (PNG) is following the ‘Country Approach to Safeguards’ advocated by the UN-REDD

Programme. In addition to responding to UNFCCC requirements, a country approach to safeguards will

allow PNG to consider further objectives, including, for example, other national policy objectives and

requirements of organizations (e.g. donors) providing interim results-based REDD+ payments/finance. The

current safeguards gap analysis and roadmap for PNG has been developed by building on the initial REDD+

safeguards work supported by the UN-REDD Programme.

Commissioned by UNDP, this consultancy was initially intended to provide a clear understanding of the

safeguards information needs and the management of the data collection and analysis process, resulting

in the following components:

Stocktaking of REDD+ safeguards/safeguards information system (SIS) progress to date in PNG;

Identification of information needs and relevant national and international, as relevant,

information systems/sources;

Development of a monitoring, assessment and dissemination plan for the information on each

indicator. However, based on the scoping exercise carried out, it was determined that a number of ‘unplanned’ activities need to be carried out. This includes the preparation of a gap analysis and roadmap that provide a clear outline of a country safeguard approach for PNG, as a stepwise process towards meeting international safeguard requirements, notably those of the UNFCCC and FCPF. This roadmap is deemed to be an essential input to be able to deliver the activities and products initially envisioned in the ToR, and provide the necessary building blocks for the establishment of PNG’s SIS in line with international best practice.

Objectives and structure of this report The objective of this roadmap is to provide a clear conceptual overview and outline a stepwise process for a country approach to safeguards for PNG. This approach aims to meet applicable international safeguard requirements, notably those of the UNFCCC and FCPF. It also aims to ensure:

1. That REDD+ policymakers and implementers in PNG have a complete understanding of the scope and extent of these international requirements, and

2. That the aforementioned actors also have a clear and complete understanding of the activities that need to be undertaken in order to develop a country approach to safeguards (CAS) that is consistent with international best practice.

This report is divided into four sections:

- Part I – International context of REDD+ and REDD+ safeguards. Provides a clear exposition of the applicable international safeguard related requirements, which includes those of the United Nations Framework Convention on Climate Change (UNFCCC) and the World Bank’s Forest Carbon Partnership Facility (FCPF). The requirements outlined include both procedural and substantive aspects.

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- Part II – Overview of PNG’s context and relevant efforts carried out to date to meet UNFCCC REDD+ safeguards requirements. This section provides an overview of the relevant safeguard related activities undertaken by PNG to date as well as an explanation of why the activities carried out to date do not clearly define and articulate how a robust CAS can be established.

- Part III - Conceptual Framework for a Country Approach to Safeguards. Outlines the conceptual framework for a country approach to safeguards (CAS) and its core elements based on international best practices and guidance.

- Part IV- Recommendations for adapting the conceptual framework for a country approach

to safeguards in PNG. This section provides concise recommendations for adapting the conceptual framework for a country approach to safeguards in PNG, including the design of the SIS.

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Part I- International context on REDD+ and REDD+ safeguards

UNFCCC requirements for REDD+ REDD+ is an international climate change mitigation mechanism adopted under the United Nations Framework Convention on Climate Change (UNFCCC) that seeks to contribute to the reduction of global carbon emissions from deforestation by providing financial incentives, in the form of ‘results-based payments’, to developing countries that successfully slow or reverse forest loss. The UNFCCC Conference of the Parties (COP) articulated five REDD+ activities that developing countries can implement to be eligible to receive these payments:2

a) Reducing emissions from deforestation; b) Reducing emissions from forest degradation; c) Sustainable management of forests; d) Conservation of forest carbon stocks; and e) Enhancement of forest carbon stocks

After several years of negotiations and discussions at the international level, the UNFCCC COP adopted the ‘Warsaw Framework for REDD+’ at its 19th meeting in December 2013.3 This officially anchored REDD+ to the UNFCCC regime. The Warsaw Framework builds on previous COP decisions and clarifies and consolidates the requirements and methodological guidance countries must meet in order to access results based finance.4 According to the Warsaw Framework, developing country Parties aiming to receive results-based finance for REDD+ must:

1. Ensure that the anthropogenic forest-related emissions by sources and removals resulting from the implementation of REDD+ activities are fully measured, reported and verified (MRV) in accordance with UNFCCC guidance;5

2. Have in place:6 a) A national strategy or action plan (a link to which is shared on the UNFCCC REDD+ Web

Portal); b) A national forest reference emission level and/or forest reference level, or if appropriate,

as an interim measure, subnational forest reference emission levels and/or forest reference level (that has undergone a UNFCCC-coordinated technical assessment process);

c) A robust and transparent national forest monitoring system for the monitoring and reporting of REDD+ activities; and

d) A system for providing information on how the safeguards are being addressed and respected (SIS)

3. Ensure that REDD+ activities, regardless of the source and type of funding, are implemented in a manner consistent with the UNFCCC REDD+ safeguards7

4. Provide the most recent summary of information on how all of the UNFCCC REDD+ safeguards have been addressed and respected before they can receive results-based payments.8

2 UNFCCC Decision 1/CP.16 paragraph 70 3 UNFCCC Decisions 9/CP.19; 10/CP.19; 11/CP.19; 12/CP.19; 13/CP.19; 14CP.19 and 15/CP.19 4 UNFCCC Decision 2/CP.17 paragraph 63 5 UNFCCC Decision 1/CP.16 paragraph 73 6 UNFCCC Decision 1/CP.16 paragraph 71 7 UNFCCC Decision 2/CP.17 paragraph 63 8 UNFCCC Decision 9/CP.19 paragraph 4

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UNFCCC REDD+ safeguards requirements Although REDD+ is primarily a mechanism to incentivise forest-based climate change mitigation, it is broadly agreed that it should, as a minimum, ‘do no harm’, and where possible go beyond this to ‘do good’ and achieve multiple (carbon and non-carbon) benefits. Given the potential environmental risks and benefits of REDD+ implementation, Parties to the UNFCCC recognised the need to ensure that the rules and guidance for REDD+ include measures to protect those potentially at risk, particularly indigenous peoples, local communities and biodiversity. For this reason, they agreed to the adoption of seven safeguards for REDD+ at the 16th Conference of the Parties (COP16) also known as the ‘Cancun safeguards’ (see Box 1).

Box 1: The Cancun safeguards9

When undertaking the activities referred to in paragraph 70 of this decision, the following

safeguards should be promoted and supported:

(a) That actions complement or are consistent with the objectives of national forest programmes

and relevant international conventions and agreements;

(b) Transparent and effective national forest governance structures, taking into account national

legislation and sovereignty;

(c) Respect for the knowledge and rights of indigenous peoples and members of local

communities, by taking into account relevant international obligations, national circumstances

and laws, and noting that the United Nations General Assembly has adopted the United Nations

Declaration on the Rights of Indigenous Peoples;

(d) The full and effective participation of relevant stakeholders, in particular indigenous peoples

and local communities, in the actions referred to in paragraphs 70 and 72 of this decision;

(e) That actions are consistent with the conservation of natural forests and biological diversity,

ensuring that the actions referred to in paragraph 70 of this decision are not used for the

conversion of natural forests, but are instead used to incentivize the protection and conservation

of natural forests and their ecosystem services, and to enhance other social and environmental

benefits;10

(f) Actions to address the risks of reversals;

(g) Actions to reduce displacement of emissions

The UNFCCC recognises that safeguards are a key part of REDD+ implementation, and links the Cancun safeguards to results-based payments, requiring that countries demonstrate how they have addressed and respected them throughout the implementation of their REDD+ activities.11 The specific UNFCCC safeguard requirements are the following:

9 UNFCCC Decision 1/CP.16 Appendix 1 paragraph 2 10 Taking into account the need for sustainable livelihoods of indigenous peoples and local communities and their interdependence on forests in most countries, reflected in the United Nations Declaration on the Rights of Indigenous Peoples, as well as International Mother Earth Day. 11 UNFCCC Decision 2/CP.17, Paragraphs 63 and 64, which should be read along with UNFCCC Decision 1/CP.16, Paragraph 69 and Appendix 1, Paragraph 2.

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Requirement 1: Implement REDD+ activities in a manner consistent with the Cancun safeguards

REDD+ activities, regardless of their type of funding source, are to be implemented in such a way that the Cancun Safeguards are addressed and respected.12 This implies that countries should take steps to define how the Cancun safeguards will be implemented, and to ensure compliance with the safeguards throughout the implementation of REDD+ activities.

Requirement 2: Establish a system to provide information on how the Cancun safeguards are being addressed and respected The governments of countries implementing REDD+ activities are required to establish a system to provide information on how the seven Cancun safeguards are being addressed and respected in all of the phases of implementation of REDD+ activities.13 This is commonly referred to as the Safeguard Information System (subsequently referred to as the SIS). According to the UNFCCC guidelines, the SIS should:14

Be consistent with guidance in decision 1/CP.16, appendix I, paragraph 115;

Provide transparent and consistent information that is accessible by all relevant stakeholders and updated on a regular basis;

Be transparent and flexible to allow for improvements over time;

Provide information on how all of the safeguards are being addressed and respected;

Be country-driven and implemented at the national level;

Build upon existing systems, as appropriate.

Requirement 3: Provide a summary of information on how the Cancun Safeguards are being addressed and respected In order to receive results-based payments, countries must present their most recent summary of information demonstrating how the safeguards have been addressed and respected.16 The UNFCCC also establishes that the summary of information should be provided periodically, and be included in national communications or other communication channels identified by the COP. An additional and voluntary format for providing information to the UNFCCC is through the UNFCCC REDD+ web platform.17

FCPF REDD+ safeguard requirements The Government of PNG has made clear its intention to ensure that its country approach to safeguards meets the requirements that are needed to qualify for results-based financing for REDD+ through the UNFCCC.18

12 Decision 1/CP.16 paragraph 69, Decision 2/CP.17, Paragraph 63 13 UNFCCC Decision 1/CP.16 Paragraph 71(d). 14 UNFCCC Decision 12/CP.17 Paragraph 2 15 Which states that REDD+ activities should: (a) Contribute to the achievement of the objective set out in Article 2 of the Convention; (b) Contribute to the fulfilment of the commitments set out in Article 4, paragraph 3, of the Convention; (c) Be country-driven and be considered options available to Parties; (d) Be consistent with the objective of environmental integrity and take into account the multiple functions of forests and other ecosystems; (e) Be undertaken in accordance with national development priorities, objectives and circumstances and capabilities and should respect sovereignty; (f) Be consistent with Parties’ national sustainable development needs and goals; (g) Be implemented in the context of sustainable development and reducing poverty, while responding to climate change; (h) Be consistent with the adaptation needs of the country; (i) Be supported by adequate and predictable financial and technology support, including support for capacity-building; (j) Be results-based; (k) Promote sustainable management of forests; 16 Decision 9/CP, Paragraph 4, UNFCCC Decision 2/CP.17, op cit, Paragraph 63 and 64. 17 Decision 12/CP.19, Paragraph 2 and 3 18 UN REDD and OCCD (2014) Gap Analysis of Existing Policies, Laws and Regulations: Towards the development of Social and Environmental Safeguards for REDD+ in Papua New Guinea. Final Draft

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The REDD+ safeguard requirements of the FCPF Readiness Grant that PNG are in receipt of have two dimensions, substantive, and procedural.

Substantive Requirements Countries receiving FCPF funding for readiness preparation through the World Bank are required to ensure compliance with the FCPF Readiness Fund’s common approach to environmental and social safeguards for multiple delivery partners (Common Approach).19 This also applies to countries seeking to obtain results based funding from the FCPF Carbon Fund.20 According to the Common Approach, participating countries are expected to achieve “substantial equivalence” to the “material elements” of the World Bank’s environmental and social safeguard policies and procedures applicable to the FCPF Readiness Fund.21 The previously drafted “policy-to-practice” document identifies the applicable World Bank OPs.22 In addition, according to the World Bank, its own safeguards policies, procedures and practices are “consistent” with the Cancun safeguards for REDD+,23 which means that a country approach developed to address and respect the Cancun safeguards could be understood substantively at least, to be “consistent” with the FCPF safeguard requirements. Procedurally however, a number of additional processes need to be taken in order to fully meet the FCPF safeguard requirements.

Procedural Requirements There are two procedural requirements:

a) Strategic Environmental and Social Assessment (SESA), and b) Environmental and Social Management Framework (ESMF)

Strategic Environmental and Social Assessment (SESA) The SESA stems from environmental assessment (EA) requirements of the World Bank.24 It is intended to be an inclusive process whereby the REDD+ country, with the participation of all potentially affected stakeholders, seeks to “identify likely impacts and risks, as well as opportunities,” among different strategic REDD+ options. During the SESA process these impacts, risks and opportunities are assessed and weighed by the various stakeholders. Activities that form part of the SESA include (see diagram in Annex):25

Identifying and prioritising the drivers of deforestation and the key social and environmental issues associated with the drivers. This assessment also includes looking at how issues such as land tenure, benefit-sharing and access to resources are dealt with in PNG. A preliminary examination of the likely social and environmental impacts of the REDD+ strategy options identified in the R-PP is also necessary.

Analysing the legal, policy and institutional “aspects” of REDD+ readiness

Assessing existing capacities and gaps to address the environmental and social issues identified

19 UN REDD FCPF (2012) R‐PP Template Annexes Version 6, for Country Use p. 44 20 FCPF (2013) Carbon Fund Methodological Framework. Final. P. 17 21 FCPF (2011) Readiness Fund Common Approach to Environmental and Social Safeguards for Multiple Delivery Partners. https://www.forestcarbonpartnership.org/sites/forestcarbonpartnership.org/files/Documents/PDF/Nov2011/FCPF%20Readiness%20Fund%20Common%20Approach%20_Final_%2010-Aug-2011_Revised.pdf 22 UN REDD and OCCD (2014) Policy-to-Practice Roadmap for the Development and Implementation of National REDD+ Social and Environmental Safeguards in Papua New Guinea. Draft p.18 23 FCPF Carbon Fund (2013) World Bank Safeguard Policies and the UNFCCC REDD+ Safeguards. FMT Note CF-2013-3 https://www.forestcarbonpartnership.org/sites/fcp/files/2013/june2013/FMT%20Note%20CF-2013-3_FCPF%20WB%20Safeguard%20Policies%20and%20UNFCCC%20REDD%2B%20Safeguards_FINAL.pdf 24 See OP 4.01 – Environmental Assessment, para. 7; and Annex A, para. 10. 25 Ibid

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Establishing outreach, communication and consultative mechanisms with relevant stakeholders throughout the process

The SESA should conclude with the production of an Environmental and Social Management Framework (ESMF) as a means for managing environmental and social risks as REDD+ countries develop their REDD+ national strategies.

Environmental and Social Management Framework (ESMF) All REDD+ countries must produce an ESMF as a direct output of the SESA process.26 The ESMF lays out principles, rules, guidelines and procedures for assessing issues and impacts associated with planned REDD+ activities that may occur in the future but are not presently known or are uncertain.27 It largely provides a framework for REDD+ countries to address environmental and social issues in their REDD+ Strategy as it is implemented. The ESMF is completed and presented, to the extent possible, as part of the REDD+ country’s R‐Package. However, if REDD+ investments have not yet been specifically identified, the ESMF remains a general principles‐based document, leaving specific details for later.

26 R-PP Template, Component 2d, p. 44. 27 Common Approach, p. 47, para. 23.

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Part II- Overview of PNG’s context and efforts carried out so far relevant to meeting the REDD+ safeguards requirements

Relevant context PNG has played a leading role in advancing the REDD+ agenda under the UNFCCC, including as a co-founder of the Coalition of Rainforest Nations, and was instrumental to the establishment of the UN-REDD Programme in 2008. Between 2009 and 2010, PNG established an Office of Climate Change and Carbon Trade, which was re-named as Office of Climate Change and Environmental Sustainability (OCCES). The OCCES was disbanded and the Office of Climate Change and Development (OCCD) was established. As of January 2016, OCCD became an authority, called the Climate Change and Development Authority (CCDA). All these changes in office happened through decisions made by the National Executive Council, the highest decision-making body in the country. During this period, PNG was embroiled in a number of carbon scams which highlighted the importance of having safeguards systems in place particularly given the country lacked the necessary policies and measures in place to effectively measure, monitor and verify emissions reductions and benefit from any incentives for taking such actions. The effect was more profound on local people as it raised misunderstanding and confusion about the REDD+ concept. A moratorium was put in place in 2010 by the government to stop carbon proponents to participate in the voluntary carbon market. Since its establishment, the OCCD and key national stakeholders have progressed on a number of key strategies and measures such as the institutional arrangements and capacity building, stakeholder engagement and consultations, development of the National Climate Change Strategy and Action Plan, and the establishment of several REDD+ pilot projects for early lessons learning. Multilateral support from the UN-REDD Programme, bilateral arrangements and technical assistances have contributed greatly towards building PNG’s necessary (REDD+) readiness arrangements. To date, REDD+ efforts carried out in PNG, as well as the technical and financial support received from bilateral and multilateral funding sources have primarily focused on institutional and capacity-building, MRV, and support of forest monitoring systems for REDD+. For instance, the Japanese government, through its International Cooperation Agency (JICA) has provided around $17.9m both in grant aid and technical assistance to support PNG’s forest monitoring and data management capacity, while the Australian Government’s International Forest Carbon Initiative (IFCI) has provided AUD $3.9m for technical, scientific and analytical support for the design of PNG's carbon monitoring and accounting systems since 2008 including early lessons through community field-testing of various activities28. A social and environmental safeguards technical working group was established in 2013 within OCCD to discuss and address safeguards issues relating to REDD+. The main funding sources for safeguard-related activities in PNG come from multilateral programmes such as the UN-REDD National Programme and the FCPF. UN-REDD, following the inception of the National Programme in June 2011, has supported safeguard-related activities including:

The development of draft Guidelines on FPIC in PNG;

The undertaking of a gap analysis of policies, laws and regulations;

The development of principles, criteria and indicators to serve as a framework for assessing, reporting and mitigating the impacts of the national REDD+ programme;

Capacity development of cross-sector stakeholders through the REDD+ Social and Environmental Safeguards Technical Working Group (SES-TWG) to attend trainings in Bangkok;

Conducted FPIC trainings at provincial level to refine and finalize the National FPIC Guidelines for REDD+.

28 http://forest-trends.org/publication_details.php?publicationID=5031

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Bilateral support such as from Australia’s IFCI has supported community-based participatory approaches to planning and resource mapping, education, technical training and legal awareness, field-testing of FPIC and benefit sharing. In addition to the support from UN-REDD, PNG has received $3.8 million from the FCPF. According to the project document,29 this includes support for relevant indicative activities such as:

The building of capacities to manage REDD+ o Establishment of a National REDD+ Steering Committee o Support for stakeholder engagement (including the development and institutionalisation

of formal participation mechanisms) o Capacity-building for provincial authorities and NGOs

The development of the National REDD+ Strategy o Assessment of drivers o Strengthening of law enforcement o Identification of REDD+ strategy options o Benefit sharing for REDD+ o Implementation of the SESA and ESMF o Development of a GRM for REDD+

A national study on National Circumstances and Drivers of Deforestation and forest Degradation in PNG including policy options to address these drivers is being finalized through the UN-REDD Programme. The findings of this study can help PNG decide on the scope of REDD+ activities it wants to implement within a National REDD+ Strategy. Furthermore, and as explained in detail below, the design of safeguards elements can be clearly tied to these activities as part of the SESA process. Overall, the implementation of the R-PP funding through FCPF will build on current activities funded by the UN-REDD Programme including other funded programs such as the European Commission support for conducting a multi-purpose national forest inventory. Of the four design elements of REDD+, UN-REDD is focused on developing programs for a National Forest Monitoring System and establishment Forest Reference Emissions Level/Forest Reference Level while FCPF is focusing on supporting PNG’s Safeguards/Safeguards Information System and National REDD+ Strategy/Action Plan.

29 http://www.pg.undp.org/content/dam/papua_new_guinea/docs/environment%20and%20energy/FCPF%20project/PNG_FCPF%20R-PP%20Assessment%20Note_Final.pdf

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Efforts carried out to meet safeguard related requirements Several activities have been implemented in PNG to meet the safeguards related requirement to date. The main activities include:

The gap analysis of existing policies, laws and regulations OCCD, which co-ordinates REDD+ activities at the national level, commissioned a study to assess the degree to which PNG’s legal and policy framework conformed to the seven Cancun safeguards. This gap analysis reviewed 19 existing polices, 29 laws and 11 regulations and identified a number of key gaps both in the content of existing legislation, but also in the way in which laws were practically implemented on the ground. These “implementation gaps” were further discussed, elaborated and clarified at four regional workshops conducted with provincial government staff, civil society and private sector stakeholders across the country in May and June 2014.30

However, some issues have been identified in version 1.0 of the legal gap analysis. In particular, the methodology employed for the analysis of the PLRs is not robust in terms of highlighting the requirements of international safeguards, (i.e. the Cancun Safeguards), which are anchored to PNG’s legal framework. The report does however, identify some key policy and implementation gaps within existing PLRs which can be reviewed and addressed in the CAS.

A revision of this report and its strengthening (through the development of version 2.0) is planned for 2016.

The policy to practice roadmap for the development and implementation of national REDD+ social and environmental safeguards

Building on the legal gap analysis, a ‘policy to practice roadmap’ was developed with the purpose of “summarising practical actions for the government of Papua New Guinea regarding the implementation of social and environmental safeguards for the national REDD+ programme.”31 The report identified three areas for action with regard to safeguard development:

The need to address key legal and implementation gaps in the implementation of key laws and policies to strengthen the application of social and environmental safeguards in PNG;

The development of principles, criteria and indicators with which positive impacts of the national REDD+ programme can be assessed and through which the negative impacts can be mitigated and reported;

Undertaking Strategic Environmental and Social Assessment (SESA). While the document recognises the need for a country approach to safeguards, the policy to practice roadmap does not provide a clear picture of the different elements of such an approach, their respective roles, or how such an approach might be anchored to PNG’s national context. The three elements listed above, while part of a country approach to safeguards, are not sufficient on their own to operationalize such an approach. They form part of a broader process that is country-led and builds on existing structures. An effective country approach to safeguards is a complex structure and therefore needs a clear conceptual framework in order to understand its various parts and their respective functions. Consequently, it was determined that the “policy to practice roadmap” document does not clearly outline a country safeguard approach that can meet the different safeguard requirements applicable to PNG (including reporting) in a structured and coherent manner. It does however, outline ‘action steps for development of national REDD+ Strategy and incorporation of WB Safeguards’ with ‘notes of relevance to PNG context’. These can be taken up for future work within the CAS. The report also outlines SIS, PLRs and FGRM as important elements to

30 UN REDD and OCCD (2014) Policy-to-Practice Roadmap for the Development and Implementation of National REDD+ Social and Environmental Safeguards in Papua New Guinea. Draft 31 UN REDD and OCCD (2014) Policy-to-Practice Roadmap for the Development and Implementation of National REDD+ Social and

Environmental Safeguards in Papua New Guinea. Draft p. 2

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CAS and raises important issues within the PNG context such local concerns regarding positive and negative impacts of REDD+. A revision of this report and its strengthening (through the development of version 2.0) is encompassed in this report, and consultations over the scope and content of version 2.0 is planned for 2016. The draft REDD+ social and environmental Principles, Criteria and Indicators

Based on the PLR gap analysis and policy to practice roadmap examined above, it was concluded that social and environmental ‘standards’ should be developed to ‘monitor’ the gaps identified in the PLRs in practice. It was proposed that this could be done by “monitoring indicators related to these issues and then using the results of monitoring to bring this to the attention of policy makers at national level.”32 The subsequently developed social and environmental standards were derived from the principles, criteria and indicators (PCIs) developed by the international REDD+ Social and Environmental Standards (REDD SES) initiative, but also borrow from the UN-REDD Social and Environmental Principles and Criteria (SEPC).

The standards are based on seven principles that are designed to reflect the goals or broad statements of intent that describe the social or environmental performance of the national REDD+ programme. The criteria define the conditions to be met related to processes, impacts and policies in order to deliver the principles. The indicators define the quantitative or qualitative information needed to show progress achieving a criterion. The PCIs were to be field tested following the elaboration of a monitoring plan and it was acknowledged that given the early stages in which REDD+ was in PNG, not all indicators could be tested. However, while an extensive consultation was undertaken to develop these standards and applicable PCIs, they were not linked to proposed REDD+ actions and the emerging NS/APs, nor to the existing and relevant PLRs. This could be due to the lack of adequate analysis of the drivers of deforestation/forest degradation and consequently, an absence of a NS/AP that clearly defines what REDD+ activities to implement. In addition, a clearer idea of what the Cancun safeguards mean in PNG’s context needs to be achieved before developing PCIs for the purpose of monitoring safeguard performance (see below). An interpretation or clarification of the Cancun safeguards in relation to the national context is needed to ‘anchor’ the Cancun safeguards to PNG’s legal framework, before steps can be taken to develop a safeguard information system (SIS), which includes identifying the types of information that need to be gathered and compiled by the SIS. While it is true that the development of the SIS will likely include some form of structure (e.g. PCI) to assist in gathering the necessary information on how the Cancun safeguards have been addressed and respected, given that the developed PCIs are not anchored to the PLRS (and therefore not linked to the information systems that gather information on these PLRs), nor are they linked to proposed REDD+ actions and the emerging NS/AP, they cannot serve as an initial identification of the reporting objectives of PNG’s SIS. However, they do provide some context on current PLRs, how they are implemented and direct attention on where potential safeguard-related gaps are and areas of improvement.

A revision and strengthening of the PCI framework linked to the PLRs, information systems and emerging NS/AP, along with the clarification of the Cancun safeguards is planned for 2016. In addition to a revised legal gap analysis (building on the existing analysis), a number of key activities will need to be undertaken, each representing a fundamental building block for the country approach. The section below will provide a more robust explanation of the role, elements and steps that comprise a country approach to safeguards, and will also help put the proposed activities into context.

32 UN REDD and OCCD (2014) Draft REDD+ Social and Environmental Principles, Criteria and Indicators for Papua New Guinea. Version II p. 3

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Part III – Conceptual Framework for a Country Approach to Safeguards In order to comply with the multiple international safeguard requirements under the UNFCCC and the FCPF, a successful approach countries are adopting is a country approach to safeguards (CAS). To date, several countries have initiated processes to design country approaches to safeguards, following conceptual frameworks and developing roadmaps designed to meet UNFCCC and other relevant requirements.33 ‘Country approaches to safeguards’ is a general term used to mean those elements and processes undertaken, by countries to meet safeguard requirements for REDD+ under the UNFCCC, and other relevant initiatives and institutions. Country approaches are characterized by the identification, application and improvement of relevant existing governance arrangements (including the legal framework; the institutional framework; and the compliance framework) applicable to REDD+ to meet the different safeguards requirements a country may choose to adopt. They also aim to be flexible and capable of accommodating innovation and the development of new governance arrangements if necessary, or if so desired by the country. This section presents a comprehensive and conceptual framework for the development of a country approach to safeguards, based on international best practices and experiences.34 Please note that Part IV will outline how this conceptual approach could be adapted and used in the context and advances made in PNG.

Existing governance arrangements for safeguards The design of a country approach to safeguards is based on the premise that it should be built upon existing and relevant governance arrangements in the country. It is now generally considered by most countries that identifying, assessing, and strengthening existing governance arrangements for safeguards (e.g. PLRs, institutional frameworks, information systems, etc.) provide a fundamental framework though which they can address and respect the Cancun safeguards throughout the implementation of their REDD+ actions. Several countries have embarked on the identification and assessment of their safeguards-relevant governance arrangements. The understanding and scope of the term ‘governance arrangements’ differs from country to country, but the key elements they are considering include:

policies, laws and regulations

institutional arrangements

information systems and sources

grievance redress mechanisms

non-compliance/enforcement mechanisms The above can be broadly categorised into three frameworks: legal framework, institutional framework and compliance framework. Figure 1: Relevant governance arrangements for a country approach to safeguards

33 Rey D., Shah, W.P. & Swan S.R. 2015. Country Approaches to REDD+ Safeguards: A Global Review of Initial Experiences and Emerging Lessons. United Nations Collaborative Programme on Reducing Emissions from Deforestation and Forest Degradation in Developing Countries (UN-REDD), Geneva 34 UN REDD (2015) Framework for supporting the development of country approaches to safeguards Rey, D. & Swan, S.R. (2014) A Country-led Safeguards Approach: Guidelines for National REDD+ Programmes. SNV – The Netherlands Development Organisation, REDD+ Programme, Ho Chi Minh City.

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Role of each framework in a country approach to safeguards The legal framework.35 Given that the legal framework of the country generally protects and regulates

many of the objectives enshrined in the Cancun Safeguards, the legal framework is crucial to define which

set of safeguards will be adopted by the country (the Cancun Safeguards and any additional safeguards

adopted or defined), their scope, and how these will be implemented during the implementation of the

proposed REDD+ actions.

The institutional framework.36 Given that the country already has the institutional framework responsible

for applying the legal framework relevant to safeguards, these institutions would be responsible for

ensuring the implementation of the safeguards in the context of REDD+ activities.

The compliance framework.37 This framework is made up of and informed by the relevant legal and

institutional framework. It serves to ensure compliance with the safeguards (the Cancun Safeguards or any

others adopted or defined by the country). The compliance framework is made up of three sub-elements:

Grievance redress mechanisms: These mechanisms will help to address conflicts or disputes

among individuals or groups whose rights (protected by the safeguards) may be affected by the

implementation of REDD+ activities.

Information, monitoring, and/or reporting systems: These systems will serve to provide

information on how the safeguards are addressed and respected during the implementation of

REDD+ activities.

Enforcement mechanisms/non-compliance mechanisms: These mechanisms will serve to

address/deal with any failure to respect the rights and obligations embedded in the safeguards

during the implementation of REDD+ activities.

Each country can determine which elements it will consider and utilize in their country approach to safeguards.

35 made up principally of national policies, laws, and regulations, as well as the plans and programs for these laws and policies, and applicable

rules. This framework includes relevant international agreements and treaties applicable in the country. 36 made up of the institutions in charge of implementing the legal framework. 37 made up of three sub-elements needed to ensure and demonstrate the effective enforcement of the legal framework: i) information systems, including monitoring and reporting systems or mechanisms; ii) grievance redress mechanisms, and; iii) mechanisms to address non-compliance.

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The role of the Safeguard Information System and links with the Country Approach to Safeguards It is important to note that the safeguard information system (SIS) is an international reporting requirement to the UNFCCC on how the Cancun Safeguards are being addressed, and will not necessarily guarantee the REDD+ activities are implemented in consistency with the Cancun safeguards (first requirement of the UNFCCC). In order to ensure this, it is necessary for a country to have a system or support structure that takes into account the existing governance system of the country, particularly the legal, institutional and compliance frameworks, which combined and linked will be used to ensure the implementation of safeguards. This system or structure is part of the Country Approach to Safeguards (CAS). The CAS supports the implementation and compliance with safeguards while the SIS allows countries to report to the UNFCCC on how safeguards are being addressed and respected. The effectiveness of the SIS in each country will therefore depend on the CAS. Indeed, there is a risk that countries will not be able to effectively provide information on how they are addressing and respecting the safeguards, if they do not have a CAS that underpins effective implementation.

General 'steps' for the design of a country approach to safeguards and a SIS It should be noted that country approaches to safeguards are non-linear and highly iterative processes. The order in which countries have conducted, or plan to conduct, different “steps” in their country approaches varies greatly. There is therefore no single fixed and linear approach to building a country approach to safeguards, given

that each approach will depend on the national context and circumstances. Yet, a series of emerging generic areas of work presented below are commonly undertaken by most countries.38 It is important to note these areas of work do not necessarily need to be performed sequentially. They have been ordered in this manner to illustrate the conceptual progression of a country approach to safeguards. The diagram below provides an overview of the generic components or ‘steps’ that constitute a country approach to safeguards. Part IV of this report will outline how these could be adapted and used in the context and advances made by PNG.

38 The steps to design a CAS presented in this section are adapted from the comprehensive guidelines produced by Rey, D. & Swan, S. (2014) A Country-Led Safeguards Approach: Guidelines for National REDD+ Programmes. SNV - Dutch Organization for Development, Ho Chi Minh City, Vietnam. The section also draws on guidance on country approaches to safeguards proposed by UN-REDD, REDD+ SES, and FCPF. Lastly, this section also draws on Rey D., Shah, W.P. & Swan S.R. 2015. Country Approaches to REDD+ Safeguards: A Global Review of Initial Experiences and Emerging Lessons. United Nations Collaborative Programme on Reducing Emissions from Deforestation and Forest Degradation in Developing Countries (UN-REDD), Geneva

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Diagram: The components/steps of a country approach to safeguards

Step 1: Engaging stakeholders in country

approaches to safeguards

Step 2: Setting safeguards goals and

scope

Step 3: Clarifying the Cancun safeguards in

accordance with national circumstances

Step 4: Identifying, assessing and

strengthening existing governance

arrangements

Step 5: Developing the safeguard information

system

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Part IV- Recommendations for adapting the conceptual framework for a country approach to safeguards in PNG The following section provides specific recommendations as to how PNG could consider adapting the conceptual framework for country approach to safeguards in order to meet it objectives (e.g. UNFCCC and FCPF safeguard related requirements). There are categorised around the generics 'steps' outlined in the previous section, which are:

1. Engaging stakeholders in country approaches to safeguards; 2. Setting safeguard goals and scope; 3. Clarifying the Cancun safeguards in accordance with national circumstances; 4. Identifying, assessing and strengthening existing governance arrangements; and 5. Developing the safeguard information system.

We note the importance of ensuring coordination between different safeguard-related processes and activities in PNG, including those supported by the FCPF as many of these can mutually strengthen the other, or can conversely result in a duplication of efforts. This goes beyond those directly labelled as safeguard activities. For instance, the stakeholder engagement activities, the establishment of a National REDD+ Steering Committee and the development of specific REDD+ actions, will all influence the development of the country approach to safeguards. Therefore, this section also aims to highlight the opportunities to explore coordination and maximise efforts.

1) Engaging stakeholders in country approaches to safeguards The objective of this 'step' is for countries to consider the means through which they will ensure the inclusiveness and effectiveness of the safeguards process. Therefore, this step includes two main elements: how to ensure the inclusion and participation of all relevant stakeholders; and how to ensure that the required institutional arrangements, technical capacities, and political support to realize the proposed country approach to safeguards are in place. Although this can vary depending on the country context and circumstances, this 'step' generally involves:

a) Identifying, establishing new, or strengthening existing platforms and actions to enable the effective inclusion and participation of key stakeholders in the design and implementation of the country approach to safeguards; and

b) Defining arrangements to generate the technical and political support from the relevant government institutions that are needed for the country approach to safeguards.

Based on best practices and available guidance, it is recommended that countries should build on existing structures or platforms, in particular those that have political support, strong mandates and links with the different agencies relevant to safeguards. Countries should also consider whether it is possible to establish a small technical committee for decision-making in addition to a larger, more representative body that includes relevant stakeholders from civil society and that will serve to provide inputs to plans proposed by the technical committee.

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Viet Nam’s experiences with a multi-stakeholder coordinating body39 The National REDD+ Network was established by the Ministry of Agriculture and Rural Development in 2009. Following this, recognising the need for thematic technical working groups, six Sub-Technical Working Groups were established under the National REDD+ Network, including one dedicated to Safeguards. The Sub-Technical Working Group On Safeguards (STWG-SG) was established as a multi-stakeholder platform to contribute coordinated technical assistance to government-led efforts to address and respect the Cancun safeguards and other relevant international and national policy commitments. In doing so, the STWG-SG’s ultimate goal is to contribute to promoting social and environmental co-benefits from REDD+ at national, subnational and local levels. The STWG-SG is chaired by Government (Vietnam Administration of Forestry) and co-chaired by a civil society representative. The STWG-SG has commissioned and coordinated assessments of Viet Nam’s existing national PLRs to produce a ‘roadmap’ for safeguards, under the National REDD+ Action Programme. The STWG-SG is now preparing to coordinate stakeholder inputs to an assessment of institutional capacities to implement the relevant existing PLRs identified in the roadmap, as well as a consultative SIS design process, building on existing systems and sources of information. The STWG-SG therefore serves two distinct but complementary roles. Firstly, it serves as a technical body, coordinating the preparation of technical studies and developing strategies and plans (as well as coordinating their implementation). Secondly, it serves as a platform for ensuring public participation in Viet Nam’s country safeguard approach, which includes gathering feedback and facilitating consultations. To date, the STWG-SG, together with five other thematic REDD+ working groups (and the parallel Forest Law Enforcement Governance and Trade Voluntary Partnership Agreement (FLEGT VPA) negotiation process) have facilitated unprecedented levels of stakeholder engagement in forestry policy dialogues. The extent to which these technical-level dialogues have influenced decision makers and policy reform processes in Viet Nam is yet to become clear; so far many recommendations and suggestions have been incorporated into various terms of references, draft decision and papers, and these will be approved soon.

Progress made by PNG relevant to this area of work and suggested next steps Given that PNG has already established a Technical Working Group on Social and Environmental Safeguards (TWG-SES), it is advised that this TWG-SES continue to serve as the primary platform for engaging stakeholders in the country approach to safeguards. However, additional steps may be taken to ensure that this platform can serve to facilitate dialogue with relevant government agencies and also link with broader platforms for public participation on the issue of safeguards.

Recommendations

Step 1: Involve relevant stakeholders


Achieved/Pending

1.1 Define key actors for the development and implementation of the country approach to safeguards building on the existing TWG-SES

Relevant actors that need to be included in the development and implementation of the country approach to safeguards are clearly identified.

March 2016 Achieved

39 This example is drawn from Rey, D., Lopez. A., Rivera, L., and Ribet, U. (2014). National Approaches to REDD+ Safeguards: Early Experiences and Lessons Learned San Salvador, El Salvador: GIZ

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Revision of TWG-SES membership has been undertaken.

1.2 Build or identify a multi-actor platform (based on existing participatory platforms) that can be used to guarantee and promote a participation and communication process during the design and implementation of the CAS and SIS

The TWG-SES is confirmed as the

appropriate multi-stakeholder

platform.

The TOR for TWG-SES has been

reviewed and strengthened to

ensure greater awareness, buy-in

and participation from all relevant

actors, including key line agencies

within government.

July 2016 Achieved

1.3 Build capacities of members of both platforms on REDD+ safeguards and the country approach to safeguards

Members of both the technical and participatory platform (and therefore all relevant stakeholders) have a good and common understanding of REDD+, REDD + safeguards and design of the country approach to safeguards, enabling them to participate fully and effectively. A dedicated safeguards capacity building tool-kit has been prepared. However, capacity building activities need to be carried out.

2016-2017 onwards (capacity building activities throughout)

Pending

2) Setting safeguard goals and scope These two interrelated components are emerging as fundamental to framing country approaches to safeguards:

1. Setting goals - determining which safeguards a country seeks to apply for REDD+ - Cancun safeguards by default, and any other additional safeguards requirements chosen by the country; and

2. Setting scope - determining what interventions - REDD+ actions, again by default, and other actions in forestry and land-use sectors – that the chosen safeguards will be applied to.

In setting their safeguards goals, perhaps the most important consideration to keep in mind is that the Cancun safeguards constitute the default, not minimum, safeguards to be applied. The Cancun safeguards were negotiated under the UNFCCC to ensure all countries looking to implement REDD+ apply this essential set of safeguards to their REDD+ actions, and in this case PNG may choose to include additional safeguards in accordance with their national and international policy and funding commitments.

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In terms of defining the scope of the safeguard application, a clear idea of what REDD+ actions (policies and measures) PNG might implement is vital. The scope of safeguard application refers to what interventions the safeguards will be applied to and is linked to the strategic approach to REDD+ the country intends to adopt and implement. The default UNFCCC requirement is to apply the Cancun safeguards to all REDD+ actions to be implemented under the NS/APs.

Mexico’s experience setting safeguards goals and scope40 In terms of safeguards goals, Mexico has given express recognition to the Cancun safeguards in the draft National REDD+ Strategy (ENAREDD+), which is currently undergoing a process of public consultation. The scope of the Cancun safeguards in Mexico is very much linked to the country’s approach to REDD+, which is to be incorporated into a low-carbon rural sustainable development approach. The ENAREDD+ promotes a territorial and multi-sectorial approach, in order to reduce the pressures that lead to deforestation and forest degradation. In addition, in 2012, Mexico reformed its Law on Sustainable Forest Development (LGDFS) article 134 bis, legally recognizing the Cancun safeguards as the set of safeguards to be consistent with, and further establishing a set of safeguards to be applied to policies and measures related to environmental services regulated by this law

Progress made by PNG relevant to this area of work and suggested next steps Although it appears that the objectives of PNG’s country approach to safeguards is to ensure consistency with the Cancun safeguards, as well as the FCPF safeguard requirements,41 this is not explicitly clarified in any official policy document.42 An additional suggested next step is to clarify the scope and objectives of PNG’s safeguards, in a safeguards section of PNG’s National REDD+ Strategy and relevant documents (e.g. issues and option paper under development).

Recommendations

Step 2: Determine the objectives and scope of the safeguards


Achieved/Pending

2.1 Determine the safeguard goals the country seeks to achieve (i.e. Cancun safeguards and any other additional safeguards), through a participatory process, discussed with all relevant stakeholders.

A clear identification of what are the safeguard goals the country seeks to implement/fulfil. This could be embedded in the National REDD+ Strategy or a stand-alone technical-policy document.

May 2017 Pending


41 UN REDD and OCCD (2014) Policy-to-Practice Roadmap for the Development and Implementation of National REDD+ Social and Environmental Safeguards in Papua New Guinea. Draft 42 We note that both the National Climate Compatible Development and Management Policy (endorsed) and subsequent National Climate Bill presented to Parliament make references to issues relating to safeguards but not specifically stated as meeting the Cancun Safeguard.

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2.2 Specify the REDD+ actions that are to be implemented as part of PNG's REDD+ strategy or action plan. A clear and precise identification and characterization of the proposed REDD+ actions is required to understand what the safeguards should be applied to.

A draft/adopted REDD+ strategy/action plan that defines what are the proposed REDD+ activities and associated REDD + actions.

May 2017 Pending

2.3 Determine the scope of the safeguards application. Ascertaining the scope of safeguard application is important in managing stakeholder perceptions and expectations. To provide clarity to all relevant stakeholders, it is recommended that PNG clearly outline the scope of REDD+ safeguards application within their NS/APs.

Draft/adopted REDD+ strategy/action plan ascertains what actions (REDD+ and any additional ones) will be carried out in consistency with the safeguards adopted by the country.

May 2017 Pending

3) Clarifying the Cancun safeguards in accordance with national circumstances

Parties to the UNFCCC agreed to a set of seven broad principles that are expected to be applied in accordance with national circumstances. As such countries can be expected to ‘clarify’43 what the Cancun safeguards mean in their country context. Clarifying the Cancun safeguards in accordance with national circumstances requires reaching a shared in-country understanding, among different stakeholder constituencies, of the rights and obligations that are embodied in the Cancun safeguards, and how these are reflected in the specific country context. Two critical factors contributing to a country’s particular national circumstances and context are:

a) The identification of the drivers of deforestation and forest degradation, in addition to any barriers to ‘plus activities’ of REDD+ in order to enable the design of REDD+ actions or policies and measures, comprising the evolving NS/AP. The clarification of the Cancun (or any other international) safeguards should, therefore, be linked to the choice of these REDD+ actions to tackle drivers and barriers.

b) Examining and utilizing existing policies, laws and regulations (PLRs) Finally, it is important to note that clarifying the Cancun safeguards can also be central to the design of safeguard information systems, and subsequent preparation of the summary of information. The country clarification, in tandem with the links to the REDD+ actions, will determine the content that should be provided under each safeguard in their SIS and through summaries of information.

43 Synonymous terms used in the literature and by practitioners include: ‘contextualizing’, ‘elaborating’, ‘interpreting’,’ specifying’ and ‘unpacking’ the Cancun safeguards.

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Progress made by PNG relevant to this area of work and suggested next steps As explained in Part II of this document, a set of standards and a principle, criteria and indicators (PCI) framework was developed in 2014. However, the purpose and scope of the PCIs was not clearly formulated, and it was not made clear whether the PCI framework was intended to serve as a national clarification of the Cancun safeguards, or as a means to structure the information in a SIS, or both. In addition, and most importantly the PCI framework was not linked to proposed REDD+ actions and the emerging NS/APs, nor to the existing and relevant PLRs.

Recommendations

Step 3: Clarify the Cancun safeguards in accordance to national context and circumstances


Achieved/Pending

3.1 Agree on a robust methodological approach for clarifying the Cancun safeguards.

A clear methodological approach to undertake the participatory process of clarifying the Cancun safeguards to the country context. A clear and robust methodological approach has been adopted.

March 2016 Achieved

3.2 Clarify the Cancun Safeguards to the country context and circumstances

Technical or policy document validated by all relevant stakeholders that sets out the country specific safeguards (i.e. clarification of the Cancun safeguards and other relevant safeguards). A draft clarification has been prepared, but needs to be validated by all relevant stakeholders.

March 2017 Achieved/Pending

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4) Identification and analysis of governance frameworks relevant to REDD+ safeguards

It is now generally considered by most countries that identifying, assessing, and strengthening existing governance arrangements for safeguards (e.g. PLRs, institutional frameworks, information systems, etc.) provide a fundamental framework through which they can address and respect the Cancun safeguards throughout the implementation of their REDD+ actions. Several countries have embarked on the identification and assessment of their safeguards-relevant governance arrangements. The understanding and scope of the term ‘governance arrangements’ differs from country to country, but the key elements countries are considering include:

policies, laws and regulations

institutional arrangements

information systems and sources

grievance redress mechanisms

enforcement mechanisms This step includes identifying gaps or weaknesses that could hinder the implementation of REDD+ safeguards, and provides the basis for these weaknesses to be addressed through legal or policy reform measures and institutional strengthening.

Mexico’s experience with identifying and assessing existing governance arrangements for

safeguards44

Mexico’s draft National REDD+ Strategy outlines the development of its country approach to safeguards (which it refers to as “National Safeguard System” or “NSS”) and a Safeguards Information System (SIS). Mexico envisions developing its SIS by building upon existing reporting mechanisms and information systems at the national level, which will allow submitting information in an integrated manner. Also it has been recognized that having an information system will not necessarily guarantee compliance with the REDD+ Safeguards, and it might be necessary to have a system or support structure considering the existing governance of the country.

To design the NSS it was important to carry out the identification and analysis of the legal, institutional and compliance frameworks in order to identify which aspects of these frameworks are relevant to REDD+ safeguards, i.e. what specific aspects exist in the legislation, procedures and institutions to ensure compliance with the safeguards and facilitate their reporting. The analysis of the legal framework for REDD + safeguards was conducted in 2013. In 2014, Mexico started analysis of existing information systems, which might contribute to design of a SIS, with initial focus on the reporting mechanism provided for in the existing Planning Act (which aims to systematize information reported at the federal level).

Mexico is now developing an inventory of existing information systems and mechanisms for monitoring and reporting, derived from and linked to, the national and international legal framework to see if these are relevant for the SIS. The results of analysis of the relevant legal framework were used as a key input to determine which systems and mechanisms would be explored. The interpretation of safeguards is the next key step that Mexico plans to undertake; this will be used to further define what information would be needed to be included in the SIS.


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Progress made by PNG relevant to this area of work and suggested next steps Although PNG has already undertaken a legal gap analysis, for the reasons given in the analysis above, it has agreed to strengthen version 1.0 and a revised legal gap analysis will be carried out in early 2016.

Recommendations

Step 4: Identify, evaluate and strengthen the existing governance arrangements (components/elements of the CAS: the legal, institutional and compliance framework)


Achieved/Pending

4.1 Assess legal framework relevant to REDD+ safeguards (in paper and in practice)

Technical document which identifies relevant aspects (i.e. which PLRs) of the legal framework which can/are to be used to address and respect (i.e. operationalize) the country specific safeguards when undertaking the proposed REDD+ actions, as well as gaps and weaknesses that need to be addressed and how. The legal gap analysis has been carried out. The document must be validated with relevant stakeholders.

May 2016 Achieved

4.2 Assess the institutional framework relevant to REDD+ safeguards

A technical document which identifies relevant aspects of the institutional framework, which can/are to be used to oversee the country specific safeguards are addressed and respected, as well as gaps and weaknesses that need to be addressed and how.

August 2017 Pending

4.3 Assess the compliance framework relevant to REDD+ safeguards The compliance framework of a country includes: a. grievance redress mechanisms that can be used to address any grievances that should arise in relation to the country specific safeguards; b. information, monitoring and reporting mechanisms, that can be used to

Technical document that clearly identifies the relevant aspects of the compliance framework that can be used to guarantee the country specific safeguards are adhered to when implementing REDD+ actions, as well as gaps and weaknesses that need to be addressed and how. This has be done in a preliminary manner concerning the information systems and sources. However, this document must be validated with all relevant stakeholders and requires further inputs (linked to adoption of information needs).

-Information systems by July 2016 -GRMs by August 2017 -Enforcement mechanisms by August 2017

Achieved/pending

Pending Pending

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collect and provide information on how the country specific safeguards are being addressed and respected; and c. enforcement mechanisms, which can be used to address the lack of, or insufficient, application of the country specific safeguards.

4.4 Articulate the governance arrangements part of the country approach to safeguards Drawing from the results of the previous analysis, this step aims to articulate how the relevant and existing governance arrangement are to be used to address and respect the safeguards. We recommend that PNG aims to have a clear idea of the proposed REDD+ actions and an assessment of their potential risks and benefits, before undertaking this step.

Policy document validated by all relevant stakeholders, which clarifies:

which aspects of the legal framework (e.g. PLRs) are to be used to address and respect (i.e. operationalize) the country specific safeguards when undertaking the proposed REDD+ actions;

which aspects of the institutional framework are to be used to oversee the country specific safeguards are addressed and respected when undertaking the proposed REDD+ actions

which and how existing information systems will be used to collect and provide information on how the country specific safeguards are being addressed and respected;

If applicable, how existing GRMs or dispute resolution mechanisms are to be used to address any grievances that should arise in relation to the country specific safeguards

If applicable, how existing enforcement mechanisms are to be used to address the lack of, or insufficient, application of the country specific safeguards;

November 2017 Pending

4.5 Address gaps and weaknesses in identified governance arrangements

Strengthening the mandate, procedures and the capacities of relevant institutions, and/or PLRs reforms

Throughout-by November 2017

Pending

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5) Developing the safeguard information system The SIS is generally understood to be a domestic institutional arrangement and technological solution, building on existing national information systems and sources, which would be designed and developed according to each country’s national circumstances. The SIS is intended to serve as a means for each country to domestically gather, compile and provide information as to how the Cancun (or country specific) safeguards are being addressed and respected throughout the implementation of REDD+ actions. Overall, there are five main aspects of SIS design:

1) setting objectives of the SIS; 2) determining safeguard information needs; 3) determining safeguard information structure; 4) establishing the necessary functions of the SIS; and 5) exploring the institutional arrangements for the SIS.

It is important to note that at the moment many countries, (including PNG) are still in the early stages of designing their national REDD+ strategies (through which REDD+ actions should be defined), which means that there is currently a lack of clarity regarding the specific REDD+ actions due to be implemented. Therefore, the design and construction of the SIS is likely to be an iterative process that evolves as greater clarity is reached regarding the specific REDD+ actions planned in each country.

Progress made by PNG relevant to this area of work and suggested next steps Although PNG has developed a series of Principles, Criteria and Indicators (PCIs) that were originally intended to feed into the SIS,45 as noted above, these PCIs are somewhat generic in nature, were developed independently from the actual proposed REDD+ actions, and are not linked to the governance system (e.g. PLRs and existing information systems). It is important to highlight that in 2016, PNG plans to define the SIS information needs, assess existing information systems and sources, and craft ToRs for establishing its SIS.

Recommendations

Step 5: Develop a safeguard information system (This section does not include a possible results column given that the ultimate result of this phase is the design of the SIS. The FCPF is not included in this table either as very little information exists on how to design an “Information System for Multiple Benefits, Other Impacts, Governance, and Safeguards”46 linked to the SIS ,and very little progress has been made in countries on this specific issue.)

Recommendations Suggested Timeframes Achieved/Pending

4.1 Define the objectives of the SIS It is recommended PNG consider and determine what objectives the SIS should be expected to

November 2016 Achieved/Pending

45 UN REDD and OCCD (2014) Draft REDD+ Social and Environmental Principles, Criteria and Indicators for Papua New Guinea. Version II 46 FCPF (2010) R-PP Template for country use version 6 component 4b

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fulfil (e.g. national objectives, in addition to UNFCCC requirements). This has be done in a preliminary manner when crafting the SIS ToR. However, this document must be validated with all relevant stakeholders.

4.2. Determine the safeguard information needs A key SIS design consideration countries have identified is determining 'what type' of information is needed to demonstrate whether the Cancun safeguards are being addressed and respected. This is usually referred to as the process of determining the 'information needs'. PNG plans to determine information needs in early 2016. We recommend this process is undertaken in a participatory and consultative manner to ensure the expectations of the relevant stakeholders are duly considered. A draft document has been prepared. However, this document must be validated with all relevant stakeholders and additional inputs are required.


4.3. Determine the functions of the SIS It is recommended that PNG determine what are the key functions their SIS is expected to fulfil. This has be done in a preliminary manner when crafting the SIS ToR. However, this document must be validated with all relevant stakeholders and additional inputs are required.


4.4. Determine the Institutional arrangements for the SIS The final SIS design element countries are considering is defining institutional arrangements for the SIS and articulating how existing information systems and sources are to be used to provide information about how the safeguards are being addressed and respected. This has be done in a preliminary manner when crafting the SIS ToR. However, this document must be validated with all relevant stakeholders and additional inputs are required.


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Annex: Overview of a SESA ESMF process47

47 Taken from Hooda, N., and Soikan, N., (2013) FCPF SESA and ESMF for Readiness (presentation)