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WORLD RESOURCES INSTITUTE 10 G Street, NE Washington, DC 20002 Tel 1 202-729-7600 Fax 1 202-729-7610 www.wri.org Getting Ready with Forest Governance A Review of the World Bank Forest Carbon Partnership Facility Readiness Preparation Proposals and the UN-REDD National Programme Documents Lauren Goers Williams, Crystal Davis, Sarah Lupberger, and Florence Daviet World Resources Institute Working Papers contain preliminary research, analysis, findings, and recommendations. They are circulated to stimulate timely discussion and critical feedback and to influence ongoing debate on emerging issues. Most working papers are eventually published in another and their content may be revised. Suggested Citation Williams et al. 2011. Getting Ready with Forest Governance A Review of the World Bank Forest Carbon Partnership Facility Readiness Preparation Proposals and the UN-REDD National Programme Documents, v 1.7. WRI Working Paper. World Resources Institute, Washington DC. Online at http//www.wri.org/publication/getti ng-ready June 2011, Version 1.7 INTRODUCTION The World Bank Forest Carbon Partnership Facility FCPF and the UN Collaborative Programme on Reducing Emissions from Deforestation and Forest Degradation in Developing Countries UN-REDD Programme are two leading multilateral efforts currently supporting developing countries to become “ready” to reduce emissions from deforestation and forest degradation and enhance carbon stocks REDD. This working paper is the seventh in a series of regular updates reviewing the Readiness Preparation Proposals R-PPs ted by REDD Country Participants to the FCPF and the National Programme Documents NPDs ted by UN-REDD Programme countries. We conduct a desktop analysis of these documents in order to understand how countries are considering fundamental issues of forest governance as they prepare national strategies for achieving readiness. We assess whether the documents identify major governance challenges contributing to forest loss, and whether principles of transparency, accountability, and participation are being applied in the development of the proposed readiness and REDD systems and activities. The 9th meeting of the FCPF Participants Committee will be held in Oslo, Norway from 20-22 June. This paper uates R-PPs from Liberia and Uganda that were ted for al consideration by the FCPF Participants Committee. Draft R-PPs from Colombia and Nicaragua were ted for inal PC review, but are not analyzed in this paper. Analyses of previously ted R-PPs and NPDs can be accessed online at http//www.wri.org/publication/getting-ready. OBJECTIVE FOR REVIEWING R-PPs AND NPDs The R-PPs and NPDs are only a first step toward becoming ready for REDD; however, these documents are more likely to help countries to become ready if they provide a robust foundation for a comprehensive and systematic approach to tackling critical governance challenges as readiness activities proceed. Therefore, our analysis documents the extent to which governance issues are addressed within each R-PP or NPD, identifies existing gaps, and makes recommendations for how the R-PPs’ analysis of governance issues could be strengthened. This analysis is not intended to take the place of assessments of R-PPs and NPDs undertaken by local civil society organizations and other actors with in-depth knowledge of each country. Rather, it aims to assessin general terms the extent to which R-PPs and NPDs consider key aspects of governance as measured against a consistent set of criteria. We do this to identify where specific governance considerations are not being raised and discern broader trends across countries and over time. Our analysis is based solely on the ination presented in the R-PPs and NPDs and does not purport to assess the accuracy or credibility of this ination. THE IMPORTANCE OF FOREST GOVERNANCE TO THE REDD READINESS PROCESS Strengthening forest governance will be an essential component of the activities implemented by countries seeking to achieve significant and lasting emission reductions through REDD. Poor forest governance is frequently characterized by weak capacity to effectively manage natural resources, lack of Getting Ready WORLD RESOURCES INSTITUTE June 2011 2 decision-maker accountability to impacted stakeholders, and lack of access to ination on forest resources and how they are being used. Potential drivers of deforestation and forest degradation such as illegal logging, unplanned forest conversion, and conflicts over access to land and resources are often symptoms of weak forest governance. In order to develop effective national REDD strategies, governments need to better understand these challenges and develop measures to strengthen forest governance in ways that build the trust of domestic and international stakeholders. Furthermore, when building national REDD programs, governments must identify institutions to manage and oversee REDD activities and develop systems for monitoring, ination dissemination, and REDD revenue management. Strengthening the capacity of institutions to design and implement effective, efficient, and equitable systems through transparent and inclusive decision ‐making processes will therefore be an important part of the readiness phase. Promoting robust foundations of good governance for REDD will enhance society’s capacity to manage the drivers of deforestation and help safeguard against adverse social and environmental impacts, while advancing broader sustainable development goals. FOR REVIEWING R-PPs AND NPDs The World Resources Institute’s Governance of Forests Initiative GFI has developed a framework of indicators that uses evidence-based diagnostic questions to assess governance challenges and track changes in forest governance over time. Based on these indicators, we have developed a simplified set of core governance considerations that we regard as vital components of any successful national effort to reduce emissions from deforestation and forest degradation. In particular, we have identified two distinct but related types of governance considerations relevant for REDD Promoting good governance of REDD systems and processes, including Effective stakeholder participation in REDD planning and implementation Government coordination across different sectors and levels of government in REDD planning and implementation Transparent and accountable systems for managing and distributing REDD revenues and benefits Transparent monitoring and effective oversight of REDD activities by a body independent of the implementing agency Addressing aspects of governance that are key to managing the drivers of deforestation and forest degradation, including by Clarifying and securing land and forest tenure Building capacity for effective forest management Strengthening forest law enforcement Addressing other country-specific governance challenges relevant for REDD Although the list above is not exhaustive and may not be equally relevant in all countries, it provides a working framework to highlight key governance issues for REDD. In the tables following this introduction, each R-PP or NPD is analyzed relative to the above list of governance considerations, which in turn include several sub-components. An R-PP or NPD’s treatment of the overarching governance consideration is summarized in a brief narrative, and each sub-component is marked green, yellow, or red. A green mark indicates that the R-PP or NPD has, in our view, discussed the issue in some detail and/or has provided a process for further investigation of the issues. A yellow mark indicates that the document has mentioned the issue but not discussed it in detail and has not provided concrete next steps. Finally, a red mark indicates that the issue has not been identified or discussed in the R-PP or NPD. It is important to note that the scoring system has been created in the context of uating preliminary steps toward readiness preparation i.e., R-PP or NPD development, rather than readiness itself. Therefore, a green mark should not be interpreted as “readiness,” but rather as an indication that, according to the ination provided in the R-PP/NPD, the country has at least begun to consider that governance issue during the early phases of readiness preparation. Additional efforts to address identified issues will be required moving forward. In some countries, in-country experts may assess that even further clarity is needed based on their knowledge of current issues. However, we hope that our tables will help to facilitate this type of in-country assessment of readiness proposals. ABOUT WRI The World Resources Institute WRI is an environmental think tank that goes beyond research to find practical ways to protect the earth and improve people’s lives. Getting Ready WORLD RESOURCES INSTITUTE June 2011 3 ANNEX 1 OVERVIEW OF THE FCPF AND UN-REDD PROGRAMMETHE FCPF READINESS MECHANISM The FCPF became operational in 2008 and provides grants to countries to develop REDD strategies. The FCPF has 37 member countries, and more than US150 million has been committed to the Facility. Experiences from the FCPF are helping to shape international understanding about what it means to be “ready” for REDD. While the FCPF has not finalized a definition of readiness, potential elements of the Readiness- Package as elaborated in the most recent R-PP template draft include i results of studies, consultations and actions implemented to date in the context of the cution of the R- PP; ii actions still being planned a forward-looking part, which specifies what remains to be done to achieve the state of REDD-plus readiness; iii preliminary identification of potential emissions reduction activities, potentially including a proposed set of specific land parcels, land use activities and practices, policies, institutional arrangements, estimates of emissions reductions, and estimated financing and costs; iv a draft Environmental and Social Management Framework that will provide the framework for managing environmental and social risks and to mitigate potential adverse impacts; and a summary of SESA activities and outcomes. iThe Readiness Mechanism contains two phases, through which countries are moving at their own pace i During the Proposal ulation phase, REDD Country Participants develop an R-PP in consultation with relevant domestic stakeholders that outlines a roadmap of preparation activities necessary for REDD. The R-PP is reviewed by an independent Technical Advisory Panel TAP and by the FCPF Participants Committee PC, which is composed evenly of members selected by REDD Country Participants and by Donor Participants. Based on its review of the R-PP, the PC has the authority to allocate a readiness grant of up to US3.6 million. The World Bank must carry out its own due diligence in the country before a grant agreement is signed. ii During the Preparation phase, countries use the readiness grant to carry out the studies and activities described in their R-PPs. Governments will a midterm progress report based on a timeframe and requirements to be stated in the grant agreement. The final outcome of this phase is a “Readiness Package,” which describes the current state of REDD readiness and is subject to review and assessment by the TAP and PC. VERVIEW OF THE UN-REDD PROGRAMME THE UN-REDD PROGRAMME The UN-REDD Programme was launched in 2008 as a collaboration of the United Nations Development Programme UNDP, United Nations Environment Programme UNEP, and the Food and Agriculture Organization FAO. The UN-REDD Programme’s work leverages the in-country experience of these three organizations to provide support and technical assistance to developing countries as they create national REDD strategies. The UN-REDD Programme’s activities also include a Global Programme that focuses on knowledge sharing and development of common approaches and tools for REDD. Approximately 92 million has been committed to the UN-REDD Programme to date, of which nearly 75 million has been allocated to support pilot and partner country National Programmes and the UN- REDD Global Programme. As of February 2011, nearly 50 million has been disbursed for program implementation. The UN-REDD Programme began with 9 original pilot countries and has expanded its membership to include 29 additional partner countries, many of which are also participants in the FCPF. UN-REDD Programme countries NPDs that include an overview of the country’s situation with regard to forest laws and management and identify major outcomes to be achieved using UN-REDD Programme funds. Funds can be requested either for full national programs that span multiple years of implementation, or for initial quick start programs that help countries build initial capacity and make progress toward developing a national REDD strategy, typically over a 12–18 month timeframe. Governments ting NPDs are required to have an ongoing stakeholder consultation process that includes a documented validation meeting before the draft NPD is ted to UN-REDD for review. The UN-REDD Programme’s review process for NPDs is led by the Programme Secretariat, which assesses the ted plans and s approved NPDs to the Programme Policy Board for a final decision and budget allocation. To date, the National Programmes of 12 pilot and partner countries have been approved, with 7 countries currently in the implementation phase. iForest Carbon Partnership Facility. “Readiness Preparation Proposal Draft Template v. 5.” December 22, 2010. Getting Ready WORLD RESOURCES INSTITUTE June 2011 4 ANNEX 2 REVIEW OLOGY GOVERNANCE OF REDD To what extent does the R-PP promote good governance within REDD systems and processes Stakeholder participation in REDD planning and implementation Identifies relevant stakeholders for REDD Specifically considers how to engage local stakeholders Proposes a transparent process for stakeholder participation Proposes a process to ensure accountability for stakeholder Proposes a grievance / dispute resolution mechanism Considers how to learn and build from other relevant participatory processes Government coordination in REDD planning and implementation Considers REDD in the context of other sector policies, land use plans, and national development plans Proposes mechanisms to coordinate REDD across sectors − Proposes mechanisms to coordinate REDD across levels of government Transparent and accountable REDD revenue management benefit sharing Proposes a transparent system to track and coordinate international financing of activities related to REDD Considers measures to promote fiscal transparency and accountability for REDD revenue management Proposes a participato
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