CLIMATE CHANGE AND THE ROLE OF FORESTS 1

GOOD
GOVERNANCE

REDD+ ACADEMY
LEARNING JOURNAL
EDITION 3 - AUGUST 2018
Copyright © United Nations Environment Programme, 2018
ISBN: 978-92-807-3647-2
Job No: DEP/2101/NA

Published in September 2018

Acknowledgements
Thanks are due to the lead and contributing authors for the development of this learning journal.
Lead authors: Bruno Hugel (UNDP/UN-REDD)
Contributing authors and reviewers: Charlotte Hicks (UNEP/WCMC), Pierre-Yves Guedez (UNDP/
UN-REDD), Elina Vaananen (UNEP/WCMC), Marco Chiu (UNDP/UN-REDD), Joel Scriven (UNDP/UN-
REDD), Elizabeth Eggerts (UNDP/UN-REDD)

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ABOUT US
UN-REDD REDD+ACADEMY UNITAR
The UN-REDD Programme is The REDD+ Academy is a coordinated The United Nations Institute for
the United Nations collaborative REDD+ capacity development initiative Training and Research (UNITAR) is a
initiative on Reducing Emissions from led by the UN-REDD Programme and principal training arm of the United
Deforestation and forest Degradation the UNEP Environmental Education Nations, working in every region of
(REDD) in developing countries. The and Training Unit, which seeks to the world. We empower individuals,
Programme was launched in 2008 match the scale of the global climate governments and organizations
and builds on the convening role and change mitigation challenge and through knowledge and learning to
technical expertise of the Food and enable systematic, focused capacity effectively overcome contemporary
Agriculture Organization of the United development to deliver REDD+ on the global challenges.
Nations (FAO), the United Nations ground.
Our training targets two key groups
Development Programme (UNDP)
The REDD+ Academy is a of beneficiaries: the delegates
and the United Nations Environment
comprehensive response to capacity to the United Nations and others
Programme (UNEP).
building needs identified by the who develop intergovernmental
The UN-REDD Programme supports countries receiving support from the agreements establishing global
nationally-led REDD+ processes UN-REDD Programme. The main aim norms, policies, and programmes,
and promotes the informed and of the REDD+ Academy is to empower and the key national change agents
meaningful involvement of all potential “REDD+ champions” with who turn the global agreements into
stakeholders, including Indigenous the requisite knowledge and skills to action at the national level.
Peoples and other forest-dependent promote the implementation of national
communities, in national and REDD+ activities.
international REDD+ implementation.

MONIKA GAIL Dear Learner,

MACDEVETTE
DIRECTOR, A.I. Welcome to the second edition of the REDD+ Academy Learning Journals. The journals provide
ECOSYSTEMS DIVISION, you with state of the art knowledge on REDD+ planning and implementation, developed by some
UN ENVIRONMENT of the world’s leading experts at the UN-REDD Programme.
The journals have been designed to accompany you in your learning journey and equip you with
the necessary knowledge to understand the various components of REDD+, from the basics to
the finer points of setting reference levels, monitoring, allocation of incentives and stakeholder
engagement.
With deforestation and forest degradation being the third largest source of greenhouse
gas emissions globally, action to reduce deforestation and to rebuild forests globally is vital.
By realizing social and economic benefits, REDD+ is also fundamental to delivering on the
Sustainable Development Agenda.
Following the adoption of the Paris Agreement, the focus of many developing countries is now
firmly on REDD+ implementation. I encourage you to take the REDD+ Academy online course,
and apply your knowledge to make REDD+ a national and a global success!
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CONTENTS

Climate Change and the Understanding REDD+ and National Forest Monitoring Forest Reference [Emission]
Role of Forests the UNFCCC Systems for REDD+ Levels for REDD+

Drivers of Deforestation Policies and Measures for REDD+ Safeguards Approaches for the
and Forest Degradation REDD+ Implementation under the UNFCCC Allocation of Incentives

National Strategies or REDD+ Finance Stakeholder Engagement

Action Plans in REDD+ Good Governance

Governance and the UNFCCC

Activities
Governance factors underlying drivers and barriers to “plus” Exercise
activities Link good governance components to REDD+ safeguards

Good governance in REDD+ national strategies and PAMs

Exercise
Strengthening governance to implement NS/AP and PAMs Unscramble the key principles of good governance

Accountability and monitoring for PAMs

Safeguards

Managing REDD+ funds in a transparent, equitable and

accountable manner

Annex 1: Tools and approaches

 LEARNING JOURNAL
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 GOOD GOVERNANCE XII-1

Good Governance
This module presents the importance of good
governance in national REDD+ processes.

The module contains sections about:

• Governance and the UNFCCC’s REDD+ decisions
• Governance factors underlying drivers of deforestation
and forest degradation and barriers to ‘plus’ activities
• Governance as an enabling factor in developing
successful and effective national REDD+ strategies and
policies and measures (PAMs)
• Monitoring and accountability for PAMs
• Strengthening governance to implement NS/APs and
PAMs
• Governance and REDD+ safeguards
• Managing REDD+ funds

What do you already know about this topic?

 LEARNING JOURNAL
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Good Governance
●● Transparency and access to information: sharing
Governance and the UNFCCC useful information proactively (not only on
What is governance? request) and in a way that ensures that it is
usable
Like so many buzzwords, governance has come
to mean different things to different people. The ●● Accountability: accept responsibility and
concept of governance is a dynamic construct in answer for actions
which many people and actors have a say. ●● Respect for rights: human rights are not
Although numerous attempts have been made to violated but instead enhanced (see also Box 5)
define governance it is hard to capture all of its ●● Participation and inclusiveness: the law
dimensions and dynamics in a single and succinct recognises the right of all stakeholders and
definition. However, the term governance rights-holders to take part in decision-making
is generally considered to encompass: the and implementation, and they effectively do so
interaction of laws and other norms, institutions,
and processes in a society; how decisions are ●● Performance and effectiveness: what is
made; as well as how and if responsible actors or planned is actually done, in a timely manner
decision-makers are held to account. ●● Consensus seeking: listening to all relevant
Governance includes how a society: voices and explaining if/when some proposals
cannot be adopted
●● organizes how its members live together;
●● Capacity: that all who participate in a process
●● responds to different interests and opinions, have the knowledge and skills to do so
which are grounded in norms and values; effectively, at the individual, institutional and
●● manages the distribution of resources; organizational levels

These concepts are translated into rules, ●● Anti-corruption: no abuse of vested power
regulations, institutions and conditions. for personal gain, whether these are already
defined by legal frameworks or not
Governance also covers:
●● Gender equality: the equal rights,
REFLECTION ●● who has the power to make decisions that responsibilities and opportunities of women
POINT affect natural resources and natural resource and men and girls and boys (see Box 7)
users and how those decisions are made;
What is the
difference ●● who has the power and responsibility to
between implement those decisions and how those Governance in the UNFCCC and its decisions
governance and decisions are implemented;
government? In 14 decisions taken by the parties to the United
●● who is held accountable, and how, for Nations Framework Convention on Climate
Which good implementation of those decisions. Change (UNFCCC) which relate to REDD+,
governance ‘governance’ is only mentioned in one.2 Decision 1/
principles The Human Rights agenda provides the basis CP.16, also known as ‘The Cancun Agreements’:
resonate the for the UN governance principles. The United
most with you? Nations has worked on a definition of democratic
governance for the 2030 Agenda1. However, “… Requests developing country Parties… to
there is no universal definition that is applicable address, inter alia, the drivers of deforestation
to all people, societies and cultures equally, so a and forest degradation, land tenure
common understanding and the prioritization of issues, forest governance issues, gender
domestic action are more important. Therefore, considerations… ensuring the full and effective
good governance is often simpler to understand participation of relevant stakeholders, inter
through its key principles, which include: alia indigenous peoples and local communities
…”
●● Rule of law: equal treatment (both protections
and punishment) for everyone, all the time
2 All of the UNFCCC decisions relevant to REDD+ are available in
1 The 2030 Agenda for Sustainable Development refers to the the Decision booklet REDD+ (UNFCCC, 2014).
process led by the United Nations that defined the Sustaina-
ble Development Goals.
 GOOD GOVERNANCE 3

It also includes among the seven ‘Cancun be adhered to throughout the different steps
safeguards’ to be promoted and supported of REDD+ implementation. They can create an
during REDD+ activities: enabling environment for ‘governing’ the REDD+
process successfully, helping ensure inclusive and
“Transparent and effective national forest meaningful participation during decision-making,
governance structures, taking into account and promoting equity, fairness, transparency and
national legislation and sovereignty”. justice during all phases of REDD+.

Figure 2 Stages of the REDD+ process where good

In fact, elements of good governance are governance is crucial
detailed in each of the first four safeguards:
●● Consistency with national forest programmes
and international conventions;
●● Transparency and effectiveness,
●● Respect for knowledge and rights of
indigenous peoples and local communities;
●● Full and effective participation.
The principles of good governance are
moreover necessary to address and respect the
remaining three safeguards:
●● Prevent conversion of natural forests,
conserve biodiversity, and ensure social and
Source: UN-REDD Programme
environmental benefits;
●● Actions to address the risk of reversals; Figure 2 shows the stages of the national REDD+
●● Actions to reduce displacement of emissions. process where governance is particularly important.
i. Understanding the direct and indirect drivers
Box 1 Forest governance of deforestation and forest degradation, or the
barriers to effective conservation, sustainable
While there is no official definition, forest
governance includes all the standards, management of forests and enhancement of
processes, institutions, and people that control forest carbon stocks;
how humans interact with forests, including the ii. Developing successful and effective national
law and the institutions that create or implement
strategies or action plans (NS/APs) and
the law (or other norms).
policies and measures (PAMs);
iii. Implementing and monitoring strategies and
Good governance and REDD+ PAMs;
Good governance principles can be applied at iv. Ensuring that safeguards are addressed and
multiple levels (global/international, national, sub- respected;
national/state/province, local) and should ideally
v. Managing REDD+ funds in a transparent and
accountable manner, to avoid risks such as
undue influence, fraud or embezzlement.

REFLECTION POINT
For which of the aspects of REDD+ that you have studied does good governance seem essential? Why?
What measures can be taken to ensure meaningful participation of stakeholders in REDD+ processes?
What would be key to ensure policy coherence and harmonization of sectoral laws, and avoid conflicting poli-cies and laws across ministries or sectors?
How can REDD+ be institutionalized in a sustainable manner, so that it is not vulnerable to political change or individual turnover?
 LEARNING JOURNAL
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Box 3 Cross-cutting governance issues

A number of governance issues cut across several trainings; fully integrating gender equality and
steps of a REDD+ process. women’s empowerment considerations in the
development and implementation of a REDD+
strategy; and developing and undertaking gender
Participatory governance sensitive monitoring and reporting activities (e.g.
use of gender indicators and sex-disaggregated
Just as important as governance analyses is the data). Such activities can be achieved through
need to consult, engage and collaborate with mobilizing gender expertise throughout the REDD+
relevant stakeholders at various stages. Public process, including in planning, implementation and
participation, supported by transparency and monitoring and reporting.
access to justice, is one of the most recognized
principles of sustainable development. Since
the United Nations Conference on Environment
Access to information
and Development in 1992, international legal
instruments dealing with the environment and Effective participation by civil society and
socio-economic development, have called for indigenous stakeholders, as well as effective
active ‘participation’ by affected groups and civil cross-sectoral coordination is underpinned by
society as not only desirable but necessary if access to and exchange of information. This
sustainable development objectives are to be met. pertains to all aspects of the development, design,
implementation and monitoring of a national
Stakeholders can be grouped into government/
REDD+ strategy.
public sector, civil society, private sector,
the general public and consumers, and the
international community such as international
financial institutions. They can also be rights- Legal frameworks
holders such as property owners, women, Effective legal and regulatory frameworks
indigenous peoples, communities or individuals are key to the successful implementation of
that hold traditional or formally recognized REDD+. Legal and regulatory provisions that
usufruct (and/or other) rights to land or resources are supportive of REDD+ objectives can help
that will be affected by the decisions being made. ensure that REDD+ requirements are addressed
As REDD+ decisions place specific emphasis on in a coherent way and in line with international
the full and effective participation of indigenous provisions. For example, the implementation of
peoples and local communities, this should be a legislation that clarifies tenure and access rights
priority issue for participatory governance. A more to natural resources may help reduce pressure on
in-depth discussion on stakeholder engagement forest resources and reduce dispute risks during
can be found in the module on Stakeholder REDD+ implementation. In addition, strengthened
Engagement in REDD+. participatory law development processes and
recognition of procedural rights (e.g. access to
information, participation in decision making,
Gender equality access to justice) imply the involvement of relevant
REDD+ stakeholders at national level – as do
Actions can be taken at various steps to promote
elaborating publications and strategies to build
gender-responsive REDD+ processes in the context
awareness of laws and regulations currently in
of good governance approaches. These actions can
force. Both in preparing for and implementing
involve undertaking a gender analysis of drivers
REDD+, countries may seek to build upon, adapt,
and/or an assessment of gender gaps/inequalities
or strengthen implementation of their existing
in policies, decision-making, local practices and
policies, laws and regulations, possibly through
cultural norms; ensuring the active and equitable
the adoption of new texts, in order to ensure they
participation of women, youth, as well as other
realize and enforce national and/or sub-national
marginalized groups in consultations/ workshops/
legal frameworks supportive of REDD+.
 GOOD GOVERNANCE 5

Governance factors Box 5 The Human Rights-based approach

underlying drivers and The Human Rights-based approach (HRBA)
is a process which applies a number of core
barriers to ‘plus’ activities principles aimed at ensuring the full enjoyment of
human rights by pointing to both procedural and
As seen in in the module on Drivers of substantive rights.
Deforestation and Forest Degradation,
Procedural rights refer to, for example, rights to
preparing for effective and efficient REDD+
participation, to free, prior and informed consent
implementation requires strong analytical (FPIC), and to representation or development.
foundations on which countries can build their
vision for REDD+, and make informed and Substantive rights refer to, for example, rights to
strategic decisions that will shape a critical lands, territories and resources.
pathway to implement that vision. The failure to apply procedural and substantive
rights are governance weaknesses that can affect
In order to implement REDD+ activities both drivers and barriers.
effectively, countries should seek to understand
and address the direct and related indirect
drivers of deforestation and forest degradation
Identification of the agents of deforestation
(DDFD). They should also understand the
and forest degradation is also key to an in-
dynamics of and barriers to the ‘plus’ activities
depth analysis of drivers and barriers. It may
of REDD+: forest conservation, enhancement
for example be useful to map decision-makers
of forest carbon stocks and sustainable
and other influential actors, such as customary
management of forests.
or decentralized administrative authorities, the
formal or informal ways in which they impact
the drivers, and their incentives and barriers to
Box 4 Understanding Drivers and change their behaviour. This mapping may be
Barriers through a Governance Lens done for example through an ‘institutional and
-What governance deficits facilitate deforestation context analysis’ (see Annex 1).
and forest degradation, and create barriers to
conservation, sustainable management of forests Activities to analyze drivers and barriers also
and enhancement of carbon stocks? need to be conducted in a participatory and
-What governance enablers facilitate good forest gender sensitive manner in order to ensure
stewardship and land use planning? that they are accurate and have ownership
from a broad range of stakeholders. This
-How are these governance factors evolving?
includes ensuring: a complete understanding
of stakeholders’ rights; access to information;
and recognition of livelihood and subsistence
activities of stakeholders that may be significantly
Indirect drivers (also called ‘underlying causes’ impacted by REDD+ management decisions. Lack
or ‘driving forces’) can be related to international of participation also often results in a lack of a
drivers (e.g. markets, commodity prices), national gender perspective, detailed in the next section.
drivers (e.g. population growth, domestic
markets, national policies, fiscal framework, but Studies3 of the ‘governance factors behind
also governance) and local drivers (e.g. change drivers and barriers’ could help countries
in household behaviour). understand the potential impacts of current
practices and the potential benefits of change.
Similarly, barriers to the ‘plus’ activities refer to the Example of governance-related underlying
various obstacles to their implementation. Barriers drivers and barriers are highlighted below.
may be very diverse, and include governance
weaknesses such as lack of participation,
corruption, inappropriate legal frameworks, and
3 These studies can be stand-alone or included in broader
weak enforcement of existing laws. studies on drivers and barriers that take into account other
un-derlying causes.
 LEARNING JOURNAL
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Lack of participation including equitably women and men, who are

able to exercise their legal rights, address
The text of the UNFCCC recognizes the need their interests and have them mediated with
for the full and effective participation of all dialogues with state actors.
stakeholders. It places specific emphasis on
consulting with indigenous peoples and local Just as importantly, examining participation
communities, because they may have poorly – or the lack thereof - can help to reveal the
recognized rights to the use and ownership of underlying causes of deforestation and forest
forests and are more vulnerable to being left out degradation, including corruption, illegal forest
of decision-making processes. This is why the conversion, forest ownership and access rights.
REDD+ decisions emphasize the participation Nepal provides an example of how poor
of these groups and make note of the UN participation fuels key drivers; in this case, the
Declaration on the Rights of Indigenous Peoples, lack of a deliberative and inclusive process
which includes reference to the right to right to contributed to the four main drivers identified at
Free, Prior and Informed Consent (FPIC). This the national level: illegal logging, encroachment,
reflects a core concept of the human rights- fuelwood collection and roads (see Figure 6).
based approach (see box 5) and a key aspect
of good governance, i.e. the promotion of the
interaction between state actors and citizens,

Figure 6 Example of DDFD fuelled by poor participation - Nepal

Source: UN-REDD (2014)

REFLECTION POINT
Can you think of an example where poor participation is
an indirect cause of deforestation or forest degradation?
How? Is this an issue of laws and norms, of their
application, of institutions, or a combination of the three?
 GOOD GOVERNANCE 7

In another example, traditional authorities in such as traditional agroforestry systems and tree
Malawi mandated to protect forest reserves planting can help identify barriers to sustainable
under customary law are not accepted by formal management of forests or reforestation.
government structures. This leads to conflict
between these actors, resulting in corrupt
practices and contributing to DDFD. Box 7 Gender Terms
Gender equality: The equal rights, responsibilities
and opportunities of women and men and girls
Gender perspective and boys. Equality does not mean that women and
men will become the same but that women’s and
UNFCCC Decision 1/CP.16 refers to the need men’s rights, responsibilities and opportunities
to address gender considerations when will not depend on whether they are born male or
developing national REDD+ strategies (see Box female. Gender equality implies that the interests,
needs and priorities of both women and men are
7 for gender terms). When identifying drivers and taken into consideration, recognizing the diversity
governance-enabling factors to address these of different groups of women and men. Gender
drivers, gender-differentiated roles, actions equality is not a women’s issue but should concern
and perspectives should be considered. This and fully engage men as well as women. 
means the roles, actions and perspectives of all Source: UN Women Concepts and Definitions on Gender
stakeholders, including women, men and youth. Mainstreaming, available at: http://www.un.org/women-
This is particularly important for women as they watch/osagi/conceptsandefinitions.htm
are often the primary users of forests. Gender mainstreaming: The process of assessing
There are many reasons why a gender the implications for women and men of any planned
action, including legislation, policies or programmes,
perspective is important to understand and in all areas and at all levels. It is a strategy for
address drivers and barriers. making women’s as well as men’s concerns and
experiences an integral dimension of the design,
First, the lack of gender perspective has been shown implementation, monitoring and evaluation of
to be a barrier to conservation or reforestation. policies and programmes in all political, economic
and societal spheres so that women and men
In Kenya, for example, local men involved
benefit equally and inequality is not perpetuated.
in planning a fuelwood tree planting project The ultimate goal is to achieve gender equality.
assumed that women would fulfil their traditional
Source: United Nations Economic and Social Council Agreed
role of providing water for seedlings. After the Conclusions, 1997/2, available at http://www.un.org/women-
seedlings were distributed, the men discovered watch/osagi/intergovernmentalmandates.htm#ecosoc
that the women were unwilling to do the extra
hours of water-collecting required by the project.
Furthermore, the women were not particularly
interested in the tree species selected. The Second, the analysis of drivers of deforestation
failure to consult women in the planning phase and degradation (as well as barriers to ’plus’
of the project meant that their concerns were activities) can be enriched by information known
ignored. Not surprisingly, they were indifferent to local communities and indigenous groups,
to its success, and the seedlings died for lack of especially women and youth within them, through
water. However, the second phase of the project their forest patrolling and monitoring activities, or
incorporated women’s interests by providing the through their gathering of plants or fuelwood.
types of trees they preferred. Women then agreed Therefore, these groups can also be an
to help, and this time the project was successful.4 informative source of knowledge in identifying
Additionally, it has been shown that a higher drivers of deforestation and forest degradation
proportion of women participants in local around their communities, as well as a resource
institutions of forest governance is related to in identifying corresponding possible solutions.
significantly greater improvements in forest Understanding the varying roles played by men
conservation.5 In addition, women’s practices and women can enable a more accurate analysis
of the problem — who is driving deforestation,
why, where and how — and also help identify
4 Gender Matters Quarterly, 2001. Available at http://pdf.usaid. potential solutions. This can help formulate
gov/pdf_docs/PNACP513.pdf
5 Agarwal, B. (2010). Gender and Green Governance: The governance interventions that are applicable
Political Economy of Women’s Presence Within and Beyond and relevant at both national and local levels.
Community Forestry
 LEARNING JOURNAL
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Weak enforcement capacities and

Box 8 : Gender and Tenure corruption
In many instances, women’s rights to control over land Law enforcement is vital for effective
are not formally recognised, even though they access governance. Poor law enforcement is due to lack
and use many products (e.g. firewood, non-timber of capacity, and often to corruption. For example,
forest products). As reported by a female participant
in consultations on governance shortcomings for bribes between illegal loggers and forest
REDD+ in Malawi in 2015: “It’s a motivation issue. We managers, and/or collusion with government
are assuming the same roles, but are not formally officials are commonly identified causes of forest
accepted. If men run away to seek better economic degradation and illegal forest activities.
opportunities outside the community to sustain the
family, we are left behind doing exactly the same In Indonesia, for example, although the 2014
work without formal recognition. How can this be? Indonesia Forest Governance Index reported
The same applies to national replanting schemes. We a slight improvement in the number of cases
are very active in maintaining them while our male
colleagues have run away a long time ago.” of forestry crimes being filed in court, there
is clearly a connection between weak law
Finally, given various social, economic and cultural enforcement capacity and continued corrupt
inequalities and legal impediments, particularly practices allowing perpetrators to operate and
within the forest sector, women and often other continue deforestation (UNDP, 2015).
REFLECTION marginalized groups, such as the poor, youth,
POINT handicapped, etc., in many societies continue to In Kenya, a REDD+ corruption risk assessment
Can you think experience exclusion that limits their ability to fully (UN-REDD, 2013a) highlighted how corruption
of an example participate, contribute to and benefit from REDD+ has historically contributed to deforestation and
where gender action. More specifically, these inequalities can also degradation:
inequality is an lead to them having unequal access to information ●● The difficulties of the Kenya Forest Service in
indirect cause and legal processes; not being involved in decision-
of deforestation
promoting forest conservation and managing
making on benefit sharing mechanisms and financing the relocation of people deemed as ‘squatters’;
or forest
structures; and being excluded from REDD+ benefits
degradation?
due to weak rights to land and forests. As women ●● The risks of county governments using
Or alternatively, community forest lands for patronage purposes;
where women’s typically rely more on forests than men do, and rural
enhanced women engage in multiple economic activities that ●● Corruption suspected in the allocation of forested
participation are key to the survival of households, it is therefore areas to biofuel, oil or mining companies (causing
has contributed critical that deliberate, explicit and meaningful deforestation) without sufficient restrictions to
positively to efforts are taken to ensure REDD+ governance limit environmental impact;
enhanced systems and programmes are inclusive, fair and
conservation, ●● Bribes between illegal loggers and forest
mainstream gender both in policy and in practice.
management of managers, and/or collusion by government
In fact, promoting sustainability of and building
forests or forest officials facilitating forest degradation;
long-term support for REDD+ processes is often
carbon stocks?
connected to its ability to demonstrate and distribute ●● The lack of capacity of Charcoal Producer
corresponding benefits equitably and fairly. 6 Associations (CPAs) to check the origin
and source of charcoal, and acceptance of
The UN-REDD Viet Nam Programme Gender
fraudulent documentation as CPAs depend
Analysis7 noted the need to transform gender
on licensing for their funding;
relations and foster women’s empowerment by
recognizing, supporting and rewarding women’s In Panama, weakness of forest management
roles in forest management and protection. It also institutions and conflicts between institutions,
noted that strategies to address gaps in the analysis institutional bureaucracy and poor transparency
should be based on the notion that women are not and corruption underlie commercial and
victims, but rather powerful agents of change, due in fuelwood extraction that cause deforestation.
strong part to their roles as stewards and managers
In Nepal, as seen in Figure 9 below, a participative
of forest resources.
corruption risk assessment highlighted
poor transparency corruption and weak law
6 UN-REDD Programme (2013). Guidance Note on Gender
Sensitive REDD+. Available at http://www.unredd. enforcement were also highlighted as catalysing
net/index.php?option=com_docman&task=doc_ direct drivers of illegal logging, encroachment,
download&gid=11824&Itemid=53 fuelwood collection and road construction.
7 UN-REDD Programme (2013). UN-REDD Viet Nam
Programme Gender Analysis. Available at: http://www.
unredd.net/index.php?option=com_docman&task=doc_
download&gid=11372&Itemid=53
 GOOD GOVERNANCE XII-9
9

Figure 9 Country example of corruption and law enforcement-related drivers - Nepal

Source: UN-REDD (2014) REFLECTION

POINT
These issues are often exacerbated by limited according to long-standing principles, values, Pick a direct
public services (due to low financial and human customs and traditions, including seasonal or driver of
capacity) that lead to unenforced laws and cyclical use, which operate outside the formal deforestation
regulations and often open up opportunities for legal system. These rights are associated or forest
illegal activities. with traditional land administration institutions degradation in
and customary law that define how rights are your country.
allocated and protected. When forest land that is Could it be
Unclear and Unsecure tenure rights exacerbated by
considered under a National REDD+ Strategy is
While secure tenure creates a sense of customarily owned or occupied, e.g. when there corruption?
ownership and can serve as an incentive to is overlap of logging or agricultural concessions
protect forests and invest in their sustainable and illegal logging on customary lands, the full
management, the opposite tends to be true as participation of customary landholders is essential.
well: weak tenure security often results in poor
management and loss of the resource. Clear In Cambodia, REDD+ stakeholders were
enforceable rights of exclusion are a key element involved in piloting a new tool for mapping
of forest tenure that allows the rights holder to community tenure called Open Tenure.
resist outside interference. Likewise, clear and This tablet-based application is used by the
secure tenure increases accountability and has community members themselves to record their
been found to reduce certain drivers since the tenure rights, with data stored on a web-based
rights holder is also the bearer of responsibility.8 server. The first trial was successfully conducted
in 2015 with the Sorng Rokavorn community
In many UN-REDD partner countries, customary forestry group in northwest Cambodia.
tenure rights over forests are an important
consideration. Customary use rights may be A number of UN-REDD partner countries have
understood as the access, control and use of land completed broad multi-stakeholder assessments
of their tenure regimes in the context of REDD+
in order to gain insight on the links between
8 World Resources Institute and the Rights and Resources
Initiative (2014). Securing Rights, Combating Climate Change: tenure and forestry in the country context, and
How Strengthening Community Forest Rights Mitigates Climate to guide steps towards improved governance of
Change. Available at: https://www.wri.org/sites/default/files/ tenure (see Annex 1).
securingrights-full-report-english.pdf
 LEARNING JOURNAL
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by exploiting the forest under their current license

without abiding by the established standards,
Box 10 Voluntary guidelines or by exploiting it outside the authorized areas
UN-REDD encourages partner countries to refer or range of activities. Second, informal fees
to the Voluntary Guidelines on the Responsible can allow licenses to be granted in areas such
Governance of Tenure of Lands, Fisheries, and as protected forests or conservation forests, in
Forests (VGGT) . This set of internationally-accepted
violation of regulations. An in-depth evaluation
standards were endorsed in May 2012 by the
Committee on World Food Security. A wide range of the regulations on the forest permit system
of stakeholders - from governments to civil society pointed to a) weaknesses that allow permits to
to the private sector - were involved in several be granted inappropriately, such as some opacity
years of consultations and drafting in order to at provincial and district levels resulting in a
reach consensus on the final document. The VGGT higher number of permits or permits granted in
provide ambitious guiding principles for analysing inappropriate areas and b) systemic strengths
and reforming tenure systems under REDD+. This (such as the more transparent online automated
landmark document provides a vision for countries systems at the national level that reduce face-
to work towards good governance of tenure with
to-face interactions and thus opportunities
articles that provide specific benchmarks for
countries to work towards. The VGGT: for corruption), which could be expanded to
provincial and district levels (UN-REDD, 2015).
●● Recognize and respect all legitimate tenure
rights and the people who hold them;
●● Safeguard legitimate tenure rights against Weak, incomplete or conflicting laws
threats;
and policies
●● Promote and facilitate the enjoyment of
legitimate tenure rights;
Effective governance also relates to the
enhancement of laws and regulations related
●● Provide access to justice when tenure rights to the governance and sustainable use of
are infringed upon; forests and other natural resources, the lack
REFLECTION
POINT ●● Prevent tenure disputes, violent conflicts and of which can aggravate drivers. This process
opportunities for corruption. could start with identifying inconsistencies in
Do you have an terminology relevant to forestry matters and
example of how gaps and overlaps among sectoral laws. Actions
weak tenure Lack of transparency in the issuance to address drivers or barriers to ‘plus’ activities
rights aggravate of permits can be affected by definitions of terms such as
a specific driver
of deforestation Lack of transparency can lead to misinformation forests, forest conservation, trees, deforestation,
or degradation, and abuses that exacerbate certain DDFD ecosystem services, community, etc., so it is
or constitute as well as barriers to conservation or forest important to make sure that this terminology
a barrier to enhancement activities. is harmonized. Legislators may adapt existing
conservation, definitions or include new ones in national laws.
sustainable A Corruption Risk Assessment for REDD+ in
management the Philippines (UN-REDD, 2013b) identified For example:
of reforestation risks related to the illegal issuance of permits ●● In Malawi, the issue of customary tenure
activities? (resource utilization permits, cutting permits not being legally recognized is causing
and small scale mining permits) by local officials encroachment in government-controlled
and congressional representatives. Increased Forest Reserves. Between 65 per cent and
transparency to allow civil society to effectively 75 per cent of land in Malawi is customary
monitor the way permits are issued was deemed land and an estimated 51-65 per cent of
an important measure to consider. Malawi’s forests are located on these lands,
which are governed by customary rights that
Similarly, it was shown in Indonesia that licenses remain ill-defined and unprotected in national
for forestry concessions play a role in high legislation. A history of inequitable access to
forestry and land sector emissions in Indonesia, land and forest resources, accompanied by
not only because of the 52 million hectares the lack of government capacity to enforce
covered by licenses, but also for governance existing regulations, has also led to serious
reasons. First, when licensing is deemed too levels of encroachment in government-
costly (in terms of time lost as well as formal and controlled Forest Reserves causing
informal fees), people or companies applying for deforestation and degradation.
the license may attempt to recuperate those costs
 GOOD GOVERNANCE 11

●● In Myanmar, the Forest Department defines enforcement bodies is rather caused by lack of
land with trees outside the legal forest information or awareness of the importance of
estate as “Public Forest Land” whereas the illegal forest activities.
Agriculture Department defines the same
Most importantly, lack of coordination across
land as “Vacant, Fallow and Virgin Land”.
sectors that impact forests can be a major REFLECTION
●● In Mexico, the term ‘environmental services’ underlying cause of deforestation or degradation. POINT
was redefined to emphasize the relationship As a number of interconnected drivers cause
How do you think
of their benefits with the functionality of forest loss, a number of sectors must be mobilized
transparency
the natural ecosystem and the individuals and work in harmony in order to address them
and access to
settled in the territory. In addition, it is now effectively. For example, in the DRC, the country’s information
recognized that environmental services agricultural policy did not, until recently, consider could address,
are regulated by the Forest Sustainable limiting the current and future impact of agricultural in practice, the
Development Law. practices on forests. To correct this, the DRC issues presented
developed a comprehensive REDD+ investment in the Philippines
●● Honduras carried out reforms to solve land
plan that address all major direct and indirect and Indonesia
categorization conflicts between the Law on examples above?
drivers – such as slash and burn agriculture,
Forestry, Protected Areas and Wildlife, the
artisanal logging, charcoal and wood energy,
Agrarian Reform Law and the Law on the
mining, inadequate land tenure, demographic
Protection of Coffee Activity.
pressure, weak governance and poor land
●● In Nepal, conflicts between the Forest Act and use planning - and whose implementation
the Local Self Governance Act (LSGA) have is supervised by the Ministry of Finance. All
led to negative environmental consequences concerned ministries, such as the Ministry of
including deforestation and forest degradation. Agriculture, of Health, of Environment have REDD+
The LSGA allows local governments to focal points and were actively involved in finalizing
prepare and implement forest management the investment plan, now partially funded through
plans and imposes taxes on forest products the Central Africa Forest Initiative.
whereas the Forest Act invests such rights in
In Tunisia, a tenure assessment found that
District Forest Officers and local communities.
the poor coordination between the Direction
In addition, inconsistencies or conflicts between Générale des Forêts and the Ministère des
laws risk incentivising activities that may drive Domaines de l’Etat et des Affaires Foncières
deforestation or forest degradation, e.g. by caused deforestation because it resulted in a
stating that a prerequisite for acquiring title lack of oversight and monitoring.  
to land is making the land ‘productive,’ or by
granting mining, oil or gas exploitation permits
for forested land without consulting other
stakeholders or government agencies with a say Good governance in REDD+
over how that land is used.
national strategies and PAMs
Designing ‘enabling PAMs’
Lack of cross-sectoral coordination PAMs are discussed in depth in in the module
Effective governance also relates to having on Policies and Measures for REDD+
adequate institutions and administrative Implementation. In the same way that drivers
frameworks to coordinate the various may be divided into ‘direct’ and ‘underlying’
organizations involved in forest governance. A drivers for practical purposes, PAMs may be
lack of coordination between state agencies split into ‘direct’ and ‘enabling’ interventions.
may result in ineffective application of PAMs that Underlying drivers may be targeted with
affect drivers of deforestation and degradation. enabling interventions such as capacity building,
land use planning and governance programmes
An example is the lack of coordination of
(for example, to strengthen coordination,
forest authorities with enforcement bodies.
transparency and anti-corruption).
If the police, public prosecutors office or the
judiciary are not informed about challenges Examples of ‘governance-enabling PAMs’ are
related to forest crimes, they cannot be part of shown in Figure 11 below.
the response. Often the lack of involvement of
 LEARNING JOURNAL
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Figure 11 Examples of ‘enabling governance PAMs’

Governance deficits Examples of enabling PAMs/Interventions

Lack of transparency/ Increase access to information about sales/transactions at timber auctions
access to information Publish details about mechanisms and timelines for licenses granted to tobacco/palm
oil/commodity farmers (also applies to other licenses)
Increase access to information about who has a permit to do what on which land
(registries)
Monitor farm expansion real-time (via satellite imagery)
Poor law Strengthen forest law enforcement (collaborate with national FLEGT processes
enforcement to enhance traceability of timber, employ more guards with better equipment and
capacity)
Increase capacity of IPs/forest dependent peoples to monitor their lands
Avoid revolving doors between agriculture lobbyists and decision makers
Establish clarity on procedures for forest concessions and enforce adherence to
requirements (to avoid ‘personal treatment’)
Corruption Criminalize the acceptance of bribes by state employees
Institute practices to promote budget tracking and transparency
Establish accessible systems to make it easier for people to report illegal activities
(anonymous hotlines, for example)
Forbid forestry officials from engaging in the timber trade
Install cameras at checkpoints to monitor bribes paid when charcoal trucks pass (and
volume of charcoal transport)
Strengthen conflict of interest rules for officials making decisions on land concessions
REFLECTION
POINT Low judicial capacity Strengthen capacity to process cases in court e.g. training for judges, prosecutors

Can you think Build capacity to prosecute multiple crimes perpetrated at the same time (e.g. Illegal
of an example logging/expansion, illegal permits, paying of bribes)
of an ‘enabling Lack of policy or Promote alignment of national and local priorities/plans/actions including through new
governance PAM’ legal coherence laws and regulations
in your country? Map existing policies to identify overlaps and conflicts across sectors and establish
Would it affect plan to harmonize and streamline relevant processes (promote holistic and cross-
more than one sectoral coordination)
direct driver?
Which additional Lack of or poor Clarify access/user rights among IPs and forest-dependent communities
benefits would stakeholder inclusion Promoting gender equity in forest access, use, capacity and awareness
this PAM bring
Establish platforms to allow different stakeholder perspectives and interests to shape
about? plans, priorities, and PAMs
Insecure tenure Improve security of tenure for indigenous peoples and land and access rights for
women

these dimensions refer to how governance

Prioritizing ‘feasible’ PAMs strengths or governance deficits may make a
In the module on Policies and Measures for PAM more or less feasible, such as:
REDD+ Implementation, a “multi-dimensional
selection process for PAMs” was presented. ●● Will there be political resistance to this PAM if
A government ministry or entity in charge of some influential stakeholder stands to lose?
REDD+ needs to engage in multi-dimensional ●● Does this PAM build on existing law or
decision analysis in order to weigh different regulation that has been in the past
possible PAMs, determine the trade-offs involved exceptionally transparent and accepted or
and assess both benefits and risks. Some of opaque and poorly enforced?
 GOOD GOVERNANCE 13

●● How much local community knowledge, skill may necessitate legal reform, especially
and participation is needed to implement one when the current legal frameworks puts
PAM? a barrier to cross-sectoral coordination,
especially regarding institutional mandates.
●● Policy coherence: has the parliament been
Traditional authorities and laws should be
involved in ensuring policy coherence
considered as well. In any decentralized
between different sectoral policies? For
system of forest governance, legislation and
example, will subsidies that encourage forest
guidelines that clearly define property rights
loss, such as those to the palm oil or timber
and management responsibilities are crucial
sector, conflict and overwhelm the potential
for effectively integrating cross-sectoral
financial support provided for reducing
demands on forests;
deforestation?
●● Access to information: a critical question is
●● What has been the engagement to date of
whether stakeholders have the information,
political decision makers in the REDD+ design
as well as skills, capacity and tools to
and decision process? Has REDD+ been
effectively participate in discussions and
kept at a technical level, or has engaged the
decision-making. For example, statistics on
country’s leadership?
subsidies that have an impact on forests
In Sri Lanka, an assessment of tenure was may be known by the Ministry in charge
conducted as part of the development of the of agriculture, but not shared with the
country’s national strategy on REDD+. The Department of Forestry, making the fiscal
assessment involved applying VGGT criteria (see incentives reform all the more complex;
Box 10) to analyze the implications for tenure of
●● Institutional arrangements, such as the
a wide array of possible PAMs. The assessment
interaction between the legislative, judicial
found that some PAMs, including a crackdown
and executive, are important.
on forest encroachment and improvements in
land-use planning, were likely to have significant
implications for tenure issues. This could make Box 12 Prioritizing actions based on actors’ analyses
the PAM in question less feasible.
Country Y has decided that the first iteration of its national
REDD+ strategy would focus solely on cattle ranching, one of the
major drivers of deforestation in the country. Several PAMs are
Strategically engaging with the right contemplated such as: a) removing tax incentives and subsidies
agents /Participatory Decision-Making intended to support expansion of beef production; b) providing
training and financial support for more intensive production based
Strategic engagement of the appropriate agents on improved breeds, feeds, pastures and animal health; c) ending
(both civil society or relevant ministries) is key land titling schemes that encouraged deforestation by allowing
again here to develop the most appropriate expropriation of ‘under-utilized’ forest lands and awarding farmers
set of REDD+ PAMs. The actors here may and ranchers legal ownership of lands that they have cleared
be the same as those consulted during the and occupied; and/or d) discouraging road construction and
drivers analysis process, but their interest and improvement in most forest areas*.
commitment will be higher, or their opposition Complementing a cost analysis, an institutional analysis of the
stronger, as the design and fine tuning process actors (cattle ranchers, Ministry of Agriculture, Land, Trade or
could lead to the design of actions that has Infrastructure**) who need to be engaged and supportive of each
effects and consequences on their own of these reforms and the possible political barriers will help the
institutions. Here again, such engagement is country’s REDD+ team in this choice.
predicated on some governance principles:
*Examples extracted from http://www.fao.org/3/a-a0262e.pdf
●● A basic legal framework must exist for
participation: appropriate legal frameworks **In another country Z, where the selected activity is reducing
degradation originating from timber and fuelwood collection, major
can institutionalize policies and actions
actors to engage would be forest-dependent communities, with
that can enable cross-sectoral policies particular attention to be paid to the roles of women as agent of
and commitments, as well as the right change
for indigenous peoples and civil society
participation in public affairs, and a right to
access to public information. At times this
 LEARNING JOURNAL
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Strengthening governance to Accountability and monitoring

implement NS/APs and PAMs for PAMs
While specially-designed PAMs can enable Accountability mechanisms that oblige decision-
better governance for REDD+, further makers to take responsibility for their actions
institutional strengthening may be needed should be supported by monitoring and feedback
to improve performance, i.e. the effective systems and grievance and redress mechanisms.
implementation of other PAMs. Some examples Monitoring PAMS is essential for accountability
of such capacity building are discussed below. systems, as it enables adjustments to those that
Certain PAMs will need more ‘boots on the are not achieving the intended outcome and/
ground’. Indonesia is for example strengthening or that have unintended negative impacts on
its law enforcement on forest crimes and training stakeholders.
stakeholders from forest guards to the judiciary Feedback systems can occur through established
to apply this approach. Elsewhere, strengthening platforms, participatory social impact analysis
the ability of indigenous organizations to monitor and policy audits, or social10. Feedback systems
REDD+ forest activities may prove one of the most are only effective when government acts on the
cost effective detection and enforcement measures. feedback received, through public and timely
Capacity-building can happen at different levels9: responses, be they positive or negative.
i. Functional capacities, i.e. management As REDD+ PAMs seek to induce positive shifts
capacities needed to formulate, implement in current practice and use of forest resources,
and review policies, strategies, programmes countries will need to monitor those shifts,
and projects. In other words, the cross-cutting i.e. evaluate if the legal, administrative and
capacities needed to ‘get things done’; financial measures have produced the expected
effects. This is different but complementary to
ii. Technical capacities, i.e. are those
the objectives of a National Forest Monitoring
associated with particular areas of expertise
REFLECTION Framework (see Box 13). Safeguards (see section
and practice in specific sectors;
POINT below) are another way to ensure accountability.
iii. Collaborative capacity, i.e. having a
Once a suitable clear vision and strategy to enable
regulatory What to monitor?
collective thinking, adaptive planning, and
system or legal
implementation beyond money, personnel,
framework The module on Policies and Measures for
is in place to skills, and equipment. Collaboration
REDD+ Implementation discussed tracking
appropriately between different sectoral ministries can
implementation. Supporting countries to track
deal with REDD+ encourage sustainable investments by
implementation of PAMs can empower national
implementation, sharing risks and rewards or providing
governmental and non-governmental actors to
what is the needed capacity building. Collaboration
monitor their performance (see box 12), including:
best way to may range from provision of information to
ensure this is another organization; sharing of personnel; ●● Their relevance: whether the objectives of
implemented? collaboration on joint research projects with the PAMs cover the multiple dimensions of
For a particular other stakeholders; collaboration on joint the issue
ministry or, grant or funding proposal; creation of an ●● Their usefulness: examine if the intervention
indigenous inter-ministerial task force; signing a MOU; has had not only the expected results, but
peoples’ group and sharing and permitting or regulating also examine collateral effects, including
or civil society activities. New institutional arrangements
organization, negative ones;
may be needed to support better
can you provide collaboration between sectors.
an example of 10 See UNDP (2010) ‘Fostering Social Accountability: From
how capacities Principle to Practice,’ available at http://www.undp.org/
needed to content/dam/undp/library/Democratic%20Governance/OGC/
design PAMs, 9 UNDP (2008). Capacity Development Practice Note. Available dg-ogc-Fostering%20Social%20Accountability-Guidance%20
at: http://www.undp.org/content/undp/en/home/librarypage/ Note.pdf, and UNDP (2011) ‘A Practical Guide to Social Audit
are different as a Par-ticipatory Tool to Strengthen Democratic Governance,
capacity-building/capacity-development-practice-note/
from capacities Transparency and Accountability,’ available at http://www.
needed to pogar.org/publications/ac/books/practicalguide-socialaudit-e.
implement them? pdf
 GOOD GOVERNANCE 15

●● Their internal coherence: are different PAMs ●● Government oversight bodies such as Court
with the same objectives complementary or of Accounts (TCU, Brazil), or more specific
redundant; bodies such as anti-corruption agencies, play
●● Their external coherence: are the PAMs aligned a role in monitoring different aspects of the
with and contributing to the country’s national performance of PAMs;
REFLECTION
development strategy, or other sectoral PAMs, ●● Parliaments have a role to play in ensuring POINT
including governance and fiscal measures; the coherence among policies addressing
Given the
●● Their strategic relevance or efficacy: can the different sectors: governance
results be attributed to the PAM, or are they a ●● As the lawmaker, a parliament is responsible structure of your
‘happy coincidence’; for debating and ratifying legislation that country and
would govern a national REDD+ program. For the respective
●● Their cost-effectiveness: are costs reasonable capacities of
compared to other PAMs implemented example, parliaments can ensure that fiscal
different actors,
concurrently? Are efforts (inputs, resources) incentives such as subsidies to the palm oil
who do you
needed for results to be delivered; sector do not dwarf parallel efforts to reduce think should
deforestation caused by palm oil plantations; be in charge
●● Their sustainability over time: are PAMs of monitoring
embedded sufficiently that they will survive ●● Elected parliamentarians can give voice
to the concerns of diverse social actors PAMs in your
changes in government? Can they be country? What
sustained without external funding?; (including indigenous peoples, local
mechanisms
communities and CSOs), and can ensure could support or
●● Their capacity-building component: have the these are reflected in the law-making and complement this?
PAMs helped enhance the capacities of the budget allocations processes;
institutions implementing them? What could
●● Parliaments have a unique role when it the role of
comes to oversight of the national REDD+ the judiciary
Box 13 The difference and process, both related to the financial and be for REDD+
the legislative process. By adopting and accountability
complementarities of monitoring PAMs systems?
monitoring state budgets, parliaments serve
and NFMS as a check on executive power, and can
Monitoring the impacts of shifts in public policies and help ensure the transparent, equitable and
implementing a National Forest Monitoring System
accountable management of REDD+ funds.
(NFMS) are different, but related, activities. One the
one hand, a NFMS seeks to, inter alia, monitor the As seen above, effective monitoring of PAMS
impact of demonstration activities or REDD+ PAMs depends upon access to timely and relevant
in terms of their effectiveness (in terms of tCo2e or information as well as appropriate legal frameworks,
biophysical proxies); on the other hand, monitoring which can institutionalize policies and actions to
shifts in policies is about monitoring what can be support monitoring. In addition, in many countries
described as their overall performance. Indicators
strengthening the capacities of the actors listed
in the latter are not carbon-based, although efforts
should be made to draw a causality chain between
above to monitor REDD+ PAMs may be necessary.
performance and effectiveness. More information
can be found in the module on National Forest
Monitoring Systems for REDD+. Grievance and redress mechanisms
Grievance and redress mechanisms (GRMs) are fair,
transparent and accountable organizational systems
and resources established by national government
Who monitors PAMs?
agencies to receive and address concerns about the
Depending on the country context, a range of impact of their policies, programmes and operations
approaches can be used to monitor PAMs: on external stakeholders, including women, men and
●● REDD+ national steering bodies, boards or youth. The stakeholder input handled through these
agencies are the primary actors to monitor the systems and procedures may be called ‘grievances,’
effectiveness of PAMS. They can be supported ‘complaints,’ ‘feedback,’ or other terms.
in this task by either multi-stakeholder platforms GRMs can be the first line of response to concerns
(including indigenous peoples, civil society, REDD+ that could not be fully addressed by proactive
agencies and donors) or governmental or non- stakeholder engagement or effective safeguards.
governmental bodies with more independence GRMs are discussed in more detail in the module
from the national REDD+ decision-making process; on Stakeholder Engagement in REDD+.
 LEARNING JOURNAL
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Safeguards For example, Cancun Safeguard (b) is about

transparent, effective forest governance. If this
The safeguards defined in UNFCCC Decision 1/ safeguard were to be ‘unpacked’ or ‘clarified’ in
CP.16 (commonly known as the Cancun safeguards) a country context it could cover issues such as:
embody the principles of good governance and
●● Access to information;
prescribe good governance arrangements in
the design of NA/APs and PAMs for REDD+ and ●● Accountability;
throughout their implementation. Information
●● Land tenure;
on how countries address and respect these
safeguards is generated and presented through ●● Enforcement of the rule of law;
a Safeguard Information System, and a summary ●● Adequate access to justice, including
of this information is required by the UNFCCC procedures that can provide effective remedy
to qualify for results-based payments (see the for infringement of rights, and to resolve
module on REDD+ Safeguards under the disputes (i.e. grievance mechanisms);
UNFCCC).
●● Gender equality;
A country approach to safeguards allows a country
to build on existing governance arrangements that, ●● Coherence of national/subnational legal,
combined with national (and other international) policy and regulatory framework for
policy goals, can be used to operationalize transparent and effective forest governance;
the Cancun safeguards. The governance ●● Corruption risks;
arrangements targeted by the country approach
comprise three core elements that together can ●● Resource allocation/capacity to meet
ensure social and environmental risks from REDD+ institutional mandate;
are reduced and that benefits are enhanced: ●● Participation in decision-making processes.
i. Policies, laws and regulations (PLRs) - what An assessment of the PAMs would generate
needs to be done at the higher levels of questions such as:
government in order to enable REDD+ activities
to be implemented in a manner consistent with ●● Will a particular REDD+ action/PAM generate
the Cancun (and other) safeguards, i.e. how and share relevant and timely information
safeguards are being addressed; (i.e. financial information, information
about decision-making processes, bidding
ii. Institutional arrangements - the mandates, and procurement processes, etc.) with
procedures and capacities to ensure that stakeholders in the appropriate language and
the relevant PLRs are actually implemented format;
in practice, i.e. how safeguards are being
respected; and ●● Will it set up new or enhanced forest-related
decision-making structures, with clear and
iii. Information systems and sources that defined roles and responsibilities;
collect and make available information
on how REDD+ safeguards are being ●● Will it be monitored against a set of clear,
addressed and respected throughout measurable and time-bound targets;
REDD+ implementation. ●● Is it framed and codified by legal/regulatory
systems that are enforceable? And can it
create and apply appropriate sanctions;
Assessment of benefits and risks of
policies and measures ●● Can it be safeguarded against corruption
risks through additional specific detection,
In the light of the Cancun safeguards, a country prevention and sanction measures;
should undertake an assessment of risks and
benefits of the PAMs it has identified. The ●● Does it have the appropriate capacities
assessment should include a determination (individual, institutional, collaborative,
of how the country’s PLRs already address financial) to be effectively implemented;
and mitigate risks or promote benefits. This ●● Does it have adverse impacts on gender
assessment, which can be iterative, can bring equality and/or the situation of women and
out the gaps and can inform decisions on which girls;
actions to include in a REDD+ strategy.
 GOOD GOVERNANCE 17

●● Does it equitably impact the ability of have been taken into consideration in the
women, men and youth to participate in development of the country’s safeguards,
design, implementation and/or to access policies, laws and regulations;
to opportunities and benefits? Or affect
●● In Bhutan, a REDD+ corruption risk
stakeholders’ abilities to use, develop and
assessment11 informed the development
protect natural resources?
of the country’s approach to the Cancun
At the same time, an analysis of the existing safeguards, especially on safeguard 2b,
policies, laws and regulations should also be as it relates to governance strengths and
considered, and gaps ascertained, for example weaknesses in commercial timber production
through the following questions: and rural timber supply, illegal logging and
forest crimes, and decentralization and
●● Do the PLRs in place provide timely, relevant
community forestry;
and usable information about REDD+ actions,
establish decision-making structures, and ●● Nigeria, through extensive stakeholder
evaluate the effectiveness of REDD+ actions consultations, prioritized the following four
on a regular basis? governance challenges: broad and informed
participation of REDD+ stakeholders;
–– For example: information showing whether
community organizing and cohesion in
the volumes of timber sold at auctions
REDD+ implementation; harmonization of the
exceed the maximum legal harvest, thus
policy and legal framework for REDD+; and
indicating illegal logging; or clear and
transparency and accountability of the REDD+
realistic forest management targets and
process and finance;
objectives as well as the data that shows
whether they are beingn achieved; ●● In Vietnam, a PLR gap analysis was
undertaken to provide options, priorities,
●● Do they include or propose approaches
milestones and recommendations on REDD+
to ensure the accountability of bodies
safeguards in Vietnam. Sixty PLRs that would
representing stakeholders;
support the effective implementation of the
–– For example, systems to help promote Cancun Safeguards were identified, but
trust and participation of local their practical effectiveness has not been
stakeholders in REDD+ activities, such as assessed. For example, with respect to
reforestation efforts by local communities, Safeguard b) on ‘transparent and effective
including both women and men; national forest governance structures’, access
to information was identified as a gap, and
●● Can they prevent or detect and sanction
the LEP No. 55/2014/QH13 and the 2013 Draft
abuses of power and corruption in the
Law on Access to Information was seen as a
implementation of REDD+ actions?
way to address this gap.
–– For example, a ‘multi-door’ approach to
fighting forest crimes, as developed by
Indonesia to help address illegal logging 11 UN-REDD (2015). Corruption Risk Assessment for REDD+
by utilizing several laws (for example, in Bhutan. Available at: http://www.unredd.net/index.
php?option=com_docman&view=download&alias=14590-
anti-money laundering legislation, forest bhutan-corruption-risk-assessment-for-redd-executive-
legislation and anti-corruption law) to summary&category_slug=technical-2505&Itemid=134
bring together intelligence and strengthen
cases and sentences for those who have
committed forest crimes.

Examples of governance analysis feeding

into country approaches to safeguards:
REFLECTION POINT
●● As mentioned earlier, the primary corruption
What principles of good governance or particular issues would you highlight for
risks identified in the Philippines were related
your country under safeguard b) (“transparent and effective forest governance”)?
to illegal issuance of permits (resource
utilization permits, cutting permits and small What existing governance information system in your country could provide
scale mining permits) by local officials and valuable information on REDD+ safeguards? Which stakeholders are involved in
congressional representatives. These risks this system?
 LEARNING JOURNAL
18

●● A fund has clear guidelines on conflicts of

Managing REDD+ funds in a interest to prevent any individual involved
transparent, equitable and in its governance structure from receiving
economic gains, for example by requiring
accountable manner proper disclosure or restricting voting rights.
Considering transparency and accountability
when designing a REDD+ fund management
system can decrease the risk of conflicts with
Oversight, complaints and redress
stakeholders - by managing expectations on ●● Responsibilities for managing and monitoring
accessing funds, for example - and increase the risks of corruption and misuse of funds13
donor confidence, and hence a programme’s are clear and these roles can be carried out
ability to attract financial support. without fear of retribution;
A number of good practices in REDD+ fund ●● An independent body provides clear
management arrangements have been oversight over financial management and
highlighted12, and are listed below: deals with allegations of fraud, misuse and
other corrupt practices;
●● Internal and external independent financial,
Transparency performance and impact audits are regularly
●● A fund operates with a clear set of minimum conducted;
fiduciary standards (with specific criteria for ●● Preventive systems (including capacity
assessment and procedures for addressing building, spot checks, and careful monitoring)
shortcomings); are emphasized; sanctions are appropriate
●● Financial accounts, including donor and are applied fairly;
contributions and expenditures, are made ●● Complaints and redress systems are
public in a timely and accessible manner. accessible and may be used by groups as
In particular, sufficient data is available to well as individuals.
reconcile disbursements and payments;
●● Use of the publically available information
is monitored to ensure that it reaches the Equity
intended stakeholders.
●● Definition of REDD+ beneficiaries includes
indigenous groups, communities, women, or
youth, who may not have customary or legal
Participation and decision-making
ownership over land and the resources on
●● Documents are circulated in line with agreed it, but may have use rights and play a direct
deadlines and made publicly available in or indirect role in forest management and
the appropriate languages, and regular use. Viet Nam’s REDD+ gender analysis cited
information sessions are held with civil above highlighted a gap in equity in fund
society to maintain an open dialogue; design, governance and management;
●● There is a balance of power between ●● Those who participate in REDD+ activities are
donors and the recipient country in decision- rewarded through equitable benefit sharing
making on the disbursement of funds, (understood here as both monetary and
with representation or other accountability non-monetary benefits, including up-front
mechanisms for civil society organizations, payments, milestone payments, royalties,
indigenous peoples and local communities; institutional capacity building, education and
training). The UN-REDD Viet Nam Programme
12 Global Witness (2012). Safeguarding REDD+ Finance, available Gender Analysis (UN-REDD, 2013c) found that
at: https://www.globalwitness.org/sites/default/files/library/
Safeguarding%20REDD+%20Finance.pdf; UNDP (2013).
Background Note on UNDP’s support to Countries on REDD+ 13 Including training, per diems, salaries, vehicles, recruitment
Finance and National REDD+ Funds. Available upon request. processes, travels, overheads.
 GOOD GOVERNANCE 19

women have struggled to access benefits ●● Brazil’s Amazon Fund is generally considered
from payment for ecosystem services and as demonstrating high standards of
community forestry projects, partly because transparency and accountability. The
they lack land rights.14 Brazilian Economic and Social National
Development Bank was entrusted with
Country examples managing the funds for its ability to meet high
A number of national REDD+ funds have standards of transparency and accountability
integrated considerations on transparency and through strong financial management. High
accountability in the design of their REDD+ fund transparency on disbursement has been
management systems and the modalities for observed. Observers have however noted
disbursement. For example: that robust fiduciary standards have made
it more difficult for small organizations to
●● Democratic Republic of Congo (DRC) has
access the fund. Civil society representatives
included in the operational manual of its
are active in the Multi-Stakeholder Guidance
National REDD+ Fund a number of measures
Committee (COFA) which also includes
related to proactive information disclosure
federal and state representatives. Monitoring
and to the detection, reporting and sanction of
and transparency are among the criteria with
misuse. For example, the technical committee
which project proposals are screened. The
that submits advice and recommendations
transparency of the applications received
includes civil society experts, the review of
and the projects funded has increased
proposals is characterized by a double blind
substantially over time, in part as a result of
process where the identity of the reviewers is
guidance by COFA;
kept anonymous to avoid collusion, a financial
micro-evaluation of implementing entities ●● The Congo Basin Forest Fund allows sub-
is undertaken by a third party, and a multi- national and local entities direct access to
channel complaints mechanism is provided for; funds; when combined with stringent financial REFLECTION
safeguards, this is considered an effective POINT
way to reduce risks of misallocation at the What progress
14 The concept of carbon rights is not covered here, since national level. is your country
countries do not need to address this issue to access results-
based payments under the UNFCCC. Project-based approaches
making in how it
to REDD+, however, require that countries define carbon manages REDD+
ownership. Furthermore, results-based payment initiatives Funds, from the
such as the FCPF Carbon Fund require that ER-Program entities international
be able to demonstrate title to emission reductions and
to the national
transfer such titles to buyers. Note that there are challenges
with operationalizing this approach since assessing emission and sub national
reductions at a scale corresponding with land ownership may levels?
be technically very challenging and prohibitively expensive,
except perhaps in countries of limited size or in countries
where tenure is already well-defined.
 20
Annex 1: Tools and approaches
Various tools can be used to assess governance in relation to the elements of REDD+ described in Figure 2:

Tools and Countries where approach Suitable/adaptable to

approaches has been applied
Analysing Designing Implementing Monitoring Addressing Respecting Managing
governance- PAMs PAMs PAMs safeguards safeguards REDD+
related of drivers funds
Institutional and Argentina, Côte d’Ivoire, ü ü
context analysis Honduras, Panama, Paraguay
Participatory Nigeria, Viet Nam, Indonesia ü ü
governance
assessment
Corruption risk Kenya, Bhutan, Philippines, ü ü ü ü
assessment Nepal, Peru, Malawi,
Bangladesh

Social audit for Not piloted yet ü

PAMs
Gender analysis Papua New Guinea,Viet Nam, ü ü ü ü
LEARNING JOURNAL

Sri Lanka, Cambodia

Legal assessment Kenya, Pakistan, Honduras ü ü
Ivory Coast, Peru, Madagascar,
Guatemala, Nepal, Mexico
Tenure assessment Laos, Tunisia, Malawi, Benin, ü ü
Vietnam, Sri Lanka
Assessment of Suriname, Cambodia, Panama, ü
existing GRMs Paraguay
CAST Costa Rica, Mexico, Viet Nam, ü
Zambia
BeRT Republic of Congo, Peru ü ü ü
 MODULE 12
GOOD GOVERNANCE XII-21
21

EXERCISE

Link the main components of good governance on the left to the seven safeguards for REDD+

Principle of good governance Safeguards

Transparency and access to information a) Policy alignment (national and international)

Accountability b) Transparent and effective forest governance

Respect for rights c) Knowledge and rights of indigenous peoples

and
local communities
Participation

d) Full and effective participation of relevant

Performance effectiveness
stakeholders, in particular indigenous peoples
and local communities
Rule of law
e) Natural forest, biodiversity, social and
environmental benefits
Gender equality

f) Address risk of reversals

Consensus seeking

g) Reduce displacement of emissions

Responsiveness to feedback

Coordination

Capacity

The following are some of the key principles of good governance, but they have been
 LEARNING JOURNAL
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22

EXERCISE
scrambled. Unscramble the letters and take the letters in parenthesis to get the secret word.

ATACBICUONITLY A _( _) _ _ N _ _ _ _ _ _ _ _
WFOR LU ELA _ U _ _ _ F _ (_) _
CANITPROIPIAT (_) _ _ T _ _ _ _ A _ _ _ _ _
ECPRREOFMNA _ E _ _ _ _ _ (_) _ C _
FRTHEER PSI SCTORG _ _ S _ _ (_) _ _ O _ _ _ _ _ _ S
QGNYEE EDRAUILT _ _ _ D _ _ _ _ (_) L _ _ _
UCOT-RRNNAITPOI _ _ (_) _ - _ OR _ _ _ _ _ _ _
RPEYTRAACNNS _ _ _ N _ _ A _ _ _ _ (_)

Answer: _ _ _ _ _ _ _ _

KEY MESSAGES:
●● As there is no universal definition of good governance that is applicable to all people, societies
and cultures equally, it is simpler to understand the concept through its key principles, such as
participation, transparency, accountability, coordination and rule of law;
●● Governance principles are important for a country to ‘govern’, or manage, its REDD+ process
and a key feature contributing to the sustainability of national REDD+ strategies;
●● Governance principles can help to
●● understand underlying factors that enable drivers of deforestation and forest degradation,
or impede effective conservation, sustainable management of forests and enhancement of
forest carbon stocks;
●● develop successful and effective national REDD+ strategies and REDD+ PAMs, and to
implement and monitor them;
●● ensure that safeguards are addressed and respected; and
●● manage REDD+ funds in a transparent and accountable manner that avoids corruption risks.
 GOOD GOVERNANCE XII-23
23

WHAT FURTHER QUESTIONS DO YOU HAVE ABOUT THIS TOPIC?

 24 LEARNING JOURNAL
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26

Reference and resources

Governance-related material published by the UN-REDD Programme is available in English, Spanish and
French on the UN-REDD Programme Collaborative Online Workspace at http://www.unredd.net/. Key
materials include:
●● Ensuring Inclusive, Transparent and Accountable National REDD+ systems: the Role of Freedom of
Information (2012)
●● Guidance on Conducting REDD+ Corruption Risk Assessment (2013)
●● UN-REDD Support and Country Examples on Legal Preparedness for REDD+ (n.d.)
●● Ten simple slides on Freedom of information for REDD+ (2013)
●● Fast Facts: Participatory Governance Assessments for REDD+ (2013)
●● PGA Pilots Overview (2013)
●● Frequently Asked Questions about PGA (2013)
●● UN-REDD Viet Nam Programme Gender Analysis (2013c)
●● Implementing Gender-sensitive, Effective and Sustainable REDD+ Strategies (2012)
●● The Business Case for Mainstreaming Gender in REDD+ (2011)
●● Tenure and REDD+: Developing enabling tenure conditions for REDD+ (2013)
●● UN-REDD (2017). Methodological Brief on Gender. Available at: http://www.unredd.net/documents/
global-programme-191/gender-and-womens-empowerment-in-redd-1044/global-gender-resources/15952-
technical-resource-series-4-un-redd-methodological-brief-on-gender-low-resolution-version.html
●● UN-REDD Programme (2013). Guidance Note on Gender-Sensitive REDD+. Available at http://bit.ly/1TnF3ek

Other references and resources:

●● FAO/CFS (2012). Voluntary guidelines on the responsible governance of tenure of land, fisheries and forests
in the context of national food security. Available at: http://www.fao.org/docrep/016/i2801e/i2801e.pdf
●● FAO (2015). Legal paper N.92: Climate change and forestry legislation in support of REDD+. Available at:
http://www.fao.org/legal/publications/legal-papers/en/
●● FAO’s Sustainable Forest Management toolbox. Available at: http://www.fao.org/sustainable-forest-
management/toolbox/sfm-home/en/
●● Transparency International (2014). E-learning module: Building Integrity in REDD+ Available through: http://
courses.transparency.org/
●● UNDP (2010). Staying on Track; Tackling Corruption Risks in Climate Change. Available at: http://www.undp.
org/content/dam/aplaws/publication/en/publications/democratic-governance/dg-publications-for-website/
staying-on-track--tackling-corruption-risks-in-climate-change/Staying_on_Track_corruption_risk_in_CC.pdf
●● An online discussion group on legal preparedness for REDD+. Accessible at: https://dgroups.org/fao/law-for-
redd-plus/
 GOOD GOVERNANCE XII-27
27

Country studies and reports:

Latin America
●● Government of Guatemala (2015). Diagnóstico del Marco Jurídico ambiental guatemalteco en los
temas de derechos de propiedad sobre bienes y servicios ambientales y elementos de cambio
climático vinculados a REDD+ en el marco del Decreto 7-2013. Available at: http://www.marn.gob.
gt/Multimedios/1548.pdf
●● UNDP (2011). Local governance, anti-corruption and REDD+ in Latin America and the Caribbean.
Available at: http://www.undp.org/content/undp/en/home/librarypage/environment-energy/
climate_change/local_governanceanti-corruptionsandreddinlatinamerica.html

Asia and the Pacific

●● FAO (2012). Legal Paper N.89: Forest Carbon Tenure in Asia-Pacific: A comparative analysis
of legal trends to define carbon rights in Asia-Pacific. Available at: http://www.fao.org/legal/
publications/legal-papers/en/
●● UNDP (2015). The 2014 Indonesia Forest Governance Index. Available at: http://www.id.undp.org/
content/indonesia/en/home/library/environment_energy/executive-summary--the-2014-indonesia-
forest-governance-index.html
●● UN-REDD Programme (2013b). Results from the Philippines REDD+ Corruption Risk Assessment.
Available at: http://www.unredd.net/documents/un-redd-partner-countries-181/asia-the-pacific-
333/a-p-partner-countries/philippines-457/targeted-support-2431/technical-2536/10932-executive-
summary-philippines-redd-plus-corruption-risk-assessment-july-2013-10932.html
●● UN-REDD Programme (2014). Understanding drivers and causes of deforestation and forest
degradation in Nepal: potential policies and measures for REDD+. Available at : http://www.
unredd.net/documents/un-redd-partner-countries-181/asia-the-pacific-333/a-p-partner-countries/
nepal-408/targeted-support-2468/technical-2527/12118-understanding-drivers-and-causes-of-
deforestation-and-forest-degradation-in-nepal-potential-policies-and-measures-for-redd-12118.html
●● UN-REDD Programme (2015). Towards Better Forest Governance for REDD+ in Indonesia: An
Evaluation of the Forest Licensing System. Available at : http://www.unredd.net/documents/
global-programme-191/transparent-equitable-management-of-funds-809/anti-corruption-and-redd-
771/14181-an-evaluation-of-the-forest-licensing-system-in-indonesia-1.html
●● UN-REDD Programme (2016). Land tenure considerations in Sri Lanka’s proposed National REDD+
Strategy . Available at : http://www.unredd.net/documents/un-redd-partner-countries-181/15707-
land-tenure-considerations-in-sri-lankas-proposed-national-redd-strategy-1.html
 LEARNING JOURNAL
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Africa
●● UN-REDD Programme (2013a). A Corruption Risk Assessment for REDD+ in Kenya. Available at: http://
www.unredd.net/documents/policy-board-86/eleventh-policy-board-meeting-geneva-switzerland-8-
10-december-2013-3271/information-session-documents-3361/information-session-1-sharing-national-
experiences-3380/11890-a-corruption-risk-assessment-for-redd-in-kenya-11890.html
●● UN-REDD Programme/Government of Kenya (2013). Legal Report: Forest Governance, REDD+
and Sustainable Development in Kenya. Available at: http://www.unredd.net/documents/un-redd-
partner-countries-181/africa-335/kenya-321/studies-reports-and-other-publications-560/12796-
legal-report-on-forest-governance-redd-and-sustainable-development-in-kenya-12796.html
●● UN-REDD Programme/Government of Kenya (2013). Final recommendations to enact legal reforms
for REDD+ implementation in Kenya. Available at: http://www.unredd.net/documents/un-redd-
partner-countries-181/africa-335/kenya-321/studies-reports-and-other-publications-560/12797-final-
recommendations-to-enact-legal-reforms-for-redd-implementation-in-kenya-12797.html
●● UN-REDD Programme (2016). Diagnostic approfondi de la situation foncière et du cadre législatif
et réglementaire foncier béninois pour la mise en œuvre de la REDD+. Available at: http://www.
unredd.net/documents/redd-papers-and-publications-90/15704-analyse-de-la-situation-fonciere-
des-forets-et-feuille-de-route-pour-la-mise-en-place-de-la-redd-a-madagascar.html

Cross-regional
●● UN-REDD Programme (2013). Sharing National Experiences in Strengthening Transparency,
Accountability and Integrity for REDD+. Showcasing DRC, Kenya, Nepal and the Philippines.
Available at: http://www.unredd.net/documents/policy-board-86/eleventh-policy-board-
meeting-geneva-switzerland-8-10-december-2013-3271/information-session-documents-3361/
information-session-1-sharing-national-experiences-3380/11902-sharing-national-experiences-
on-transparency-accountability-and-integrity-for-redd-11902.html?path=policy-board-86/eleventh-
policy-board-meeting-geneva-switzerland-8-10-december-2013-3271/information-session-
documents-3361/information-session-1-sharing-national-experiences-3380

●● UN-REDD Programme (2013). Legal Analysis of Cross-cutting Issues for REDD+ Implementation:
Lessons Learned from Mexico, Viet Nam and Zambia. Available at: http://www.unredd.net/
documents/global-programme-191/governance-452/legal-and-regulatory-frameworks-for-redd-
1267/10081-legal-analysis-of-cross-cutting-issues-for-redd-implementation-lessons-learned-from-
mexico-viet-nam-and-zambia-10081.html
 LEARNING JOURNAL
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United Nations Institute

for Training and Research

UN-REDD Programme Secretariat

International Environment House,

11-13 Chemin des Anémones,
CH-1219 Châtelaine, Geneva, Switzerland.

Email: [email protected]
Website: www.un-redd.org
Workspace: www.unredd.net