REDD+ Implementation REDD+ Implementation

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Review of of Policy Policy Review Frameworks for for Effective Effective Frameworks

REDD+ Implementation in the the Context Context of of the the in and Other Other and National Action Action Plans Plans National

Florence Bernard, Sabrina Chesterman, Constance L. Neely, Roxana Ramos Delgado, Valentina Robiglio, Gamma Galudra and Meine van Noordwijk

January 2018

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Bernard F, Chesterman S, Neely CL, Ramos Delgado R, Robiglio V, Gauldra G, van Noordwijk M. 2018. Review of Policy Frameworks for Effective REDD+ Implementation in the Context of the SDGs and Other National Action Plans. Nairobi: World Agroforestry Centre World Agroforestry Centre PO Box 30677 — 00100 Nairobi, Kenya Tel: +254 20 7224000 Fax: +254 20 7224001 Email: [email protected] Website: www.worldagroforestry.org © The World Agroforestry Centre (2018) ISBN: 978-9966-108-03-6 Graphic design and layout: Jodie Watt Acknowledgement of financial support: The report has been funded by the United Nations Food and Agriculture Organization (FAO). The authors are grateful for this valuable support. The report is produced by the World Agroforestry Centre in collaboration with the United Nations Food and Agriculture Organization (FAO) and is considered a Global Public Good. Information appearing in this publication may be quoted or reproduced without charge, provided the source is acknowledged. No use of this publication may be made for resale or other commercial purposes. All images remain the sole property of their source and may not be used for any purpose without written permission of the source. Views expressed in this publication are those of the authors and do not necessarily reﬂect the views of the World Agroforestry Centre. The geographic designation employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the World Agroforestry Centre concerning the legal status of any country, territory, city or area or its authorities, or concerning the delimitation of its frontiers or boundaries.

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Acknowledgements The authors would like to thank Irina Kouplevatskaya-Buttoud, Kristin DeValue, Serena Fortuna, Anne Branthomme, Quentin Renard, Minoarivelo Randrianarison, Hector Cisneros, Angel Parra Aguiar, Adam Gerrand and Bambang Arifatmi of the Food and Agriculture Organization of the United Nations (FAO) for their financial and intellectual support to the case studies in the Democratic Republic of the Congo, Indonesia and Peru. Thanks also go to Todd Rosenstock and Ingrid Oborn of the World Agroforestry Centre (ICRAF) and the additional financial support provided by ICRAF and the CGIAR Climate Change, Agriculture and Food Security (CCAFS) Programme. The authors also thank the graphic designer, Jodie Watt.

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Acronyms AMAN

Indigenous People’s Alliance of Archipelago (Indonesia)

AMDAL

Environmental Impact Analysis (Indonesia)

APCI

Peruvian International Cooperation Agency

APL

Non-Institutionally Recognised Forest

BAPPEDA

Provincial Planning and Development Agency (Indonesia)

BAPPENAS

National Planning and Development Agency (Indonesia)

BAU

Business as usual

BIG

Geospatial Information Agency (Indonesia)

BUR

Biennial Update Report

BKPM

Indonesia Investment Coordinating Board

BP REDD+

Governing Body of REDD+ (Indonesia)

CAFI

Central African Forest Initiative

CCBS

Climate, Community and Biodiversity Standards

CEPLAN

National Strategic Planning Centre (Peru)

CIAT

International Centre for Tropical Agriculture (Colombia)

CN-REDD

National REDD Coordination (DRC)

COP

Conference of Parties

COP 18

2012 United Nations Climate Change Conference

COP 21

2015 United Nations Climate Change Conference

CT

Coordinating thematic groups

CSR

Corporate Social Responsibility

DEVIDA

National Commission for Development and Life Without Drugs (Peru)

DGCCD

Directorate General of Climate Change and Desertification (Peru)

DKN

National Forest Council (Indonesia)

DNPI

National Council of Climate Change (Indonesia)

DRC

Democratic Republic of the Congo

EAP

Economically Active Population

ENBCC

National Forest and Climate Change Strategy (Peru)

FAO

Food and Agriculture Organization of the United Nations

FCMM/MMCB

Forest Coverage Monitoring Module (Peru)

FCPF

Forest Carbon Partnership Facility

FIP

Forest Investment Programme

FMU

Forest Management Unit (Indonesia)

FONAREDD

REDD+ National Fund (DRC)

FPIC

Free, Prior and Informed Consent

FREL

Forest Reference Emission Level

FRL

Forest Reference Level

GDP

Gross Domestic Product

GHG

Greenhouse gas emissions

GPRSP

Growth and Poverty Reduction Strategy Paper (DRC)

GoI

Government of Indonesia

GORE

Regional Governments (Peru)

GTM

Multi-Sectoral Working Group (Peru)

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GPTI

Working Group on Indigenous Policies (Peru)

Ha

Hectares

HCS

High Carbon Stock

HCV

High Conservation Values

HDI

Human Development Index

HLPF

High-level political forum

HuMa

Association for Community and Ecology-based Reform

IAS

Incentive Allocation System

ICCTF

Indonesian Climate Change Trust Fund

ICEL

Indonesian Centre for Environmental Law

ICRAF

World Agroforestry Centre, formerly International Centre for Research in Agroforestry

IGI

Indonesia Governance Index

INDC

Intended Nationally Determined Contribution

INEI

National Institute of Statistics and Informatics (Peru)

IPOP

Indonesia Palm Oil Pledge

JAM

Joint Adaptation and Mitigation

JDI/DCI

Joint Declaration of Intent

KLHS

Strategic Environmental Review (Indonesia)

KPK

Corruption Eradication Commission (Indonesia)

LoI

Letter of Intent

LULUCF

Land use, land-use change and forestry

MAPS

Mainstreaming, Acceleration, and Policy Support

MCLP

Poverty Reduction Roundtable (Peru)

MDGs

Millennium Development Goals

MECNT

Ministry of Environment, Conservation of Nature and Tourism (DRC)

MEDD

Ministry of Environmental and Sustainable Development (DRC)

MEF

Ministry of Finance (Peru)

MIDIS

Ministry of Development and Social Inclusion (Peru)

MINAGRI

Ministry of Agriculture and Irrigation (Peru)

MINAM

Ministry of the Environment (Peru)

MINCU

Ministry of Culture (Peru)

MoASP

Ministry of Agrarian and Spatial Planning (Indonesia)

MoE

Ministry of Environment (Indonesia)

MoEF

Ministry of Environment and Forestry (Indonesia)

MoF

Ministry of Forestry (Indonesia)

MRV

Measurement, Reporting and Verification

MUNI

Local Governments (Peru)

NAMA

Nationally Appropriate Mitigation Actions

NBAP

National Biodiversity Action Plan

NDC

Nationally Determined Contribution

NFI

National Forest Inventory

NFMS

National Forest Monitoring System

NS/AP

National Strategy or Action Plan

NSDP

National Strategic Development Plan

OCDD

Congolese Observatory of Sustainable Development

ODI

Overseas Development Institute

ODS

Sustainable Development Objectives (Peru)

OECD

Organization for Cooperation and Development

OMP

One map policy

PA

Paris Agreement

PAMs

Policies and Measures

PAKLIM GIZ

Policy Advice for Environment and Climate Change

PCI

Principles, criteria and indicators

ACRONYMS

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ACRONYMS

PCM

Presidency of the Council of Ministers of Peru

PCSD

Policy Coherence for Sustainable Development Framework

PEDN

National Strategic Development Plan (Peru)

PGI

Partnership Government Index (Indonesia)

PHPL

Certificate of Sustainable Production Forest Management (Indonesia)

PIP

Public Investment Projects

PIPPIB

Moratorium Indicative Map (Indonesia)

PIRDAIS

Budgetary Programme for Integral and Sustainable Alternative Development (Peru)

PLANAA

National Plan for Environmental Action (Peru)

PLANGRACC

Risk Management Plan for Agriculture and Climate Change (Peru)

PNCBMCC

National Forest Conservation Programme for the Mitigation of Climate Change (Peru)

PNIA

National Agricultural Investment Plan (DRC)

PPIA REDD+

Plan proposal for stakeholder involvement in REDD+ (Peru)

PRISAI

Principle, Criteria and Indicators for REDD+ Safeguards in Indonesia

ProKlim

National Movement of Local Climate Change Control to Reduce GHG Emissions and Increase Community Resilience (Indonesia)

PSD

Private Sector Development (DRC)

RAD-GRK

Regional/Provincial Action Plan - Greenhouse Gas Emission Reduction (Indonesia)

RAN-API

National Adaptation Action Plan on Climate Change (Indonesia)

RAN-GRK

National Action Plan for Greenhouse Gas Emission Reduction (Indonesia)

RBPs

Results-based payments

REDD+

Reducing emissions from deforestation and forest degradation, and the role of conservation, sustainable management of forests and enhancement of forest carbon stocks in developing countries

RIA

REDD+ Indigenous Amazonians

RPJMD

Regional Long-Term Development Plan (Indonesia)

RPJMN

National Medium-Term Development Plan (Indonesia)

RPP

Readiness Preparation Proposal

SDGs

Sustainable Development Goals

SDSN

Sustainable Development Solutions Network

SERFOR

National Forest and Wildlife Service (Peru)

SERNANP

National Service of Natural Protected Areas (Peru)

SFM

Sustainable Forest Management

SFM-PK

Sustainable Forest Management Performance Appraisal System (Indonesia)

SIDIK

Vulnerability Index Information System (Indonesia)

SIGN SMART

National GHG Inventory System - Simple, Easy, Accurate, Compact, Transparent (Indonesia)

SIPHPL

Sustainable Forest Management System (Indonesia)

SiPongi - KMS

Karhutla Monitoring System (Indonesia)

SIS

Safeguards Information System

SIS REDD+

Safeguards Information System for REDD+ (Indonesia)

SMEs

Small and Medium Enterprises

SNIFF

National Forest and Wildlife Information System (Peru)

SOFO

Indonesian National Strategy for REDD+

STRANAS REDD+

State of the World’s Forests

SVLK

Timber Legality Assurance System (Indonesia)

TLV

Timber Legality Verification (Indonesia)

UN/ONU

United Nations

UNDP

United Nations Development Programme

UNFCCC

United Nations Framework Convention on Climate Change

VCS

Verified Carbon Standard

VNR

Voluntary National Review

WG

Working group

WWF

World Wildlife Fund

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Executive summary The Sustainable Development Goals (SDGs), as part of Agenda 2030, were established in 2015 to achieve ambitious targets around the social, environmental and economic dimensions of sustainability. The 2030 Agenda acknowledges the interconnection and complexity of challenges and recognises that achieving global goals and targets cannot be addressed through single sectoral approaches alone. These intrinsically inter-related development goals require functional coordination across thematic sectors, processes for multi-stakeholder collaboration, and financing mechanisms to accelerate their achievement, taking into account technical and institutional requirements to enable comprehensive approaches and ownership at the national level.

The SDGs have raised a collective international ambition for the sustainable management and conservation of forests, an ambition, which is significant for the United Nations Framework Convention on Climate Change (UNFCCC). Prior to the adoption of the SDGs, many governments had existing policy objectives and commitments articulated in national and sectoral strategies and plans as well as in commitments to pre-existing international agreements. Since 2005, international approaches related to the sustainable management of forests were developed under the programme on Reducing Emissions from Deforestation and Forest Degradation (REDD). Later REDD was expanded to encapsulate the role of the conservation and enhancement of forest carbon stocks and sustainable management of forests in developing countries (REDD+). REDD+ is a climate change mitigation approach negotiated by Parties under the framework of the UNFCCC, which provides for developing countries to qualify for results-based payments for reducing greenhouse gas (GHG) emissions from the forest sector. Momentum continued with emission reduction measures such as the Nationally Appropriate Mitigation Actions (NAMAs) in the context of sustainable development and the Intended Nationally Determined Contributions (INDCs), aimed at tracking progress, were submitted by all Parties in advance of COP 21 in Paris in 2015. Nationally determined contributions (NDCs) are considered paramount to achieving long-term goals and express the efforts by each country to reduce national emissions and adapt to the impacts of climate change. There are significant, potentially mutually supportive linkages among the goals of REDD+ and Agenda 2030, providing a timely and critical opportunity to review policy frameworks for effective implementation of REDD+ in the context of SDGs, NDCs and other national action plans to ensure cross-sectoral coordination, coherent and inclusive outcomes. REDD+ is most closely related to SDG 13 (take urgent action to combat climate change and its impacts) and SDG 15 (protect, restore and promote sustainable use of terrestrial ecosystems), which include the ambitious target of halting deforestation by 2020. The World Agroforestry Centre (ICRAF) working with the Food and Agriculture Organization of the United Nations’ (FAO) Forestry Department, undertook a detailed review of policy frameworks in three case study countries, namely the Democratic Republic of the Congo (DRC), Indonesia and Peru. The case study analysis sought to enhance understanding of how REDD+ contributes to Agenda 2030 and how REDD+ and SDGs can be integrated within countries’ policy frameworks. An analytical framework served as the guide for national level analyses to describe the country setting, overall strategic framework for SDGs and REDD+, policy inter-linkages, and the enabling environment. The analytical framework was used to review coherence, consistency and complementarity of policy and governance elements relevant for effective REDD+ implementation and alignment with SDGs and other national action plans.

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EXECUTIVE SUMMARY

To advance REDD+ objectives in the SDG context, direct and indirect relationships between the elements of REDD+, REDD+ actions and specific SDGs, potential synergies and areas of contention and conditions, process and governance arrangements for each of the country case studies are illustrated and discussed. A cross-country synthesis and relevant literature was used to highlight emerging insights and develop recommendations for national governments to enhance mutual support among SDG and REDD+ frameworks. Key recommendations focus on: a) the important but different types of synergies between REDD+ and the SDGs that can be capitalised upon at the country level; b) the value of a well-developed national strategy for SDG 17 (means of implementation) to strengthen synergies across SDGs and with REDD+; c) the importance of cross-sectoral coordination among ministries and agencies based in a systems approach; d) the significance of effective local to national level linkages and devolution of policies and processes with articulated roles, responsibilities and accountabilities; e) authentic multi-stakeholder processes that ensure the involvement of actors with land-based livelihoods; f) the critical importance of knowledge sharing and evidence based coordination, planning and implementation of REDD+ and Agenda 2030; and harmonisation of financing mechanisms. Related to these, detailed recommendations relevant to other countries are presented within the context of policy inter-linkages and dimensions of an enabling environment. As part of the analysis, a policy checklist was developed to guide countries in understanding the strengths, opportunities and gaps in integrating REDD+ and the SDGs for increased synergy and accelerated impact. Key questions within the checklist include:

• • • • • • • •

• • • •

Is there a framework in place to demonstrate the synergies of REDD+, NDCs, and the SDGs (beyond SDG 13 and 15)? What policies currently in place can support the integration of REDD+ and the SDGs? What mechanisms, coordination bodies and incentives are in place to coordinate planning and implementation across sectors and actors associated with REDD+ and SDGs? Is there political support at the highest level for cross-sectoral integration? Are roles and responsibilities clearly defined to enhance synergies and reduce redundancies? What mechanisms are in place for devolving the coordination and implementation of REDD+ and SDG related strategies to provincial or sub-national level? What engagement structures are in place to support the effective participation of non-state actors including forest-based communities, women, youth, non-governmental actors and SMEs, among others, in planning, implementation and monitoring? What kind of platform(s) is/are in place to serve as a robust information management system to support knowledge sharing of projects and programmes, evidence, statistics and monitoring information? Are mechanisms in place for ensuring local level information is fed into national level reporting and policy development? What capacities are in place to support effective cross-sectoral coordination and evidence based decision-making? What communications mechanisms are in place to support different jurisdictional levels (both nationally and sub-nationally) in support of accelerated impacts? What mechanisms are in place for appropriate monitoring, evaluation, learning and accountability? How are jointly agreed indicators being established and monitored? How can/are funds being mobilised in support of the SDGs also support REDD+, and vice versa?

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Table of contents Acknowledgements

i

Acronyms

ii

Executive Summary

v

Background and Introduction

4

Key questions for the study

5

A brief history of REDD+ and the Sustainable Development Goals

6

Overview of the Sustainable Development Goals - SDGs

7

Overview of REDD+ under the UNFCCC

8

Warsaw Pillars

8

National REDD+ strategies or action plans

9

The Cancun safeguards

10

How can REDD+ contribute to the achievement of SDGs, in alignment with other national action plans and policies?

10

The inter-relationships between REDD+ actions and SDG targets

11

Conceptual Framework

20

Analytical Framework to guide country case studies

22

Country Setting

22

Strategic framework and priority settings

22

Policy inter-linkages

22

Interlinkages across governance levels

22

Coordination mechanisms

22

Monitoring

22

Enabling environment

23

Institutional setting

23

Financial and operational resources

23

Multi-stakeholder involvement

23

Case study analysis of policy frameworks in the Democratic Republic of the Congo, Indonesia and Peru

24

Objectives

24

Methodology

24

Country Setting

26

Trends in forest change

26

Key drivers of deforestation and forest degradation

28

Strategic framework and priority settings

29

SDG Prioritisation

29

REDD+ Process

32

Policy inter-linkages

39

National plans

39

Sectoral plans

45

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CONTENTS

How does the REDD+ agenda contribute to the prioritised SDG national package as well as its coherence with the NDC?

46

Interlinkages across governance levels

49

Coordination mechanisms

53

Monitoring

55

Enabling environment

57

Institutional setting

57

Financial and operational resources

60

Multi-stakeholder involvement

62

Recommendations for effective implementation of REDD+ and SDGs

66

General Insights

66

Recommendations drawing upon the analytical framework

68

Policy Interlinkages: Coordination mechanisms

68

Policy Interlinkages: Linkages across governance levels

68

Policy Interlinkages: Monitoring

69

Enabling Environment: Institutional Setting

69

Enabling Environment: Financial and Operational Resources

70

Enabling Environment: Multi-stakeholder involvement

71

Recommendations for effective implementation of REDD+ with reference to specific SDGs across the three country case studies

72

Self-assessment checklist for policy makers

79

References

80

Appendices

84

Appendix 1: Summary of relevant policies reviewed Peru

84

Appendix 2: Identification of SDGs and SDG targets for key programmes and projects under MEDD leadership in the DRC

88

Appendix 3: Number of prioritised targets and indicators by SDG in the DRC

92

Appendix 4: Eight objectives of the Letter of Intent signed by the DRC government and CAFI

93

Appendix 5: Comparison of the CAFI 2020 Milestones with SDGs and NSDP indicators in the DRC

94

Appendix 6: Integration of REDD+ in the key national and sectoral plans in DRC

96

Appendix 7: Milestones and Intermediate Milestones for the CAFI programme

100

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Figures Figure 1: Timeline of the development of REDD+ and the SDGs

6

Figure 2: Phases of REDD+ (http://www.fao.org/redd/overview/en/)

9

Figure 3: Conceptual Framework to advance cross sectoral coordination for REDD+ in the context of the SDGs (adapted from Neely et al., 2017, Bastos Lima et al., 2017 and IIED, 2015)

21

Figure 4: Attendees at the DRC stakeholder workshop in Kinshasa (August 2017)

25

Figure 5: Photo of stakeholder workshop hosted in Jakarta, Indonesia (October 2017)

25

Figure 6: Photo of stakeholder workshop hosted in Lima, Peru (October 2017)

25

Figure 7: Average carbon stock (colour block) in 2010 and average annual deforestation rate (hatched) over the period 2000-2010

26

Figure 8: Extent of forest stock across mainland Indonesia

29

Figure 9: REDD+ Strategic Vision in the DRC by 2035 (MECNT, 2012)

32

Figure 10: The National REDD+ Framework Strategy and its seven pillars (MECNT, 2012)

33

Figure 11: Overall budget for the DRC REDD+ Investment Plan (MECNT, 2012)

33

Figure 12: Relationships between climate policy, land cover/land use and ongoing challenges to reconcile social and environmental policy objectives in Indonesia

43

Figure 13: Key sectors of the INDC in DRC

47

Figure 14: Map of the provinces in the DRC as of July 2015

49

Figure 15: Key recommendations for integrating REDD+ with SDGs at national level (Adapted from IIED, 2015)

71

Tables Table 1: The 17 Sustainable Development Goals

7

Table 2: Explanation of the 5 REDD+ Activities (REDD+ Academy, 2017)

8

Table 3: Relationships between REDD+ and SDG targets and overall goals

13

Table 4: Trends in forest change in the DRC in 1990–2015 (FAO, 2006; 2010; 2015)

27

Table 5: Framework of the monitoring system for the SDGs in Peru administered by INEI (CEPLAN, 2017)

31

Table 6: The eight programmes adopted by FONAREDD

34

Table 7: Qualitative Assessment of Existing Instruments as REDD+ Safeguards as the Basis for SIS development (Masripatin, 2017)

36

Table 8: Contribution of the REDD+ Investment Plan to prioritised SDGs in DRC

40

Table 9: Summary of relevant policies that support REDD+, NDC and SDGs implementation

42

Table 10: Recommendations and potential disabling aspects for REDD+ implementation as aligned to relevant SDGs

44

Table 11: Analysis of identified public investment initiatives and deforestation risk

52

Table 12: Comparison of MRV indicators for REDD+, INDC, SDG and NSDP in the DRC

56

Table 13: Stakeholder context in Indonesia

63

Table 14: Recommended actions or existing policy processes that can support specific SDGs in the DRC, Peruvian and Indonesian context

73

Table 15: Checklist for developing greater coordination and integration of REDD+ and the SDG

79

Boxes Box 1: REDD+ Institutional Framework in the DRC

58

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01

Background and introduction Governance for sustainable development has become a complex arena of multilateral environmental agreements, managed by governments and an array of international institutions. Development goals, objectives and targets are intrinsically interrelated and subsequently require functional coordination across thematic sectors and multi-stakeholder collaboration to accelerate their achievement. The comprehensive framework of the Sustainable Development Goals (SDGs) outlines key elements of the 2030 Agenda for sustainable development and lays out the principles and targets to guide development in the coming decade. The SDGs came into effect in January 2016, and serve as the broad framework for global sustainable development (including the environment) until 2030. The 17 goals (which include 169 specific targets and linked indicators) cumulatively aim to end poverty, protect the planet, and ensure prosperity for all (UN, 2015). The new global goals and the broader sustainability agenda give greater attention to environmental issues (Sachs, 2012; Griggs et al., 2014). In particular, the SDGs have raised a collective international ambition for the sustainable management and conservation of forests, an ambition, which is highly significant for the United Nations Framework Convention on Climate Change (UNFCCC) (Bastos Lima et al., 2015). Prior to the adoption of the SDGs, many governments had existing policy objectives and commitments that are articulated in a variety of national and sectoral strategies and plans, as well as in commitments to pre-existing international agreements. Since 2005, a number of international approaches related to the sustainable management of forests have been developed, namely Reducing Emissions from Deforestation and Forest Degradation (REDD). This was expanded to encapsulate the role of conservation, sustainable management of forests and enhancement of forest carbon stocks in developing countries (REDD+). REDD+ is a climate change mitigation approach negotiated by Parties under the framework of the UNFCCC. It provides for developing countries to qualify for results-based payments for reducing carbon emissions from the forest sector. This provided the momentum for further climate change mitigation measures including for developing country Parties to take Nationally Appropriate Mitigation Actions (NAMAs) in the context of sustainable development. NAMAs refer to any action that reduces emissions in developing countries, and are prepared under the umbrella of a national governmental initiative. They can be policies directed at transformational change within an economic sector, or actions across sectors for a broader national focus (UNFCCC, 2017). As part of this Intended Nationally Determined Contributions (INDCs) were submitted by all Parties in advance of COP 21 in Paris in 2015. INDCs are aimed at tracking progress and achieving a collective and progressive ambition level sufficient to limit global warming to below 2°C relative to preindustrial levels, in line with the aim of the Paris Agreement. Adopted in 2015, this global climate deal requires countries to submit Nationally Determined Contributions (NDCs) that detail plans of how they intend to achieve climate goals based on their national circumstances. The INDCs1 spell out the actions countries intend to take to address climate change, both in terms of adaptation and mitigation, and provide the opportunity to follow a more integrated approach by aligning past commitments and actions through NAMAs and REDD+ activities.

1

INDCs become NDCs when a country finalises and formally submits them as an NDC, and ratifies the Paris Agreement.

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BACKGROUND AND INTRODUCTION

This development of international agreements, with SDGs based on a global scale for all countries and across multiple development goals, and REDD+ targeting developing countries illustrates an indicative linkage and synergy in proposed activities and ambitions. The fact that the 2030 Sustainable Development Agenda explicitly recognises the UNFCCC as being non-subordinate to the SDGs (UN, 2015) means there is both scope for synergy but also for national governments in prioritising national development goals, and that there are many international agreements and targets to take heed of and a complex nature of targets and prioritisation. In the processes and commitments of Agenda 2030, the interconnection and complexity of global challenges and policy responses, and potential challenges for national governments has come to the fore as an issue. The multiplicity of multilateral environmental agreements, which are highly cross‐sectoral and multisectoral in nature, means that enhancing policy coherence is a persistent challenge in international development and effective governance (OECD, 2016). Within this complexity, in order to avoid the duplication of efforts, inefficient use of resources, and conflicting local policies, it is crucial that synergies between such agreements are realized (Bastos Lima et al., 2017). There are significant, potentially mutually supportive linkages among the goals of REDD+ and Agenda 2030. Therefore, there is now a timely and critical opportunity to review policy frameworks for effective implementation of REDD+ in the context of SDGs, NDCs and other national action plans to ensure cross-sectoral coordination and coherent and inclusive outcomes. Through detailed country level analysis an opportunity exists for greater understanding where implementation strategies can be aligned to avoid the duplication of efforts, inefﬁcient use of resources and conflicting local policies. Working with the Food and Agriculture Organization of the United Nations’ (FAO) Forestry Department, the World Agroforestry Centre (ICRAF) undertook a detailed a review of policy frameworks in three case study countries; namely the Democratic Republic of the Congo (DRC), Indonesia and Peru. These countries, representing three regions, were chosen jointly through iterative consultation among FAO and ICRAF representatives in headquarters and regional offices, and REDD+ country focal points. Key criteria that guided the choice of the DRC, Indonesia and Peru included current REDD+ country status and activities, ICRAF in-country presence and REDD+ expertise, established relationships with their respective governments, indicative relevant policy processes, and the potential for linking SDGs, REDD+ and national action plans to support crosssectoral, coherent and inclusive outcomes for sustainable development. The goal of this study is to use the country case studies to evaluate and produce recommendations for other national governments and policy implementers and to ensure SDG and REDD+ frameworks can influence one another. Furthermore, the study aims to identify potential linkages, trade-offs and synergies.

Key questions for the study • • • • •

How does REDD+ fit within Agenda 2030, and how can REDD+ contribute to the achievement of SDGs? How are REDD+ and SDGs integrated within countries’ policy frameworks? How might SDGs contribute to an enabling environment for REDD+ to improve the impact of REDD+? What are the key elements to consider in ensuring policies are coherent, cross-sectoral and promote the effectiveness of REDD+ in the context of SDGs? What are the current challenges in this matter? How can current, broader SDG discussions build on what has been initiated or achieved under REDD+ and NAMAs/NDC readiness processes and plans?


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A brief history of REDD+ and the Sustainable Development Goals

Figure 1: Timeline of the development of REDD+ and the SDGs

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Overview of the Sustainable Development Goals - SDGs In 2015, countries around the world reached a global consensus and adopted Agenda 2030 with the goal of advancing the promotion of people, planet and prosperity (UN, 2015). Agenda 2030 includes the 17 Sustainable Development Goals, which are underpinned by 169 targets intended to achieve the ambitious agenda of addressing social, environmental and economic dimensions of sustainability in an integrated way (Table 1). The 2030 Agenda acknowledges the interconnection and complexity of challenges and recognises that achieving global goals and targets cannot be addressed through single sectoral approaches alone (Costanza et al., 2016, Neely et al., 2017). Table 1: The 17 Sustainable Development Goals SUSTAINABLE DEVELOPMENT GOALS (SDGS) End poverty in all its forms everywhere (No Poverty)

End hunger, achieve food security and improved nutrition, and promote sustainable agriculture (Zero Hunger) Ensure healthy lives and promote wellbeing for all at all ages (Good Health and WellBeing) Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all (Quality Education) Achieve gender equality and empower all women and girls (Gender Equality)

Ensure availability and sustainable management of water and sanitation for all (Clean Water and Sanitation) Ensure access to affordable, reliable, sustainable and modern energy for all (Affordable and Clean Energy) Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all (Decent Work and Economic Growth) Build resilient infrastructure, promote inclusive and sustainable industrialisation and foster innovation (Industry, Innovation and Infrastructure) Reduce inequality within and among countries (Reduced Inequalities)

Make cities and human settlements inclusive, safe, resilient and sustainable (Sustainable Cities and Communities) Ensure sustainable consumption and production patterns (Responsible Consumption and Production) Take urgent action to combat climate change and its impacts (Climate Action)

Conserve and sustainably use the oceans, seas and marine resources for sustainable development (Life Below Water) Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss (Life on Land) Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels (Peace, Justice and Strong Institutions) Strengthen the means of implementation and revitalise the global partnership for sustainable development (Partnerships for the Goals)

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Agenda 2030, through its comprehensive set of targets, clearly places equal importance on people and resources, with no targets taking precedence over one another, and each country selecting the most relevant national targets in line with their development objectives and needs. Of key importance is SDG 17, which is aimed at strengthening the means of implementation for promoting integration through appropriate governance arrangements, processes for multi-stakeholder engagement, and financing mechanisms to support synergy across the goals (UNGA, 2014). This needs to be undertaken taking into account technical and institutional requirements to enable comprehensive approaches and ownership at the national level. Agenda 2030 encourages countries to carry out regular reviews of progress at both the national and sub-national level as input to the global review by the high-level political forum (HLPF). Voluntary national reviews (VNRs) are intended to facilitate learning to enhance implementation of Agenda.

Overview of REDD+ under the UNFCCC The UNFCCC (2017) defines REDD+ as “an approach of public policies and positive incentives to reduce emissions from deforestation and forest degradation; and the role of conservation, sustainable management of forests and enhance forest carbon stocks in developing countries”. The intention of REDD+ is to provide positive incentives to developing countries to contribute to climate change mitigation through activities in the forestry and land-use sectors (REDD+ Academy, 2015). The five eligible REDD+ activities cover three aspects: reduction of emissions, enhancement of the rate of sequestration, and maintaining existing forest carbon reservoirs. They interact with other climate change policy domains, such as reducing vulnerability or active adaptation, within the overarching ‘common but differentiated responsibility’. The five REDD+ activities are described in detail in Table 2. Table 2: Explanation of the 5 REDD+ Activities (REDD+ Academy, 2017) ACTIVITY

EXPLANATION

EXAMPLES

Reducing emissions from deforestation.

Deforestation is the conversion from forest land to non-forested land.

Reduce the rate of forest loss due to expansion of commercial agriculture.

Reducing emissions from forest degradation.

Degradation is the human-induced loss of carbon stocks within forest land that remains forest land.

Reduce the rate or intensity of forest degradation due to unsustainable logging or fire.

Conservation of forest carbon stocks.

Refers to any effort to conserve forests.

Strengthen or expand the protected area network. Establish long-term commitments to forest conservation by signing conditional payment agreements with stakeholders.

Sustainable management of forests.

Generally refers to bringing the rate of extinction in line with the rate of natural growth or increment to ensure near-zero net emissions over time.

Increase area of forest land under sustainable management.

Enhancement of forest carbon stocks.

Refers to (1) non-forest becoming forest land and (2) the enhancement of forest carbon stocks in forest land remaining forest land (for example, in the case of recovering degraded forests).

Increase area under reforestation and afforestation. Allow degraded forests to regenerate. Increase area of degraded forest under enrichment planting.

For the purposes of the study, deforestation is defined as per the UNFCCC (2010) as the direct human-induced conversion of forested land to non-forested land, and further elicited by FAO (2010) as the conversion of forest to another land use or the long-term reduction of the tree canopy cover below a minimum ten percent threshold.

Warsaw Pillars REDD+ actions, or policies and measures (PAMs), are the actions undertaken or mandated by government to implement any of the five REDD+ activities, reflected in countries’ national REDD+ strategies or action plans (REDD+ Academy, 2015). The three phases of REDD+, which can be overlapping, are shown in Figure 2. (See REDD+ Reducing Emissions from Deforestation and Forest Degradation at http://www.fao.org/redd/overview/en/)

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The four main elements required to access results-based payments for REDD+ as agreed under the UNFCCC, regardless of financing mechanism, are together known as the Warsaw Pillars:

1

National Strategy or Action Plan (NS/AP) - describes the actions to be taken to reduce emissions and/or enhance removals in the implementation of REDD+.

2

National Forest Monitoring System (NFMS) for forest and land monitoring. Elements include remote sensing, field-based forest inventory, and national greenhouse gas (GHG) inventory. An NFMS in the REDD+ context involves capacities to monitor forest-area change, to produce national forest inventories (NFIs) and to report on carbon stocks for the different pools.

3

Safeguards and Safeguard Information Systems (SIS) – involving addressing and respecting the Cancun safeguards, developing a system for providing information on how the Cancun Safeguards are being addressed and respected, and preparing summaries of safeguards information (UNFCCC, 2011).

4

Forest Reference Emission Levels (FREL) or Forest Reference Levels (FRL) benchmarks for assessing the performance of each country in mitigating climate change through REDD+ implementation. (See http://www.fao.org/redd/areas-of-work/en/)

Figure 2: Phases of REDD+ (http://www.fao.org/redd/overview/en/)

National REDD+ strategies or action plans REDD+ actions, also known as ‘policies and measures’ or ‘PAMs’, form a key component of a country’s NS/AP. In order to address multiple direct and underlying drivers, REDD+ actions that a country chooses to implement are diverse and context-specific. Some examples of possible REDD+ actions within the forestry sector include: • Strengthening of protected area networks and improved management (including communitybased management);

• • • •

Strengthening of forest law enforcement combined with improved forest monitoring and traceability; Implementation of conservation concessions; Support for community forestry; Support for forest certification or reduced impact logging.

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Examples for actions that involve stakeholders outside the forestry sector as such include: • Removal of subsidies for deforestation and forest degradation or land clearance taxation (fiscal framework);

• • •

Implementation of sustainable biomass energy programmes;

•

Improvement of tenure security, including indigenous peoples’ lands, women’s and men’s land use and access rights, and agricultural intensification (when tied to land use planning, as well as conditional incentives or enforcement);

• • •

Afforestation/reforestation of degraded land (including agroforestry); Implementation of payments for environmental services programmes or other types of incentive schemes;

Support for microcredit programmes to improve off-farm or sustainable business development and employment; Implementation of forest-friendly national or sub-national land use planning, including infrastructure development; Funding of fire prevention programmes. (Source: REDD+ Academy, 2017)

The Cancun safeguards Safeguards are processes or policies designed to mitigate risks (REDD+ Academy, 2015). The set of seven safeguards agreed under the UNFCCC to apply to REDD+ are to be ‘promoted and supported’ when undertaking REDD+ activities, in order to prevent the harming of people and the environment while enhancing social and environmental benefits. This is important in ensuring that REDD+ actions, results and finance endure in the long term, and contribute to national development goals as well as sustainable development and green growth strategies (UN-REDD Programme Safeguards Coordination Group, 2016). These safeguards were agreed at the UNFCCC COP in Cancun in December 2010 and are known as the ‘Cancun Safeguards’ (UNFCCC, 2011). They include the following:

• • •

• •

• •

That actions complement or are consistent with the objectives of national forest programmes and relevant international conventions and agreements; Transparent and effective national forest governance structures, taking into account national legislation and sovereignty; Respect for the knowledge and rights of indigenous peoples and members of local communities, by taking into account relevant international obligations, national circumstances and laws, and noting that the United Nations General Assembly has adopted the United Nations Declaration on the Rights of Indigenous Peoples; The full and effective participation of relevant stakeholders, in particular indigenous peoples and local communities, in REDD+ actions; That actions are consistent with the conservation of natural forests and biological diversity, ensuring that REDD+ actions are not used for the conversion of natural forests, but are instead used to incentivise the protection and conservation of natural forests and their ecosystem services, and to enhance other social and environmental benefits; Actions to address the risks of reversals; Actions to reduce displacement of emission. (Source: UNFCCC, 2011: 24-25)

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How can REDD+ contribute to the achievement of SDGs, in alignment with other national action plans and policies? There are several similarities in the proposed implementation of the SDGs and REDD+, and thus opportunities for integration. Both are country-specific interventions, and although the SDGs are global in coverage and REDD+ focuses on developing countries, both frameworks aim to integrate into nationally developed policies, plans and programmes. REDD+ encourages developing countries to formulate REDD+ NS/APs and REDD+ actions that align with or build upon existing national priorities and programmes. Countries that voluntarily decide to participate in REDD+ are requested to develop a NFMS that could serve domestic purposes and respond to needs of MRV for REDD+ and to construct a FREL/FRL, in addition to preparing a REDD+ SIS and safeguards summary of information. In doing so, and in the preparation of their REDD+ national strategies, countries identify specific REDD+ actions that will be implemented in order to respond to one or more of the five REDD+ activities. This is encouraged through a stepwise approach, building upon existing systems and arrangements. Similarly, the SDGs “are to be incorporated into national planning processes, policies and strategies” (UN, 2015). Consequently, there is great potential for the implementation of some of the SDGs to leverage established REDD+ coordination mechanisms and structures. REDD+ actions have the potential to be aligned with other national action plans (e.g. national strategic development plans, growth and poverty reduction strategy documents, national adaptation plans, sectoral strategies on agriculture, forestry, energy, etc.) that are similarly related to achieving the SDGs. As an example related to forests, Attalah (2016) states that the SDGs provide the targets and REDD+ provides the incentive and framework for implementation. The SDGs offer an additional politically powerful rationale for designing REDD+ actions that achieve non-carbon co-benefits at national levels (Bastos Lima et al., 2017). This implies a mutually positive enabling environment. However, if the synergies between the two frameworks are not recognised there is a lost opportunity for action on a set of targets and development ambitions. Therefore, robust stakeholder engagement offers an important approach to ensure key actors such as government officials, civil society, the private sector, communities, women’s groups and academics expected to contribute to the broader SDG agenda within countries are sensitised and able to adequately link with relevant REDD+ policy and intervention approaches that enhance the SDGs, and vice versa. The integration of REDD+, through cohesive approaches to policy, financing and - where relevant - monitoring, as part of national SDG packages will be central to enhancing synergies between the two frameworks. One entry point exists through a ‘systems’ approach to forests, recognising the role of forests in climate regulation and in the provision of ecosystem services, both of which are key aspects of agricultural and economic development. For example, agricultural sustainability depends heavily on forest ecosystems for water supply and reduced local climate variability. Accordingly, the financial resources mobilised by REDD+ could contribute to financing a more sustainable and competitive agriculture, limiting deforestation. While the sectoral scope of REDD+ is limited to any sector that directly or indirectly puts pressure on forests and forest resources (forestry, agriculture, land use, energy, mining, etc.), the sectoral scope of NAMAs and NDCs is broader. This could mean complementarity and enhanced cross-sectoral leverage of financing and opportunities. The Cancun safeguards, and in particular safeguard (a), ensure that REDD+ actions are complementary or consistent with the objectives of national forest programmes and relevant international conventions and agreements. The SDG framework may provide a wider context for reporting progress on a wide range of social, economic, governance and environmental targets that can provide substantive, rather than mostly procedural, assurance that the various trade-offs in reducing forest-based emissions are managed appropriately. In this way the SDG framework can help to simplify REDD+ efforts and associated reporting requirements, such as the safeguards summary of information.


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The inter-relationships between REDD+ actions and SDG targets REDD+ is most closely related to SDG 13 (Climate Action) and SDG 15 (Life on Land), which include the ambitious target of halting deforestation by 2020. New insights in the direct cooling and rainfall recycling roles of forests (and trees outside forests) suggest that the emphasis of the UNFCCC on GHG emissions represents only part of the actual climatic benefits (Ellison et al., 2017). Accordingly, financial resources mobilised by REDD+ could contribute to wider ecosystem benefits across multiple SDG targets. REDD+ results and payments are calculated, communicated and financed on the basis of reduced tons of CO2-equivalent per year. However, REDD+ can also deliver non-carbon benefits or co-benefits (for example, biodiversity conservation, local socioeconomic development and improvements in governance) (Bastos Lima et al., 2015). These co-benefits have been recognised by UNFCCC Parties as “crucially important” to reducing risks of reversals of emissions reductions or displacement to other areas and ensuring the long-term sustainability of REDD+ actions (Bastos Lima et al., 2015). In addition to the relationships between a country’s REDD+ actions and the SDGs described above, this document highlights links, co-benefits and complementarity with No Poverty (SDG 1), Zero Hunger (SDG 2), Gender Equality (SDG 8), Clean Water and Sanitation (SDG 6), Affordable and Clean Energy (SDG 7), Industry, Innovation and Infrastructure (SDG 9), Reduced Inequalities (SDG 10), Responsible Consumption and Production (SDG 12) and Peace, Justice and Strong Institutions (SDG 16). When mapping at the detailed level between SDG targets and REDD+ actions, this study found additional links with Good Health and Well-being (SDG 3), Quality Education (SDG 4), Decent Work and Economic Growth (SDG 8) and Life Below Water (SDG 14). Expanding on the examples of SDG 1, this can be viewed as a non-direct relationship (in comparison to the primary links between SDG 13 and SDG 15 and the REDD+ framework) whereby ending poverty is not a target for REDD+ but may be a precondition for the sustainability of its interventions. For example, there is potential for creating alternative livelihoods and benefit sharing through REDD+ actions such as community forestry, sustainable biomass energy, community-based natural resource management and sustainable forest tourism. The benefit sharing, whether in the form of funds or improved access to natural resources, will likely enhance livelihoods and build resilience. These are known as noncarbon benefits, which must be actively pursued if they are to materialise (Bastos Lima et al., 2017). It is also important to acknowledge that relationships among the SDGs (and thus for REDD+ as part of SDG 13) involve many trade-offs. A good example is SDG 2 Target 2.3 (by 2030, double the agricultural productivity and incomes of small-scale food producers, in particular women, indigenous peoples, family farmers, pastoralists and fishermen). Agricultural land expansion is the main driver of tropical deforestation and consequently counters the REDD+ aims of reducing emissions from deforestation and forest degradation. To manage this trade-off, there is therefore a need to develop more productive, intensive and sustainable farming techniques, and to adopt land use planning that incorporates forests (Bastos Lima et al., 2017). Evidence from the 2016 State of the World’s Forests (SOFO) Report (FAO, 2016) highlighted that it is possible to increase agricultural productivity and food security while halting or even reversing deforestation. The report showcases the successful efforts of Costa Rica, Chile, the Gambia, Georgia, Ghana, Tunisia and Vietnam. These country successes relied on a set of key policy instruments to promote both sustainable forests and agriculture, including: effective legal frameworks, secure land tenure, measures to regulate landuse change, policy incentives for sustainable agriculture and forestry, adequate funding, and clear definition of roles and responsibilities of governments and local communities (FAO, 2016). For this study, a matrix was developed to illustrate the indirect and direct relationships between elements of REDD+ and REDD+ actions and the specific SDG targets and goals they relate to. The matrix provides an overview of the potential linkages of REDD+ with the 17 SDG goals as shown in Table 3.

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Table 3: Relationships between REDD+ and SDG targets and overall goals ELEMENT OF REDD+

SDG TARGET

Stakeholder engagement:

10.2 By 2030, empower and promote the social, economic and political inclusion of all, irrespective of age, sex, disability, race, ethnicity, origin, religion or economic or other status

Annex 1 to the Cancun agreement states that REDD+ should have: • Respect for the knowledge and rights of indigenous peoples and members of local communities, by taking into account relevant international obligations, national circumstances and laws, and noting that the United Nations General Assembly has adopted the United Nations Declaration on the Rights of Indigenous Peoples (Decision 1/CP.16, Appendix 1, paragraph 2[c]). • The full and effective participation of relevant stakeholders, in particular indigenous peoples and local communities. • Empower transparent and effective national forest governance structures (Decision 1/ CP.16, Appendix 1, paragraph 2[b]);

10.3 Ensure equal opportunity and reduce inequalities of outcome, including by eliminating discriminatory laws, policies and practices and promoting appropriate legislation, policies and action in this regard 16.b Promote and enforce non-discriminatory laws and policies for sustainable development 16.7 Ensure responsive, inclusive, participatory and representative decision making at all levels 16.6 Develop effective, accountable and transparent institutions at all levels

A stakeholder engagement strategy and outline roadmap is encouraged, in the NS/APs. REDD+ recognises the importance of engaging with the vulnerable sectors of society. (This is of particular importance where natural resource harvesting is concerned as controls to prevent forest degradation could push the vulnerable members of society further along the poverty scale.) Gender: • REDD+ PAMs designed through a coordinated REDD+ implementation process have the potential to resolve gender inequalities with forestry policies, land tenure, administration and management, forest resource use and rights, and funding structures. • The UNFCCC text Decision 1/CP.16, paragraph 72, refers to the need to address, inter alia, gender considerations when developing national REDD+ strategies. REDD+ recognises that gender roles need to be understood. For example, women in rural areas are largely responsible for natural resource harvesting and so are to be consulted when implementing renewable energy or sustainable land use programmes.

Capacity building: Capacity development throughout REDD+ readiness (e.g. in NFMS development, stakeholder engagement processes, etc.) as well as the implementation phase of REDD+ National Strategies and Action Plans (NS/APs) provide for capacity building. Decision 2/CP.13: Reducing emissions from deforestation in developing countries: approaches to stimulate action: Paragraph 2: “Encourages all Parties, in a position to do so, to support capacity-building, provide technical assistance, facilitate the transfer of technology to improve, inter alia, data collection, estimation of emissions from deforestation and forest degradation, monitoring and reporting, and address the institutional needs of developing countries to estimate and reduce emissions from deforestation and forest degradation

1.b Create sound policy frameworks at the national, regional and international levels, based on pro-poor and gender-sensitive development strategies, to support accelerated investment in poverty eradication actions 5.a Undertake reforms to give women equal rights to economic resources, as well as access to ownership and control over land and other forms of property, financial services, inheritance and natural resources, in accordance with national laws 10.2 By 2030, empower and promote the social, economic and political inclusion of all, irrespective of age, sex, disability, race, ethnicity, origin, religion or economic or other status 16.b Promote and enforce non-discriminatory laws and policies for sustainable development 4.7 By 2030, ensure that all learners acquire the knowledge and skills needed to promote sustainable development, including, among others, through education for sustainable development and sustainable lifestyles, human rights, gender equality, promotion of a culture of peace and nonviolence, global citizenship and appreciation of cultural diversity and of culture’s contribution to sustainable development 8.4 Improve progressively, through 2030, global resource efficiency in consumption and production and endeavor to decouple economic growth from environmental degradation, in accordance with the 10-year framework of programmes on sustainable consumption and production, with developed countries taking the lead

SDG GOAL


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12.8 By 2030, ensure that people everywhere have the relevant information and awareness for sustainable development and lifestyles in harmony with nature 13.3 Improve education, awareness-raising and human and institutional capacity on climate change mitigation, adaptation, impact reduction and early warning 13.1 Strengthen resilience and adaptive capacity to climate-related hazards and natural disasters in all countries 15.9 By 2020, integrate ecosystem and biodiversity values into national and local planning, development processes, poverty reduction strategies and accounts 17.16 Enhance the Global Partnership for Sustainable Development, complemented by multi-stakeholder partnerships that mobilise and share knowledge, expertise, technology and financial resources, to support the achievement of the Sustainable Development Goals in all countries, in particular developing countries Monitoring, Reporting and Verification (MRV): National Forest Monitoring Systems (NFMSs) are domestic tools that enable countries to assess a broad range of forest information for a variety of land use planning and reporting requirements. For countries voluntarily participating in REDD+ processes, its NFMS can support the Measurement, Reporting and Verification (MRV) process, through data provision to demonstrate impacts and outcomes of national mitigation policies and measures.

12.b Develop and implement tools to monitor sustainable development impacts for sustainable tourism that creates jobs and promotes local culture and products 15.5 Take urgent and significant action to reduce the degradation of natural habitats, halt the loss of biodiversity and, by 2020, protect and prevent the extinction of threatened species

Through their NFMS (and through their Forest Reference (Emission) Levels) countries will therefore be able to monitor the results of the emission reductions and the implementation of the REDD+ strategies. If the NFMS structure and institutional arrangements allow it, the system could also be used for local and community monitoring and for sustainable forest tourism initiatives established in forests conserved for their carbon stocks. Alignment of interventions: REDD+ NS/APs are/should be linked to overall Climate change strategies. Good practice in various countries is also leading towards the linkages of REDD+ NS/APs with national development plans. REDD+ recognises that NS/APs need to be relevant within the context of a country’s national development planning process and in line with other national and international efforts that are related to REDD+ (e.g. Aichi Targets under the Convention on Biological Diversity). COP 13: Bali (2007) Decision 1/CP.13: The Bali Action Plan: Paragraph 1 (b): “Enhanced national/international action on mitigation of climate change, including … consideration of: …Nationally appropriate mitigation actions by developing country Parties in the context of sustainable development, supported and enabled by technology, financing and capacity-building, in a measurable, reportable and verifiable manner…”

13.2 Integrate climate change measures into national policies, strategies and planning 17.14 Enhance policy coherence for sustainable development 17.15 Respect each country’s policy space and leadership to establish and implement policies for poverty eradication and sustainable development 15.9 By 2020, integrate ecosystem and biodiversity values into national and local planning, development processes, poverty reduction strategies and accounts

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Multilateral initiatives for REDD+: Several multilateral initiatives support countries in getting ready for REDD+ and starting to implement REDD+ policies and measures such as: • UN-REDD Programme • Forest Carbon Partnership Facility • Forest Investment Programme


13.b Promote mechanisms for raising capacity for effective climate change-related planning and management in least developed countries and small island developing States, including focusing on women, youth and local and marginalised communities 17.14 Enhance policy coherence for sustainable development 17.9 Enhance international support for implementing effective and targeted capacity-building in developing countries to support national plans to implement all the sustainable development goals, including through North-South, South-South and triangular cooperation 17.16 Enhance the global partnership for sustainable development, complemented by multi-stakeholder partnerships that mobilise and share knowledge, expertise, technology and financial resources, to support the achievement of the sustainable development goals in all countries, in particular developing countries

REDD+ finance: REDD+ acquires funding both locally and internationally (e.g. Bilateral agreements, Multilateral programmes, and Green Climate Fund). REDD+ initiatives, if implemented successfully, can access Results Based Payments (RBPs).

2.a Increase investment, including through enhanced international cooperation, in rural infrastructure, agricultural research and extension services, technology development and plant and livestock gene banks in order to enhance agricultural productive capacity in developing countries, in particular least developed countries 17.3 Mobilise additional financial resources for developing countries from multiple sources 17.9 Enhance international support for implementing effective and targeted capacity-building in developing countries to support national plans to implement all the Sustainable Development Goals, including through North-South, South-South and triangular cooperation 8.4 Improve progressively, through 2030, global resource efficiency in consumption and production and endeavor to decouple economic growth from environmental degradation, in accordance with the 10-year framework of programmes on sustainable consumption and production, with developed countries taking the lead 15.a Mobilise and significantly increase financial resources from all sources to conserve and sustainably use biodiversity and ecosystems 15.b Mobilise significant resources from all sources and at all levels to finance sustainable forest management and provide adequate incentives to developing countries to advance such management, including for conservation and reforestation 15.5 Take urgent and significant action to reduce the degradation of natural habitats, halt the loss of biodiversity and, by 2020, protect and prevent the extinction of threatened species

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REDD+ ACTIONS TO DECREASE PRESSURE ON FORESTS Develop and implement a forest policy for sustainable management of forest resources: This involves multiple stakeholders in the sector with particular emphasis on forest law compliance, governance and various local and community management models. This also involves policies, legislation and measures established to stabilise and decrease the use and trade of timber sourced illegally.

SDG TARGET 9.4 By 2030, upgrade infrastructure and retrofit industries to make them sustainable, with increased resource-use efficiency and greater adoption of clean and environmentally sound technologies and industrial processes, with all countries taking action in accordance with their respective capabilities 15.1 By 2020, ensure the conservation, restoration and sustainable use of terrestrial and inland freshwater ecosystems and their services, in particular forests, wetlands, mountains and drylands, in line with obligations under international agreements 15.2 By 2020, promote the implementation of sustainable management of all types of forests, halt deforestation, restore degraded forests and substantially increase afforestation and reforestation globally 16.6. Develop effective, accountable and transparent institutions at all levels

Conservation of forest carbon stocks that aligns with conservation of areas of natural heritage.

11.4 Strengthen efforts to protect and safeguard the world’s cultural and natural heritage

Afforestation and reforestation conducted to enhance forest carbon stocks; these can also used as public green spaces.

11.7 By 2030, provide universal access to safe, inclusive and accessible, green and public spaces, in particular for women and children, older persons and persons with disabilities

Conserve forest carbon stocks - this could be in the form of urban green spaces adjacent to forest areas (e.g. large scale green belts and urban planning with public parks).

15.2 By 2020, promote the implementation of sustainable management of all types of forests, halt deforestation, restore degraded forests and substantially increase afforestation and reforestation globally

Develop and implement an agricultural policy that contributes to rural development and national food security while limiting the current and future impact on forests: programmes that allow for collaboration with local communities to develop environmentally sustainable and climate resilient agricultural practices while preventing, where possible, the loss of primary forest. This also involves promoting zero deforestation industrial agriculture supply chains.

2.4 By 2030, ensure sustainable food production systems and implement resilient agricultural practices that increase productivity and production, that help maintain ecosystems, that strengthen capacity for adaptation to climate change, extreme weather, drought, flooding and other disasters and that progressively improve land and soil quality

Sustainable management of wood‐ energy and developing alternatives to wood‐energy: Implement programmes that allow for collaboration with government and local communities on biomass energy consumption, reduction of the demand for fuelwood through energy efficiency and fuel substitution, sustainable production of charcoal, etc. (Alternative energy sources such as solar are better for health than, for example, charcoal or wood stoves that are known to cause respiratory ailments.)

3.4. By 2030, reduce by one third premature mortality from noncommunicable diseases through prevention and treatment and promote mental health and wellbeing

8.4 Improve progressively, through 2030, global resource efficiency in consumption and production and endeavor to decouple economic growth from environmental degradation, in accordance with the 10-year framework of programmes on sustainable consumption and production, with developed countries taking the lead

7.b By 2030, expand infrastructure and upgrade technology for supplying modern and sustainable energy services for all in developing countries, in particular, least developed countries, small island developing States, and land-locked developing countries, in accordance with their respective programmes of support 12.2 By 2030, achieve the sustainable management and efficient use of natural resources 12.8 By 2030, ensure that people everywhere have the relevant information and awareness for sustainable development and lifestyles in harmony with nature 13.3 Improve education, awareness-raising and human and institutional capacity on climate change mitigation, adaptation, impact reduction and early warning

SDG GOAL

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13.1 Strengthen resilience and adaptive capacity to climate-related hazards and natural disasters in all countries 16.7 Ensure responsive, inclusive, participatory and representative decision making at all levels 15.8 By 2020, introduce measures to prevent the introduction and significantly reduce the impact of invasive alien species on land and water ecosystems and control or eradicate the priority species Creation of alternative livelihoods through programmes such as community forestry, sustainable biomass energy, communitybased natural resource management and sustainable forest (eco)-tourism

1.1 By 2030, eradicate extreme poverty for all people everywhere, currently measured as people living on less than $1.25 a day 1.2 By 2030, reduce at least by half the proportion of men, women and children of all ages living in poverty in all its dimensions according to national definition 1.5 By 2030, build the resilience of the poor and those in vulnerable situations and reduce their exposure and vulnerability to climate -related extreme events and other economic, social and environmental shocks and disasters 8.9 By 2030, devise and implement policies to promote sustainable tourism that creates jobs and promotes local culture and products 10.1 By 2030, progressively achieve and sustain income growth of the bottom 40 per cent of the population at a rate higher than the national average 13.1 Strengthen resilience and adaptive capacity to climate-related hazards and natural disasters in all countries 14.2 By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts, including by strengthening their resilience, and take action for their restoration 15.1 By 2020, ensure the conservation, restoration and sustainable use of terrestrial and inland freshwater ecosystems and their services, in particular forests, wetlands, mountains and dry lands, in line with obligations under international agreements 15.c Enhance global support for efforts to combat poaching and trafficking of protected species, including by increasing the capacity of local communities to pursue sustainable livelihood opportunities 15.7 Take urgent action to end poaching and trafficking of protected species of flora and fauna and address both demand and supply of illegal wildlife products

Support for expansion of microcredit availability to improve off-farm or sustainable business development and employment.

1.4. By 2030, ensure that all men and women, in particular the poor and the vulnerable, have equal rights to economic resources, as well as access to basic services, ownership and control over land and other forms of property, inheritance, natural resources, appropriate new technology and financial services, including microfinance 2.3 By 2030, double the agricultural productivity and incomes of small-scale food producers, in particular women, indigenous peoples, family farmers, pastoralists and fishers, including through secure and equal access to land, other productive resources and inputs, knowledge, financial services, markets and opportunities for value addition and non-farm employment 10.3. Ensure equal opportunity and reduce inequalities of outcome, including by eliminating discriminatory laws, policies and practices and promoting appropriate legislation, policies and action in this regard

Improved and participatory landuse planning that optimises the use of land and forest resources by the various national economic sectors: implementation of national, provincial or local-scale land use planning and spatial planning to avoid, where possible, the loss of primary forest to other land uses such as agriculture expansion, mining, etc.

2.a Increase investment, including through enhanced international cooperation, in rural infrastructure, agricultural research and extension services, technology development and plant and livestock gene banks in order to enhance agricultural productive capacity in developing countries, in particular least developed countries 6.6 By 2020, protect and restore water-related ecosystems, including mountains, forests, wetlands, rivers, aquifers and lakes


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9.2 Promote inclusive and sustainable industrialisation and, by 2030, significantly raise industry’s share of employment and gross domestic product, in line with national circumstances, and double its share in least developed countries 11.3 By 2030, enhance inclusive and sustainable urbanisation and capacity for participatory, integrated and sustainable human settlement planning and management in all countries 12.6 Encourage companies, especially large and transnational companies, to adopt sustainable practices and to integrate sustainability information into their reporting cycle 14.2 By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts, including by strengthening their resilience, and take action for their restoration 15.1 By 2020, ensure the conservation, restoration and sustainable use of terrestrial and inland freshwater ecosystems and their services, in particular forests, wetlands, mountains and drylands, in line with obligations under international agreements 15.2 By 2020, promote the implementation of sustainable management of all types of forests, halt deforestation, restore degraded forests and substantially increase afforestation and reforestation globally 15.5 Take urgent and significant action to reduce the degradation of natural habitats, halt the loss of biodiversity and, by 2020, protect and prevent the extinction of threatened species Clarify tenure and resource rights: improvement of tenure security, including of indigenous peoples’ lands and women’s and men’s land use and access rights.

1.4 By 2030, ensure that all men women, in particular the poor and vulnerable, have equal rights to economic resources, as well as access to basic services, ownership and control over land and other forms of property, inheritance, natural resources, appropriate new technology and financial services, including microfinance 16.b Promote and enforce non-discriminatory laws and policies for sustainable development 6.6 By 2020, protect and restore water-related ecosystems, including mountains, forests, wetlands, rivers, aquifers and lakes 9.1 Develop quality, reliable, sustainable and resilient infrastructure, including regional and trans-border infrastructure, to support economic development and human wellbeing, with a focus on affordable and equitable access for all 16.7 Ensure responsive, inclusive, participatory and representative decision making at all levels

Enhance people’s resilience to climate change: All REDD+ actions directly aim to lower carbon emissions and contribute to reducing extreme climate events. For instance, climate-smart agriculture practices can be incorporated into a country’s REDD+ planning as one strategy to address agriculture’s role as a driver of deforestation and contribute to increased productivity, enhanced resilience and reduced emissions. Besides protecting forest resources, this means they can still serve as a resource in terms of people’s resilience to climate change.

1.5 By 2030, build the resilience of the poor and those in vulnerable situations and reduce their exposure and vulnerability to climate -related extreme events and other economic, social and environmental shocks and disasters

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Payments for Ecosystem Services and Incentive schemes: Implementation of payments for environmental services programmes or other types of incentive schemes - resulting in intact forests that provide ecosystem goods and services that can contribute to human health (e.g. clean water, bees for pollination, climate regulation, medicines etc.). REDD+ benefits (both monetary and non-monetary) could allow for improved access to education (e.g. construction of a school).


1.1 By 2030, eradicate extreme poverty for all people everywhere, currently measured as people living on less than $1.25 a day 1.2 By 2030, reduce at least by half the proportion of men, women and children of all ages living in poverty in all its dimensions according 4.7 By 2030, ensure that all learners acquire the knowledge and skills needed to promote sustainable development, including, among others, through education for sustainable development and sustainable lifestyles, human rights, gender equality, promotion of a culture of peace and nonviolence, global citizenship and appreciation of cultural diversity and of culture’s contribution to sustainable development 6.6 By 2020, protect and restore water-related ecosystems, including mountains, forests, wetlands, rivers, aquifers and lakes

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02

Conceptual Framework A conceptual framework to review coherence of policy and governance elements relevant for effective REDD+ implementation, in alignment with SDGs and other national action plans, was developed by ICRAF as shown in Figure 3. The conceptual framework illustrates the processes and arrangements that are needed to advance REDD+ objectives in the SDG context, drawing on analysis from Bastos Lima et al. (2017) and IIED (2015). Linkages between specific SDGs and REDD+, as well as implementation synergies, potential areas of contention and conditions, process and governance arrangements are drawn together in the conceptual framework. In addition, the conceptual framework developed for this study integrates the framework developed by Neely et al. (2017) for cross sectoral coordination, and articulates key enabling factors including conditions, process and governance arrangements needed to achieve the inclusive and cross sectoral, multi-scale co-ordination of the SDG and REDD+ agendas.

Following page:

Figure 3: Conceptual Framework to advance cross-sectoral coordination for REDD+ in the context of the SDGs (adapted from Neely et al., 2017, Bastos Lima et al., 2017 and IIED, 2015)

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03

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Analytical Framework to guide country case studies Drawing from the conceptual framework developed by ICRAF, key criteria were identified to guide national level analyses. Linked to these, key questions were developed to review coherence, consistency and complementarity of policy and governance elements relevant for effective REDD+ implementation and in alignment with SDGs and other national action plans.

This resulted in an analytical framework for the country analyses based on four key areas, namely: • country setting;

• • •

overall strategic framework for SDGs and REDD+ in each of the three countries; policy inter-linkages; and enabling environment.

Within the policy inter-linkages analysis, subsections include an understanding of inter-linkages across governance levels, coordination mechanisms and aspects around monitoring. Under the enabling environment sub-sections include an analysis of the institutional setting, links in financial and operational resources across the SDG and REDD+ agendas and understanding the extent of multi-stakeholder engagement.

Country Setting The country setting provides a background on forests within the three profiled countries, including details on the main drivers of deforestation and degradation.

Strategic framework and priority settings This strategic framework and priority setting gives an overview of the SDGs prioritised within each of the case countries, and details the REDD+ process in each country.

Policy inter-linkages The policy linkages aspect of the framework aims to be an assessment of how both REDD+ and SDG processes are integrated with other national policy and sectoral frameworks within the countries. This includes an analysis of how the REDD+ agenda contributes to the prioritised SDG national targets as well as its coherence with the INDC.

Interlinkages across governance levels This subsection is a description of coordination mechanisms that are in place at national and sub-national level within REDD+ and SDGs, and between the two processes.

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ANALYTICAL FRAMEWORK

Coordination mechanisms This subsection analyses whether there are specific REDD+ and SDG coordination mechanisms that support inter-ministerial or inter-agency collaboration and communication, and understanding key challenges for ensuring SDGs as a policy framework are sensitive and favourable for the effective implementation of REDD+ from the three country case studies.

Monitoring The final subsection under the policy linkages pillar of the analytical framework looks to understand whether there is a common set of elements and monitoring approaches that could be used for both the SDG forest-related goals and monitoring of REDD+ actions.

Enabling environment The enabling environment pillar of the analytical framework assesses the clarity around institutional mandates and frameworks, potential synergies in financial and operational resources and mechanisms in place to promote multi-stakeholder involvement in the SDG agenda, and how the stakeholders relate to those involved in REDD+.

Institutional setting This subsection aims to understand the forest related mandates of the national agencies and provide an overview of how REDD+ strategies and SDGs are anchored at institutional level. This includes understanding implementation responsibilities and evaluating the status of mechanisms in place to ensure joint action.

Financial and operational resources This subsection analyses the potential synergies in terms of financial and operational resources for REDD+ and REDD+-related SDGs within the case countries.

Multi-stakeholder involvement The final subsection of the analytical report looks at country-based mechanisms to involve and promote active participation of the government departments, civil society, private sector and academia in the prioritisation of national SDGs, and what the potential linkage between these stakeholders and those involved in REDD+ is.

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04

Case study analysis of policy frameworks in the Democratic Republic of the Congo, Indonesia and Peru

Objectives The objectives of the country case analyses were:

1

To understand how each country’s REDD+ process underpins the 2030 Sustainable Development Agenda;

2

To understand how the SDGs may provide an enabling environment for REDD+ in that country;

3

To explore how the national REDD+ agendas and SDGs are integrated within the other policy frameworks.

Methodology Information was extracted from available grey literature (policies, strategies, national reports and syntheses) as well as peer reviewed scientific literature. The above analytical framework developed by ICRAF was used as the basis for analysis of the synergies and trade-offs between REDD+ and SDGs, and specifically analyzing how they are integrated within the country’s policy frameworks. It builds on the “Policy Coherence for Sustainable Development (PCSD) Framework” developed by the Organization for Economic Co-operation and Development (OECD). The PCSD aims to enhance policy coherence and provides guidance on how to analyse, apply and track progress toward this end, making sure that existing institutional mechanisms are “fit for purpose” for implementation of the SDGs. It also builds on the earlier analysis of the (lack of) synergy between climate change mitigation and adaptation (Duguma, Minang and van Noordwijk, 2014; Duguma et al., 2014) and a comparative study of REDD+ readiness across countries (Agung et al., 2014; Minang et al., 2014; Minang and van Noordwijk, 2014). In addition to the literature review, an extensive stakeholder consultation related to implementation of REDD+ and the SDGs was carried out within each of the three countries. In the Democratic Republic of the Congo (DRC), direct interviews and a workshop were conducted. Eleven interviews were conducted with 20 stakeholders (grouped and individually). A half-day workshop was then hosted in Kinshasa (18th August 2017) and attended by 25 relevant stakeholders. In Indonesia, an initial literature review was conducted, followed by extensive stakeholder consultation via direct interviews and a workshop on the implementation of REDD+ and the SDGs. Nineteen interviews were conducted, with two half-day workshops hosted in Bogor (7th September 2017) and in Jakarta (6th October 2017), attended by 15 and 20 relevant stakeholders respectively. In Peru, a technical consultation was carried out in Lima on 30th October 2017, based on a technical document developed from an analytic literature review, analysis of evidence and interviews with different actors. A selected group of specialists, representing different stakeholder groups from the public and private sectors, civil society and indigenous communities took part in the workshop.

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Figure 4: Attendees at the DRC stakeholder workshop in Kinshasa (August 2017)

Figure 5: Photo of stakeholder workshop hosted in Jakarta, Indonesia (October 2017)

Figure 6: Photo of stakeholder workshop hosted in Lima, Peru (October 2017)

CASE STUDY ANALYSIS

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CASE STUDY ANALYSIS

Country Setting Trends in forest change Democratic Republic of the Congo (DRC) The DRC has the world’s second largest tropical rainforest, accounting for nearly two thirds of the Congo Basin’s forest area and approximately 10% of the humid tropical forest of the planet. The total forest area was 152.5 million ha in 2015, 67.3% of the country’s total land area (FAO, 2015). Approximately 69% of this large forest block is dense humid forest rich in biodiversity (MECNT, 2012). The large forest biomass holds approximately 19 billion tonnes of carbon, making it the largest carbon stock of any African country (FAO, 2015). Since 1990, relatively low historical rates of deforestation occurred, with an annual deforestation rate of around 0.2%, which equates to the loss of 311,000 hectares annually (see trends in Table 4) (FAO, 2015). However in the period 2000-2010, Baccini et al. (2012) calculated annual deforestation rates of from at least 0.3% to 3.5% in some areas (see Figure 7) While the rates remained constant, wood removal (measured in cubic meters) continued to dramatically increase annually (FAO, 2011). An exploratory study on REDD+ potential in the DRC estimated that expected population growth (3% to 2015 and 2.5% thereafter) and socio-economic development (between 6 to 8% of annual growth of GDP) will lead to increased deforestation (12 to 13 million ha) and forest degradation (21 to 23 million ha) by 2030, resulting in a 3 to 4% increase in GHG emissions from the forest (MECNT, 2009). These rates indicate a shift for the DRC on the forest transition curve that could result in accelerated forest loss dynamics in the coming years (MECNT, 2015).

Figure 7: Average carbon stock (colour block) in 2010 and average annual deforestation rate (hatched) over the period 2000-2010 Table 4: Trends in forest change in the DRC in 1990–2015 (FAO, 2006; 2010; 2015) FOREST AREA AND FOREST CHARACTERISTICS

1990

2000

2005

2010

2015

Forest area (‘000 ha)

160363

157249

155692

154135

152578

Primary forest ('000 ha)

105189

104455

104088

103387

102686

56

57

57

59

60

Growing stock (million m )

36906

36189

35831

35473

35115

Living forest biomass ('000 t)

20433

20036

19838

19639

19441

Forest area for production ('000 ha)

No data

No data

22000

15300

12300

Planted forest ('000 ha) 3

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CASE STUDY ANALYSIS

Indonesia Indonesia, home to the world’s third largest tropical forest, is facing one of the world’s fastest rates of deforestation at more than 1 000 km² of forests (476 km² of primary forest) lost per year between 2000-2012 (see Figure 8) (Margono et al., 2014). During the hosting of COP 13 in 2007 in Indonesia, the possible mechanisms and financial transfers to reduce emissions from deforestation became central to the climate debate (IFCA, 2008). Indonesia has from 2009 to 2014 received the largest portion of REDD+ readiness commitments from the public sector-$757 million out of $2.8 billion total committed and disbursed in that time frame (Goldstein Neyland and Bodnar, 2015). Consequently Indonesia is seen as the major beneficiary of global negotiations to mitigate climate change through improved forest management (Simula, 2010). In the private sector, carbon credits from protecting Indonesia’s forests accounted 5.5% of all voluntary carbon transactions in 2015 (Hamrick and Goldstein, 2016).

Figure 8: Extent of forest stock across mainland Indonesia

Peru Peru’s population is 31.8 million, with 56% of inhabitants located within coastal areas, 30% in the highlands and 14% within tropical forest areas. Peru has implemented elements of political and economic reform since the 1990s and, as a result, the economy has grown gradually, but sustainable development and human development are still a challenge for a majority of the population. Additionally, Peru is one of the most vulnerable countries to climate change (MINAM, 2016b) with 26.8% of the population living below the poverty line (INEI, 2017). The Peruvian Amazon contains 68.7 million hectares of a total of 73 million hectares of forests in Peru and is home to 14% of the Peruvian population, including 350 000 inhabitants from 52 different ethnic groups (Meneses, Ramos and Toro, 2015). As a nation with one of the largest forests in the world, the country has a strategic role in terms of climate change mitigation. Tropical dry forest makes up 3.6 million ha in the northern coastal region, and mountain forest covers 0.2 million hectares of forests scattered across the Peruvian Andes. Moreover, 94% of the Peruvian forest forms part of the Amazon jungle, equal to 13% of the total Amazon basin, distributed across 15 sub-national jurisdictions. Despite its size, the Peruvian Amazon region has a small economy, representing less than 5% of national Gross Domestic Product (GDP), and faces limited environmental governance and a lack of infrastructure (Meneses, Ramos and Toro, 2015). Peru’s formal forestry sector is small at less than 1% of national GDP, despite the country’s natural potential (SERFOR, 2017). Timber exports barely exceeded US$ 214 million in 2015, with a balance of trade in the negative up to US$ 800 million (Pari et al., 2017). Reforestation has stagnated with irregular maintenance and productivity (SERFOR, 2017). Non-timber forest product commercial chains have been growing in quantity, and product diversification (tannins, natural dyes, bamboo, lianas, walnuts and gums, among others) reached US$ 149 million in export value in 2015.

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CASE STUDY ANALYSIS

Key drivers of deforestation and forest degradation The causes of deforestation and forest degradation can be distinguished by proximate (or direct), and underlying (or indirect) drivers. Direct drivers of deforestation and forest degradation are caused by human activities that directly affect the loss of forests. Direct drivers can be both planned and unplanned activities that cause a forest area to be reallocated, or its function to be changed for nonforestry purposes such as to estate crops, with the consequences that the area can no longer be categorised as forest. Indirect drivers, or enabling factors, are the socio-economic circumstances and policies that form the indirect causes of deforestation and forest degradation.

Democratic Republic of the Congo In the DRC, forests are under multiple pressures with approximately 90% of its 70 million people dependent upon forest products for energy, raw materials and food (MECNT, 2015). Despite an exceptional hydroelectric potential (> 100,000 MW), the electricity service rate (excluding Kinshasa) is less than 5% and firewood represents more than 90% of the total energy consumption of Congolese households (CAFI, 2017). The annual deforestation rate is approximately 311,000 ha. This is mainly driven by slash and burn agriculture but also artisanal logging, fuelwood (charcoal and fuelwood) production, mining activity and bush fires, as documented in the national REDD+ strategy (FAO, 2011). In the absence of alternative agricultural practices that maintain soil fertility, coupled with high population growth, slash and burn, agriculture will remain the main cause of deforestation (MECNT, 2012). Degradation of forests is compounded by unsustainable management conditions for logging, especially for fuelwood, in turn driven by population growth, institutional factors (political decisions exacerbating mismanagement), conflict from civil war, and economic factors (infrastructure development, urbanisation, economic crisis, unemployment and high poverty rates) (MECNT, 2012). Social insecurity, compounded by two decades of political and economic instability, has also placed the rich rainforest and biodiversity of the DRC under serious threat. Development issues are central and fundamental to the DRC’s forest dynamics. Currently, the DRC remains classified as a least developed country, and is among those with the lowest human development indices (MECNT, 2015). Its per capita GDP was only US$ 414 in 2013 (and far lower in rural forest areas), in contrast with an average of US$ 3152 for sub-Saharan Africa (MECNT, 2015). Over 60% of the population lives below the poverty line (MECNT, 2015). Taking into account these trends, the DRC strives to reconcile its economic and human development with the preservation of its natural resources.

Indonesia Indonesian primary forest loss totaled more than 6.02 million ha from 2000 to 2012 and increased by an average of 47,600 ha per year (Margono et al., 2014). Forest loss within official land classifications that restrict or prohibit clearing forest totaled 40% of loss within national forest land. Indonesia now has the highest rate of forest cover loss in the world, estimated at 840,000 ha annually for primary forest (Margono et al., 2014). Proportionally, the loss of primary forests in wetlands landforms increased, and almost all clearing of primary forests occurred within degraded types, meaning logging preceded conversion processes. This loss is the consequence of a number of factors, attributed domestically to poor forest and land governance with resulting outcomes including illegal and unplanned forest conversion and degradation, damage to sensitive landscapes such as peatlands and watersheds, increased risk of natural disasters such as floods, loss of state revenues through corruption and tax fraud, damage to biodiversity, loss of forest-dependent livelihoods of small scale agriculturalists, and land conflict, among others. In Indonesia, most of the direct deforestation is derived from two major activities linked to industry; large-scale oil palm plantations, and industrial timber plantations. Illegal practices have a greater impact on forests than legal logging.

Peru The primary driver of deforestation in Peru is linked to the production of coffee, cocoa, oil palm and livestock. Coffee and cocoa are principally located in the Amazon and supply the country’s main export agricultural products, with a significant proportion of the rural population directly linked to their production. Climate change is challenging the resilience of production systems and causing greater deforestation due to the migration of people from current to new agricultural or grazing areas. Additionally, 800 000 head of cattle are found in deforested areas, with this land use expanding beyond agricultural plots (exceeding 5 ha) and contributing in the Amazon to 40% of total deforestation (MINAM, 2016b). According to Peru’s National Forest and Climate Change Strategy (ENBCC) (MINAM, 2016b), the main deforestation drivers are: (i) agricultural expansion; (ii) illegal

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CASE STUDY ANALYSIS

and informal extractive activities; and (iii) expansion of communication infrastructure, energy and extractive industries. Peru has made progress in defining and analyzing the deforestation trends in the Amazon, and in 2017, a nation-wide deforestation study was initiated. In 2016, Peru submitted its FREL of GHG emissions from deforestation in the Peruvian Amazon, which was technically assessed by the UNFCCC. GHG emissions from the Land Use, Land-Use Change and Forestry (LULUCF) sector represent 51% of Peru’s total emissions (MINAM, 2016b).

Strategic framework and priority settings This section provides an overview of the SDG prioritisation within each of the case countries and overarching linkages to the REDD+ process.

SDG Prioritisation Democratic Republic of the Congo The DRC produced a national report in November 2016 on the prioritisation of targets and indicators of the 17 SDGs. The process of prioritisation and the report itself was led by experts from the Congolese Observatory for Sustainable Development (OCDD) under the Ministry of Planning and Revolution for Modernity. The prioritised DRC package of SDG targets from 2017 to 2021 includes the 17 SDGs, 38 targets (apart from the 43 targets related to implementation and the 19 targets related to partnerships) and 58 indicators. It represents 36% of the 105 targets to be prioritised globally. The OCDD is also responsible for the setup of a monitoring and evaluation mechanism to produce annual assessment of SDG implementation and achievement. The DRC has been one of eight pilot countries under a United Nations Development Programme (UNDP) pilot for mainstreaming of Agenda 2030 through a mainstreaming, acceleration, and policy support (MAPS) approach and will continue to receive UNDP support to implement the SDGs. The DRC has also benefited from favourable timing, since the elaboration of the National Strategic Development Plan (NSDP) 2017-2021, a key document for the next strategic planning development phase, was concomitant with its national exercise of prioritisation and contextualisation of the SDGs. This allowed a coherent integration of SDG targets in the NSDP 2017-2021 although the NSDP has still not been validated. An overarching outlook for the DRC to achieve SDG targets, however, does not currently look positive. In their SDG Index and Dashboards Report for the year 2017 which ranks countries from their initial 2015 levels in relation to their chances of achieving SDGs by 2030, Sachs et al. (2017) ranked DRC 149th out of 149 countries ranked. In another study from the Overseas Development Institute (ODI), Nicolai et al. (2016) use a SDG Scorecard 2030 grading system2 and found that, despite the progress that could be made, DRC could reach only three quarters of the targets of SDGs 10 and 17, half of the targets of SDGS 8 and 7, only a third of the targets of SDG 2 and a quarter of the targets of SDGs 1 and 15. The ODI report showed no progress recorded for SDGs 3, 4, 5, 6 and 9 and a lowering of target achievement recorded for SDGs 11, 12, 13, 14 and 16 (Nicolai et al., 2016). Analyzing the 17 SDGs as part of this study, we found that REDD+ could contribute to 14 SDGs and 20 targets out of the 38 prioritised targets for DRC. The three SDGs where there were not obvious contributions from the DRC REDD+ investment plan include SDG 6 (Ensure availability and sustainable management of water and sanitation for all), SDG 10 (Reduce inequality within and among countries) and SDG 14 (Conserve and sustainably use the oceans, seas and marine resources for sustainable development). REDD+ planned actions in DRC can contribute in an important manner to: • SDG 1 (End poverty in all its forms everywhere)

• • •

2

SDG 4 (Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all) SDG 7 (Ensure access to affordable, reliable, sustainable and modern energy for all) SDG 16 (Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels)

More information on the SDG Scorecard 2030 grading system and the methodology used can be found in Nicolai et al. (2016).

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CASE STUDY ANALYSIS

Indonesia With the acceptance of Agenda 2030 and its 17 SDGs, the climate change agenda (represented in SDG 13) became part of a comprehensive articulation of a ‘common but differentiated responsibility’ for shifting the current development trajectory, with equivalent emphasis on land and resource use, and issues of equity, cooperation and rights. A presidential decree in 2017 confirmed Indonesia’s commitment to this international agenda and moved Indonesia towards a more coherent government policy to achieve this. There are clearly substantial opportunities to learn lessons from a decade of REDD+ experimentation and capacity development in Indonesia in entering this SDG era, while the position of SDG 13 relative to the 16 others is of specific concern in the UNFCCC context. A focus of the analysis was placed on the relationship between ‘forest management units’ and local government structures as key to coherent action on the ground, as well as to the mechanisms for coordination at the central government level. The SDGs have been articulated in the national policies through government endorsement of a Presidential Decree No 59/2017. This decree makes it clear that it is mandatory for all the ministries and provincial governors to develop and design Roadmap 2017-2030 and Action Plan 2017-2019 at national and provincial levels. The design of these roadmaps and action plans needs to be synergised with the existing Medium Term Development Plans 2015-2019. Through this decree, a secretariat is supervised by the Ministry of National Development Planning (BAPPENAS) and oversees and monitors the implementation of the SDGs through four pillars: 1) a social pillar covering goals 1 to 6; 2) an economic pillar covering goals 7 to 11; 3) an environment pillar covering goals 12 to 15; and 4) a governance pillar covering goals 16 and 17.

Peru The Centre for National Strategic Planning of Peru (CEPLAN) is the focal point for Agenda 2030. CEPLAN manages Peruvian State planning and coordinates with the National Agreement Forum, which is a forum for policy coordination and is attached to the Presidency of the Council of Ministers (PCM), the highest body of management for national government policies. CEPLAN is currently promoting the inclusion of Agenda 2030 into the strategic planning processes at the three levels of government. The National Institute of Statistics and Informatics (INEI) has developed a Monitoring and Follow-up System for the SDG indicators. Since 2017, PCM has had an Office of Government Compliance and Sectoral Innovation, which monitors compliance of official national plans. The Peruvian government promotes policy coordination within the framework of the National Agreement Forum and, since 2016, “GORE-Executive” meetings are in programme. The “GOREExecutive” is the main point of contact between the Executive Branch (President and Minister) and the highest authorities of the Regional Governments (GORE). In addition, the Executive Branch promotes a similar mechanism with local authorities (provincial and district levels) in the “MuniExecutive”, and government-civil society coordination continues around the Poverty Reduction Roundtable (MCLP) (CEPLAN, 2017). CEPLAN currently receives technical assistance from the United Nations for the implementation of Agenda 2030 and is responsible for promoting the integration of the national development objectives in Peru’s public management planning. In September 2016, Peru began an aggressive updating of sectoral policies at the national level, as a result of change in the national government in July 2016. This was based on the following instruments: (1) Agenda 2030; (2) welfare model of the OECD3; and (3) investment policy framework, with a horizon of 2030. The process of integration of the national goals of Agenda 2030 was done as part of an update of the National Strategic Development Plan (PEDN). Updating the PEDN towards 2030 involved, inter alia, including SDGs in different sectors and in institutional plans of 2 500 public institutions across the country. Peru published a baseline of available indicators for SDGs in 2016 and in July 2017 presented a first voluntary national report based on the SDGs (CEPLAN, 2017). Peru has not yet defined a set of priority national goals for sustainable development but created a monitoring system for the SDGs administered by INEI as shown in Table 5.

3

Peru has expressed interest in belonging to the OECD and is currently implementing a road map in this regard.

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CASE STUDY ANALYSIS

Table 5: Framework of the monitoring system for the SDGs in Peru administered by INEI (CEPLAN, 2017) SUSTAINABLE DEVELOPMENT GOAL (SDG) GROUP

NATIONAL GOAL (NG)

SUSTAINABLE DEVELOPMENT GOAL (SDG)

People

By 2030, all people can develop their own potential.

Goal 1. End poverty in all its forms everywhere Goal 2. End hunger, achieve food security and improved nutrition and promote sustainable agriculture Goal 3. Ensure healthy lives and promote wellbeing for all at all ages Goal 4. Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all Goal 5. Achieve gender equality and empower all women and girls

Planet

Developing, with concerted efforts, the conservation and sustainable management of natural resources, and taking urgent action to address climate change.

Goal 6: Ensure availability and sustainable management of water and sanitation for all Goal 12. Ensure sustainable consumption and production patterns Goal 13. Take urgent action to combat climate change and its impacts Goal 14. Conserve and sustainably use the oceans, seas and marine resources for sustainable development Goal 15. Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss

Prosperity

All people enjoy a prosperous and complete life, with dignified employment and in harmony with nature, taking the preservation of resources for future wellbeing into consideration.

Goal 7. Ensure access to affordable, reliable, sustainable and modern energy for all Goal 8. Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Goal 9. Build resilient infrastructure, promote inclusive and sustainable industrialisation and foster innovation Goal 10. Reduce inequality within and among countries Goal 11. Make cities and human settlements inclusive, safe, resilient and sustainable

Peace

Peruvian society is peaceful, fair and inclusive, free from fear and violence; without corruption or discrimination, and with equal opportunities.

Goal 16. Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels

Partnership

Partnerships have been strengthened to achieve sustainable development, aligned with universal respect for human rights and leaving no one behind.

Goal 17. Strengthen the means of implementation and revitalise the global partnership for sustainable development

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CASE STUDY ANALYSIS

REDD+ Process Democratic Republic of the Congo The DRC has been engaged in REDD+ since 2009 under the Ministry of Environment and Sustainable Development (MEDD), (formerly the Ministry of Environment Conservation of Nature and Tourism, MECNT). It was the first country in the Congo Basin to benefit from REDD+ financing through the UN-REDD Programme and the World Bank Forest Carbon Partnership Facility (FCPF) to undertake REDD+ readiness. The major advances of the REDD+ process in the DRC include the a) adoption of the REDD+ Readiness Proposal (2010), a national consensus on the drivers of deforestation (2012); b) adoption of the National REDD+ Framework Strategy (2012); c) creation of the National REDD+ Fund (FONAREDD) (2012) and d) validation of the REDD+ Investment Plan (in 2013) which was updated in 2015 to cover the period 2016-2020. This was followed by the finalisation of the self-assessment report of all the readiness documents, or its “Readiness Package”, approved by the FCPF Participants Committee in May 2015. The DRC also has more than ten REDD+ pilot projects, ranging in scope from a focus on sustainable charcoal to full-cycle Verified Carbon Standard (VCS) emission reduction projects. A small number of existing projects are financed by private investors and project developers (Johns, 2015). Key projects include: a) Wildlife Works Carbon’s Maï Ndombé REDD+ project, a partnership between Wildlife Works Carbon, MEDD and communities in the project area, which has presented the second carbon-based business model to the DRC; b) the pilot projects financed through the Congo Basin Forest Fund that are testing new models based on combinations of agroforestry, sustainable charcoal, and carbon revenues; and c) the Maï Ndombé sub-national Emission Reduction Programme (largely written by Wildlife Works Carbon and World Wildlife Fund), which is developing models to attract commodity agriculture in innovative combined commodity and carbon business models (Johns, 2015). In November 2012, the DRC government approved the National REDD+ Framework Strategy for the period 2013-2030, see Figure 9 and 10. Its vision for REDD+ is to stabilise forest cover by 2030 and maintain forest cover at 63.5% of the national territory. The National REDD+ Strategy aims to tackle the direct and underlying causes of deforestation and forest degradation in a cross-sectoral integrated manner, examining the broad development challenges and context.

Figure 9: REDD+ Strategic Vision in the DRC by 2035 (MECNT, 2012)

The DRC’s National REDD+ Framework Strategy is based on seven intervention pillars: (1) Agriculture (2) Energy, (3) Forests, (4) Governance, (5) Demography, (6) Land use planning and (7) Land tenure. The Strategy also addresses many of the knowledge gaps in the REDD+ Readiness Preparation Proposal (R-PP) and identifies and discusses the issues to be addressed in the investment phase of the strategy.

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CASE STUDY ANALYSIS

(ABOVE)) Figure 11: Overall budget for the DRC REDD+ Investment Plan (MECNT, 2012)

(LEFT) Figure 10: The National REDD+ Framework Strategy and its seven pillars (MECNT, 2012)

Operationally, the National REDD+ Framework Strategy has been deployed in a global REDD+ Investment Plan that sets the programmatic framework over the next five years, and identifies priority policies and measures. This Investment Plan was validated in September 2013 and consequently updated in 2015 to cover the period 2016-2020. The overall budget for the REDD+ Investment Plan is US$ 1,040 million, of which US$ 60 million is financed through the FIP and US$ 190 million is financed by the Central African Forest Initiative (CAFI) (see Figure 11). The Investment Plan aims at two major impacts: emission reductions and improved livelihoods, particularly through increasing the income of the poorest and most vulnerable among populations worldwide. The Investment Plan is divided into major structural and policy reforms (such as land tenure reforms to secure rural tenure, a land use planning policy, improvement in governance and increases in agricultural productivity that promotes activities in savannahs), and investments at provincial level to drive a sustainable, inclusive model of rural development and create new socio-economic opportunities for local communities, farmers and smallholders. In April 2016, CAFI signed a Letter of Intent (LOI) with the DRC Government to establish a “cooperative partnership for the implementation of DRC’s National REDD+ Framework Strategy and REDD+ Investment Plan over the 2016-2020 period” (CAFI, 2016). The LOI was signed by the DRC’s Minister of Finance; Norway’s Minister of Climate and the Environment; and the Multi Partner Trust Fund Office of UNDP. The DRC government commits to eight policy objectives (See Appendix 1), aligned with its REDD+ Investment Plan, addressing direct and indirect drivers of forest loss across different sectors, with an emphasis on transparency and participation. The eight objectives of the LOI are broken down into concrete and measurable milestones that are 29 “intermediate milestones” to be reached by the end of 2018 and 18 “final milestones” by 2020 (See Appendix 1). This LOI in the study is referred to as the CAFI Programme. Under the chairmanship of the Ministry of Finance and vice-chairmanship of the Ministry of Environment, the National REDD+ Fund (FONAREDD) is the entry point for funding the country’s National REDD+ Strategy. To date the Steering Committee of the National REDD+ Fund has approved eight programmes (details of the programmes are shown in Table 6), totaling US$ 91 million in approved funding and supported by the World Bank, UNDP, FAO and UN-Habitat. Of these, US$ 60 million are part of a first, unconditional tranche while the remaining US$ 31 million are conditional on programme performance and evaluation of the milestones of the LOI. These programmes will support the launch of key reforms on land use planning and the related national land use scheme, and a tenure policy to enable more secure tenure in the rural sector. Approved programmes will also enhance existing actions at the provincial and territorial level in high deforestation REDD+ areas (Maï Ndombé, Oriental and Sud Ubangui) where local communities and territorial entities will be supported to sustainably manage and use resources. Two programmes target civil society and indigenous peoples, and a cross-cutting programme will help the country finalise its NFMS. The Maï Ndombé REDD+ integrated programme led by the World Bank covers all of Maï Ndombé province, a total of 12.3 million ha, of which 9.8 million is forest and is the largest forest landscape conservation project ever in Africa.

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CASE STUDY ANALYSIS

Table 6: The eight programmes adopted by FONAREDD PROGRAMME Maï-Ndombé Integrated Programme

EXPECTED RESULTS

AMOUNT (US$)

IMPLEMENTING ORGANIZATION

Living conditions and incomes improved by 20%, especially those of farmers, while ensuring the sustainable management of resources and land.

30 million (in two tranches: 20 + 10)

World Bank


FAO

2 million (single tranche)

UNDP


World Bank


UNDP


World Bank


UNDP


UN Habitat

Sustainable rural development promoted by increasing agricultural productivity through improved practices, developing perennial crops and strengthening local governance around a holistic vision centred on land use planning. Deforestation and forest degradation stabilised in the former Maï-Ndombé District. Finalisation and operationalisation of the NFMS

Monitoring of the changes in forest cover.

Support to civil society

GTCR-R fully functional (national coordination and governance and oversight bodies).

Proactive monitoring of major deforestation events. Meet UNFCCC criteria to allow access to results-based payments related to reduction in deforestation.

Organization expanded and new partnerships sought. Active provincial and territorial coordination, especially for REDD+ intervention areas. Training programmes implemented. Sustainable management of forests by Indigenous Peoples (Pygmies)

Develop national capacity to:

Integrated REDD+ programme for the provinces of Tshopo, Ituri and Bas Uele (Orientale)

Natural resource governance is improved in target areas.

Integrated REDD+ programme for the province of Sud Ubangi.

Management capacity strengthened.

Support to land use planning reform.

Land use planning policy developed and regulatory and legal framework strengthened to coordinate sectoral and territorial policies resolve land conflicts and promote a balanced land use development.

Identify models of sustainable natural resource management by indigenous peoples. Experiment these models in order to disseminate them more widely.

Impact on forests of economic activities and demographic dynamics is reduced in target areas.

Support agricultural development that respects management plans and promote sustainable crops.

Strengthen capacity for dialogue and negotiations between stakeholders, primarily MATUH, CONARAT and their regional units as well as territorial entities. Ensure that social and environmental safeguards are taken into account in land use planning. Support to tenure reform

Strengthen CONAREF to prepare and implement tenure reform. Support communities to elaborate methodological guidance to strengthen cadastres, and capitalise on lessons learned in pilots (conflict resolution and harmonisation of secure tenure) to feed into the tenure policy document. Tenure policy document and associated legal text elaborated in a participative manner.

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CASE STUDY ANALYSIS

Results from the stakeholder interviews found the main existing opportunity to support REDD+ implementation derives from CAFI financing, as US$ 190 million have been secured to operationalise part of the REDD+ investment plan and finance important sectoral reforms. The setup of the FONAREDD provides a great opportunity to support improved coordination of the different financing sources to achieve the REDD+ investment plan instead of having various incoherent and redundant finance sources for REDD+ activities. The active engagement of the DRC government in international negotiation meetings for REDD+ has leveraged multiple REDD+ initiatives, research activities and projects which provide an opportunity for lessons learned and increasing national expertise on REDD+.

Indonesia In Indonesia, the REDD+ objectives and strategies have been articulated in National Medium Term Development Plan 2015-2019 (RPJMN) (GoI, 2015), and Presidential Decrees No 61 and 71/ 2011. These two decrees describe targets and strategies for reducing GHG emissions in five main sectors covering agriculture, forestry and peatlands, energy and transportation, industry and waste management, in order to meet the target of a 26% reduction by 2019 in line with the National Action Plan for Greenhouse Gas Emission Reduction (RAN-GRK). Both decrees mandate the provincial government to support the national targets by also developing Provincial Action Plan for Greenhouse Gas Emission Reduction (RAD-GRK). The Government stressed the importance of each province setting emission reduction targets within the framework of the RAD-GRK by issuing a Governor Regulation. In addition, the targets aim to increase community resilience to the impacts of climate change on 15 vulnerable areas, selected as pilot areas of the National Adaptation Action Plan on Climate Change (RAN-API). The RAD-GRKs are a reflection of the commitment of the Provincial Governments, reinforced by the Governor Regulation on RAD-GRK in 34 provinces (BAPPENAS, 2016). With regards to the implementation of GHG emission reductions, each province has different focus areas tailored to local circumstances. Examples of regional-level initiatives in emission reduction included in the RAN-GRK are: • Increased conservation and environmental carrying capacity for low-carbon development, as well as development of sustainable and inclusive economic zones based on village territories of indigenous peoples, through accelerated improvement of human resource in Papua.

•

Maintenance of Kalimantan’s function as the lungs of the world, to enhance the conservation and watershed rehabilitation, critical areas, protected forests, and forest production; and developing systems for flood disasters and fires.

Two additional initiatives being integrated into the national agenda and prioritised in Indonesia are the forest moratorium and One Map Policy (OMP). The OMP is a mandate from the government to the Geospatial Information Agency (Law No 4/2011), which aims to realize cooperation, coordination, integration and synchronisation of geospatial information for the country. In the context of sustainable development, the OMP serves to (a) facilitate the preparation of an integrated spatial plan that indicates key boundaries throughout Indonesia; (b) demonstrates land use and accelerate land use management including, for example the issuance of licenses related to land use and addressing land use conflict; and (c) facilitate simulations using maps related to, for example, different environmental management strategies. The forest moratorium was legalised in 2011 with the goal of protecting approximately 66 million ha of primary forest from new licenses. This commitment was endorsed between the Government of Indonesia (GoI) and the Government of Norway through an LOI. The commencement of REDD+ discussions in Indonesia allowed the Ministry of Forestry an opportunity to try and implement the previously agreed but slumbering ‘forest management unit’ (FMU) concept. Rather than providing space for local governments to play a major role in forest planning and management issues, the FMUs report primarily to the Ministry, and its control structures. While ‘market-based’ voluntary carbon projects could have a range of institutional mechanisms, the FMUs were expected to channel the government-to-government funding streams. Experience in pilot landscapes, in the meantime, showed that a ‘landscape approach’ was needed, in which forestry, local governments, private sector, local community groups and externally supported NGOs could interact on the full spectrum of land use rights and responsibilities, spatial planning and smart investment in infrastructure, addressing the concerns of export markets (especially in the case of oil palm), and genuine development expectations at local level. With many of the ‘drivers’ of forest conversion lying outside of the forestry sector, solutions would have to come from this wider arena.

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CASE STUDY ANALYSIS

The concept of a ‘jurisdictional approach’ emerged with the kabupaten (regency) as the key level in the Indonesian government hierarchy. Subsequent rebalancing of powers towards the province made the regency and province level key to any success in achieving the aims of reducing emissions from deforestation and forest degradation, by promoting better forest management. On the ground, however, FMUs and regency planning offices still faced barriers to structurally working together, and much remained dependent on individuals who could make things happen. With substantial investment in the REDD+ readiness phase in Indonesia, a comparative study found Indonesia to be the most advanced country (Minang et al., 2014), but noted some serious challenges that remain (Agung et al., 2014). When the complex reality of REDD+ on the ground became clear, the various types incentives across the various layers of government (expecting net gains, compensation of lost opportunity costs of conversion or co-investment in a more sustainable future), the available policy instruments and expected funding streams took centre stage, in the context of a publicly declared target for reducing emissions from land use in Indonesia (van Noordwijk et al., 2014a). The complexity of landscapes where migrants, private sector entities, local populations and various sectors and layers of government interact defied the simple buyer/seller logic of carbon markets (Galudra et al., 2014). The issues of peat emissions, not included in the international REDD+ definition of scope (Galudra et al., 2011; van Noordwijk et al., 2014b), gained further policy attention in 2015, when the new president of Indonesia decided to form a high-level peat restoration agency, while the national REDD+ agency created under his predecessor was mainstreamed in the new Ministry of Environment and Forestry (MoEF). The necessity to balance fairness and efficiency in REDD+ ‘value chains’ became clear to most involved in the REDD+ process in Indonesia (van Noordwijk, 2014a) and boosted interest in REDD+ safeguards. Within the Indonesian forestry sector, there have been several policy instruments related to safeguards, including environmental impact analysis, evaluation of the performance appraisal system of sustainable forest management (SFM-PK), certification of timber legality verification (TLVs), a partnership in the Indonesia Governance Index (IGI) (formerly Partnership Governance Index or PGI) which encompass the principles of transparency, fairness, efficiency and effectiveness used in measuring system performance such as the provincial government. These instruments fit well with the REDD+ architecture for an SIS system. Table 7 summarises a qualitative assessment of the existing instruments as REDD+ safeguards for SIS development. Table 7: Qualitative Assessment of Existing Instruments as REDD+ Safeguards as the Basis for SIS development (Masripatin, 2017) SAFEGUARD

NATIONAL

PROVINCIAL

1. NFP/Conventions

• • • • •

KLHS PHPL/SVLK NBAP Act No.5/90 IGI

• • • • •

KLHS PHPL/SVLK NBAP IGI HCV

2. Good governance, sovereignty

• • • •

KLHS PHPL SFM IGI

• KLHS • IGI

3. Respect for indigenous peoples

• Act No. 5/90

4. Stakeholder engagement

DISTRICT

• AMDAL • HCV • FPIC

• PHPL • SFM

• KLHS • IGI

• AMDAL • PHPL

• FPIC • SFM

• KLHS • HCV

• KLHS • HCV

• HCV • FPIC

• PHPL • SFM

• K LHS • PHPL • Act No.5/90

• KLHS • HCV

• KLHS • HCV

• AMDAL • HCV • FPIC

• PHPL • SFM

5. Biodiversity, natural forest, ecosystem services

• K LHS • UU5/90 • NBAP

• KLHS • HCV • NBAP

• KLHS • HCV • NBAP

• AMDAL • HCV

• PHPL • SFM

6. Permanence of Carbon

• KLHS

• KLHS • HCV

• KLHS • HCV

• AMDAL • HCV

• PHPL • SFM

7. Leakage of Carbon

• KLHS

• KLHS • HCV

• KLHS • HCV Intermediate

Weak

Note - Bold text: strong influence; Light text: weak influence

• • • • •

KLHS PHPL/SVLK NBAP IGI HCV

SITE

Adequate

KLHS: Strategic Environment Assessment principle and indicators; PHPL: Sustainable Forest Management principles and indicators; SVLK: Timber Certification; HCV: High Conservation Value; AMDAL: Environmental Impact Analysis; IGI: Indonesia Governance Index

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CASE STUDY ANALYSIS

Peru Peru began setting the stage for REDD+ in 2008 under the leadership of the Ministry of Environment (MINAM) with the participation of different sectors and government administration levels (PNCBMCC-MINAM, 2016). The official UNFCCC definition of REDD+ is considered in the ENBCC and specifically included in the National REDD+ Management and Implementation Guidelines (MINAM, 2016j). MINAM’s General Direction for Climate Change and Desertification (DGCCD) is the Peruvian REDD+ focal point for the UNFCCC and leads the process in cooperation with the National Forest and Wildlife Service (SERFOR) and other public institutions with competence related to forestry (UNFCCC, 2017). The ENBCC was launched under the coordination of an ad hoc Multi-sectoral Commission and it was presented at Paris COP 2015 (PCM, 2015a). The ENBCC came into force in July of 2016 by decree issued by the executive power4. In addition, the Ministry of the Environment issued Guidelines for REDD+ Management and Implementation, in order to fulfill international commitments assumed in this regard. Peru has also advanced on the design and implementation of an NFMS under the official name of the Forest Coverage Monitoring Module (MMCB) (MINAM, 2015). This system is an instrument for measurement, monitoring, reporting and verification of anthropogenic forest emissions and removals of the LULUCF sector, including REDD+ (MINAM and MINAGRI, 2017). MMCB includes monitoring of deforestation, degradation, land use and land use changes, early warning of deforestation and information to allow for the development of a forest reference emission levels (FREL). Peru has established a FREL for Amazon deforestation for the 2011-2014 period. This was submitted to the UNFCCC in December 2015 and evaluated in December 2016. At the same time, studies were initiated to estimate emissions for forest degradation in terms of a FREL, for which a report is expected to be presented to the UNFCCC in 2019, as well as to expand deforestation analysis to Andean and Coastal Dry Forest. Peru has embarked upon the design of a SIS. This system will monitor how the country is progressing in addressing and respecting the REDD+ Cancun Safeguards throughout REDD+ implementation. Progress has been made on safeguard implementation through gathering stakeholder expectations, analyzing institutional arrangements and evaluating the strategic actions describe in the ENBCC as an input to design national safeguards. Moreover, as a consequence of the Joint Declaration of Intent (JDI) on REDD+, established between Peru, Norway and Germany, Peru set out a roadmap for a REDD+ SIS, which is expected to be completed in October 2020 based on results from a participatory construction process. The ENBCC is a first “pillar” for REDD+ construction and Peru’s NDC will make its full implementation possible. Currently, Peru is analyzing and planning the management of its NDC in three phases (MINAM, 2017b). Since 2010, Peru has made progress integrating international forest conservation goals into national development plans (such as the Bicentennial Plan 2021), in sectoral plans including the National Environmental Action Plan 2011-2021, the Strategic Multisectoral Strategic Plan 2015-2021 - MINAGRI, and in strategies and policies such as the National Strategy for Climate Change, National Forestry and Wildlife Policy (MINAM, 2016a; MINAGRI, 2016a). Peru has progressed on REDD+ as part of the implementation of the JDI on REDD+, taking into account the UNFCCC guidelines. In 2016, Peru issued two progress reports on this agreement and as a result received a first disbursement (US$ 6.1 million). The report of the JDI’s first phase, the first of three, is currently under review. Currently, Peru is planning the JDI’s second phase. This phase is conceived of as a transformation stage, implementing measures leading to an effective reduction of deforestation, based on six commitments described in JDI documentation5. Explicit commitment to reduce the rate of deforestation in the country and the associated GHG emissions are being progressively integrated into the national planning instruments, including into

4

Decree of executive branch but signed by legislative.

A) Stop authorisations for change of use of lands suitable for forestry and protection. B) Have an assessment of the impact of deforestation and forest degradation in the Amazon, including timber extraction, mining, agriculture, hydrocarbons and infrastructure; C) Reduce by 50% the area of forests without legal allocation of use category to avoid the conversion of forests to plantations. D) To regulate the possession of at least 5 million hectares of indigenous lands through recognition, demarcation, titling, extension and registration of native communities; E) Include at least 2 million hectares under incentives for forest conservation in native communities; F) Implement the projects of the Forest Investment Plan (FIP) in Perú, according to the existing plans. 5

CASE STUDY ANALYSIS

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the Strategic Plan of National Development – Bicentennial Plan; Peru toward 2021 (PCM, 2011); the National Plan for Environmental Action 2011-2021 (MINAM, 2011); the National Climate Change Strategy; the NDC; the National Forest and Wildlife Policy (MINAGRI, 2013a); and the Strategic Plan 2012-2016 of the Ministry of Agriculture and Irrigation (MINAGRI, 2015a). Peru has already received US$ 39 million in funds for REDD+ implementation and will receive an additional specific support for REDD+ from international development agencies. The current planning initiatives budget is estimated at over US$ 116 million. The country received support from the UN REDD Programme for US$ 1.2 million and in 2018 will initiate a UN-REDD National Programme for US$ 3.8 million. Moreover, Peru is executing a second phase of its R-PP through the Collaborative Fund of the FCPF valued at US$ 8.8 million. The Japanese cooperation programme started in 2016 for $2.1 million and further investment through Japan’s refundable cooperation of up to US$ 63 million in targeted sub-national administration (regions) is expected. MINAM designed four Public Investment Projects (PIP) financed through the FIP of up to US$ 50 million (US$ 23.8 million through reimbursable aid and US$ 26.2 million through grants, within the framework of the FIP in Peru); and in 2014, Peru signed a JDI on REDD+ with Norway and Germany to reduce deforestation until 2020, for an estimated total value of US$ 216 million (for phases I and II, the estimated aid amounts to US$ 36 million for the achievement of policies and activities, and US$ 180 million is estimated if Peru is able to reduce its historical average deforestation rate by half). In the framework of this cooperation agreement, Peru has received a first disbursement (US$ 6.1 million), currently running via a project of UNDP from 2016 to 2018. An earlier REDD+ support project was managed by the World Wildlife Fund Peru for US$ 5.6 million from 2015 to 2016. Between 2011 and 2016, Peru received support from Gordon & Betty Moore Foundation and KFW (Germany) for the execution of a preparation project for REDD+ valued at US$ 9.7 million (through the German Development Bank); and from 2014 to 2015, Peru received US$ 4.5 million from the FAO and Finland for its NFI. In relation to the REDD+ readiness context, in July 2016, Peru adopted a National Forestry and Climate Change Strategy, recognising the association between processes of migration and economic development competing with forest conservation (MINAM, 2016b). As a result, forest conversion to unsustainable agriculture has higher profitability in the short term, with the consequence that Peruvian forests are threatened by deforestation and forest degradation, putting at risk the provision of forest goods and ecosystem services. This national strategy highlights the primary importance of forests for the provision of key ecosystem services to national society and the economy, and a direct relationship between forests and livelihoods of the Amazon’s indigenous peoples (Meneses, Ramos and Toro, 2015).

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CASE STUDY ANALYSIS

Policy inter-linkages This pillar of the analytical framework provides an assessment of how REDD+ and SDG processes are integrated with other national policy and sectoral frameworks within the countries.

National plans Democratic Republic of the Congo In 2001, the DRC committed to a process of sustainable management of its forest resources, and it adopted a new Forest Code in 2002 that mainstreamed sustainable development. This has seen a large number of illegal forest concessions terminated. Since 2009, increased attention to forestry issues has seen the achievement of a national consensus on the drivers of deforestation, the participatory development of the National REDD+ Framework Strategy (approved in November 2012), creation of the FONAREDD, validation of the DRC REDD+ Investment Plan and a stated willingness by the DRC government to implement its National REDD+ Framework Strategy and Investment Plan. In 2011, the government of the DRC included tackling climate change and environmental protection as the fourth pillar of its second Growth and Poverty Reduction Strategy Paper (GPRSP2) of 2011-2015. This pillar seeks to enhance the natural capital of the DRC, the exploitation of which largely determines the socio-economic development of the country, especially its poorest, and is also threatened by climate change. The GPRSP2 contains multiple references to REDD+, an improvement on GPRSP1, which made no mention of REDD+ or climate change. In the Economic Governance Matrix6, REDD+ was included in 2013 in the list of necessary reforms and included land tenure, land use planning, environmental impacts of extractive industries, as well as the development of the FONAREDD. This agreement commits the DRC to take REDD+ goals into account in its economic development planning and implementation. The 2012-2016 Government Action Programme that supports the implementation of the GPRSP2 does not directly refer to REDD+. The strengthened programme of priority actions articulates the sectoral policies of the GPRSP2 and sets a sectoral target for environment and climate change to increase the ratio of protected area within the territory by 2015 at 17% (compared to 11% currently), but without naming REDD+. Within the same document, there is a detailed budget for the MEDD, detailing four categories: strengthening institutional capacities; sustainably managing the environment; sustainably managing the forest; and promoting tourism. In the budget programming of government actions (2016 – 2018), the environment and forestry sectors are not among the priority sectors. However, the promotion of a sustainable development model focused on natural resources and addressing climate change is budgeted for in the Rural Development Policy. The Government intends to pursue and consolidate its efforts towards an emergent economy by 2030 in the framework of the next strategic planning development process and most specifically with the development of the NSDP covering the period 2017-2021 The NSDP is still to be validated. The overall strategy of the NSDP is based on seven pillars, including ‘to protect the environment and adapt to climate change for a better living environment,’ in which REDD+ appears. The NSDP also emphasises the required adoption of national REDD+ standards for mining and hydrocarbon investments in forest areas. There is a strategic gap with regards to guiding policies, as the GPRSP2 ended in 2015, and other key plans ending in 2016 leave an implementation gap in which the NSDP has to be validated. Table 8 below contains a detailed analysis of the inter-linkages between the REDD+ Investment Plan and its specific contributions to prioritised SDGs in the DRC.

The Economic Governance Matrix is an an agreement between the DRC and the World Bank and the IMF; the two financing organizations cancel debts in return for the DRC’s commitment to reforms. It contains criteria and indicators negotiated between the Government of the DRC and the World Bank Group. It is a useful tool that facilitates tracking of the DRC’s progress in areas considered critical for its development and provides a framework for discussions between the DRC and the World Bank Group on the priority sectors in which assistance is needed. 6

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CASE STUDY ANALYSIS

Table 8: Contribution of the REDD+ Investment Plan to prioritised SDGs in DRC SDG

HOW THE REDD+ INVESTMENT PLAN CONTRIBUTES TO PRIORITISED SDGS IN DRC SDG 1: End poverty in all its forms everywhere

All programmes and projects emerging under the DRC REDD+ strategy and investment plan, aim at supporting people’s livelihoods, reducing GHG emissions and transitioning to a green economy, with the ultimate goal being to alleviate poverty. Poverty rates will be improved through REDD+ investment action plans such as the development of sustainable value chains and support for income generating activities. In addition, access to highly energy-efficient and improved low-cost cooking stoves and sustainable production of charcoal, will allow households and industries to spend less (as traditional fuels are more expensive) and to be more productive. Finally, supporting family planning and women's education will also facilitate taking women out of poverty.

SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture

An entire component of the REDD+ investment plan is dedicated to improving food security and sustainable agriculture with an R&D programme focused on agriculture in the savannah in order to ensure food security outside of forest areas. In addition, the specific objective of the integrated programmes is to reduce the "forest footprint" of agriculture while increasing production and income from the agricultural value chain.

SDG 3: Ensure healthy lives and promote wellbeing for all at all ages

Reduction of the demand for fuelwood through energy efficiency and fuel substitution will reduce the incidence of pulmonary illnesses associated with the smoke of firewood. In addition, the improvement of income through support for income generating activities will enable populations to have more financial resources for their health and wellbeing.

SDG 4: Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all

The CAFI Programme plans to provide support to women's education (specifically, by providing schooling for girls and literacy education for female adults). The REDD+ investment plan also plans to support the emergence of leadership skills among women and young indigenous peoples.

SDG 5: Achieve gender equality and empower all women and girls

The CAFI Programme plans to adopt a land‐tenure policy, and specifies that this land-tenure policy should be equitable ‐ including with regard to gender, vulnerable people, local communities and indigenous peoples.

SDG 7: Ensure access to affordable, reliable, sustainable and modern energy for all

The CAFI Programme plans to increase the use of improved cooking stoves and support for their massive diffusion in large urban centres (in 10% of households in Kinshasa and provincial capitals where integrated programmes have been implemented). It also plans to conduct feasibility studies and advocacy for the development of fuel substitution and support for its production and distribution. It will support the sustainable production of charcoal within the framework of community-based forestry and promote energy policy revision to include a sub‐component aimed at sustainable management of wood‐energy and developing alternatives to wood‐energy. Planned implementation of wood‐energy projects around large urban centres aim to diversify supply away from natural forests and improve carbonisation efficiency through use of adapted technologies.

SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all

The support to the development of Small & Medium Enterprises (SMEs) in the agriculture, energy and forest logging sectors, which is planned in the CAFI Programme, will support the development of new jobs in these sectors.

SDG 9: Build resilient infrastructure, promote inclusive and sustainable industrialisation and foster innovation

There will be some data related to the spatial development of commercial plantations that will be updated and published on a regular basis on the national internet portal Terra Congo. To some extent, this contributes to sustainable industrialisation.

SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable

Support for extensive diffusion of highly energy-efficient and improved low-cost cooking stoves in large urban centres will promote access to basic services.

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CASE STUDY ANALYSIS

SDG 12: Ensure sustainable consumption and production patterns

The development and implementation of a land‐use policy that organizes and optimises the use of land and forest resources by the various national economic sectors will support better sustainable management and efficient use of natural resources.

SDG 13: Take urgent action to combat climate change and its impacts

All the measures proposed in the REDD+ investment plan and CAFI Programme aim at reducing GHG emissions directly or indirectly, and therefore contribute to addressing climate change. Actions include, for instance, the revision of the energy policy (to include a sub‐component aimed at sustainable management of wood‐energy and developing alternatives to wood‐energy), the implementation of wood‐energy projects around large urban centres, improvement of carbonisation efficiency through adapted technologies, or publication of updated results‐based data on REDD+ activities including an updated GHG inventory.

SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss

Many actions planned under the CAFI Programme focus on the conservation, restoration and sustainable use of terrestrial ecosystems and their services (e.g. the adoption and implementation of REDD+ standards for mining and hydrocarbon investments in forest areas; adoption of an agricultural policy integrating REDD+ challenges and land‐use principles, and promoting zero deforestation industrial agriculture supply chains; forest code revision project; stabilisation of illegal logging by 2020; development of a land-use policy that organizes and optimises the use of land and forest resources by the various national economic sectors; etc.) (See all actions in Appendix 4).

SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels

The development and adoption of land‐tenure policy which should be equitable, including attention to gender, vulnerable people, local communities and indigenous people, should create the policy incentives and enabling environment for reduced conflicts over land management. In addition, the policy should ensure more transparency and consolidation of information, law enforcement in areas relevant for REDD+ and the establishment, by 2017, of an independent and operational auditing mechanism. These policy interventions should contribute to reducing corruption and develop effective, accountable and transparent institutions at all levels.

SDG 17: Partnerships for the goals

REDD+ is a platform that promotes multi-stakeholder partnerships, strengthening of institutions and more policy coherence through key sectoral reforms.

Indonesia Indonesia has been actively engaged with the UNFCCC negotiations, especially in preparation for and after hosting COP13 in Bali in 2007, where both the REDD+ and NAMA modalities for emission reduction received a boost. In 2011, the government enacted two Presidential Decrees (No 61 and 71) with details of national emission reduction targets and programmes under the NAMA (and its successor the (I)NDC) umbrella as well as the national strategy for REDD+. However, the national government at that time was concerned with how to translate national commitments into sub-national contexts. The two decrees implied multi-level governance, with decision-making processes taking place at multiple levels (national, provincial, district and local). The discussion to achieve the implementation of multi-level governance was coordinated by BAPPENAS, across the various Ministries and government agencies involved, as well as provincial and regency authorities, linked through land use planning policy. One of the key commitments focuses on strengthening the rights of forest communities and indigenous peoples. Within the National Medium Term Development Plan 2015-2019, the Government committed to establish 12.7 million ha of forest under the social forestry scheme, a substantial increase from the less than 1 million ha under such rules by 2014. The emission reduction target of the INDC has been reconfirmed (in relation to SDG 13) by the government as part of SDG Presidential Decree No 59/2017.

CASE STUDY ANALYSIS

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These steps support the Indonesian government’s pledge to reduce GHG emissions by 29% under Business as Usual projections by 2030, or by up to 41% with international support. A detailed analysis of policies in Indonesia that support REDD+ and NDC implementation was carried out and validated by key stakeholders. The analysis of the policy interlinkages is shown in Table 9. A diagram used to analyse the interactions between forest tenure reform and climate change policy is shown in Figure 12. An issue specific to Indonesia is that the FMU has been chosen as the primary interface between forest governance structures and the landscapes and people who otherwise are governed in a village, district, regency, provincial, or national government hierarchy. In the absence of mutual accountability at any of the lower levels, the central government is the primary space where the sectors interact. With responsibility for all other SDGs with the other government structures, the cooperation between FMUs and local government is crucial for achieving synergy. Current commitments by the GoI to resolve tenure conflicts marring the forest are to be seen in this light.

Figure 12: Relationships between climate policy, land cover/land use and ongoing challenges to reconcile social and environmental policy objectives in Indonesia

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CASE STUDY ANALYSIS

Table 9: Summary of relevant policies that support REDD+, NDC and SDGs implementation POLICY & SCALE

DESCRIPTION

STATUS OF THE POLICY to support REDD+ and

SDGs IT RELATES TO

RAN/RADGRK (National/ Sub-National Action Plan for Greenhouse Gas Emission Reduction)

Presidential Regulation No 61/ 2011, implemented and enforced in 2011.

The regulation urged provincial government to set provincial targets on emission reductions. By 2015, approximately 34 provinces have already identified strategies and activities to meet the target. The regulation also encourages the district government to set their own emission reduction targets. In 2017, the MoEF used these provincial targets to as part of the NDC.

SDG 13

Inventory National GHG

Presidential Regulation No 71/2011, implemented and enforced in 2011.

The regulation states that the provincial government must calculate and set the reference emission level, and establish GHG inventories of provinces. This regulation is in conjunction with Presidential Regulation No 61/2011. Provincial governments are now being monitored to meet the national targets.

SDG 13

The forest moratorium will contribute to Indonesia’s GHG emissions reduction goal. There are 43.3 million ha of primary forest and peatland included in the moratorium, including 28.4 million ha of primary forests and 14.8 million ha of peatlands. As a result of the inclusion of these peat and primary forests, an estimated total of 25.3 gigatons of carbon are protected by the moratorium.

SDG 13 SDG 15

(e.g. national/subnational)

including year implemented, enforcement, implications

Implication: all provinces must set targets to reduce emission as part of support for national emission reductions. Leading institution: BAPPENAS.

Implication: Provinces and regencies must calculate their GHG inventories. Leading institution: BAPPENAS and MoEF (Ministry of Environment and Forestry). Forest Moratorium

The Presidential moratorium on new concessions for primary forest. This is a follow up to Indonesia’s public commitment to REDD+ and LOI with the Government of Norway.

NDC implementation

If the moratorium is amended to include secondary forest and existing concessions, the moratorium will enhance the sustainable production use and reverse land degradation. One Map Policy (OMP)

Presidential decree No 9/2016 on the acceleration of one map. This relates to setting policies on developing accurate forestry maps, and monitoring and evaluation of the implementation of the policy. Leading institution: BIG (Geospatial Information Agency)

Social Forestry Programme

The RPJMN defined the allocation of 12.7 million ha for social forestry programmes. Leading institution: MoEF

The OMP aims to digitise data and information related to primary and secondary forests, including peatlands. This synchronisation is on a single public portal, with data on licenses attached to the land area, with the urgent aim of eliminating duplicate licenses issued for the same land area. The public can participate in the OMP processes through participative mapping. The OMP contributes to reducing corruption and developing effective, accountable and transparent institutions at all levels.

SDG 8 SDG 9 SDG 13 SDG 15 SDG 16

Social forestry programmes aim at supporting people’s livelihoods, reducing GHG emissions and transitioning to a green economy, with the ultimate goal being to alleviate poverty. Poverty rates aim to be improved through the social forestry programme and its attendant income improvement options. Social forestry programmes support the development of SMEs in the agriculture, energy and forest logging sectors. Through the support of the Village Fund and Rehabilitation Fund, job stimulation is anticipated.

SDG 1 SDG 2 SDG 3 SDG 8 SDG 12 SDG 13 SDG 15 SDG 16

Social forestry is part of land‐tenure policy that promotes equitable access to forest communities, while paying attention to gender, vulnerable people, local communities and indigenous people. The programme enhances policy incentives and the enabling environment for reduced conflicts over land management. Agrarian Reform Programme

The RPJMN defined the allocation of 4.1 million ha of forest land for improved land titling. Leading institution: MoASP (Ministry of Agrarian and Spatial Planning)

The contribution and aims of this programme are the same as the social forestry programmes. However, it is unclear how the agrarian reform programme will address climate change.

SDG 1 SDG 2 SDG 3 SDG 8 SDG 12 SDG 15 SDG 16

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CASE STUDY ANALYSIS

Table 10: Recommendations and potential disabling aspects for REDD+ implementation as aligned to relevant SDGs SDGS CLOSELY RELEVANT TO REDD+ SDG 1. End poverty in all its forms everywhere.

RECOMMENDATIONS FOR THE WAY FORWARD

POTENTIAL DISABLING ASPECTS FOR REDD+

a.

Include safeguards for forest conservation, to ensure actions to alleviate poverty do not encourage deforestation and land degradation.

b.

Poverty alleviation must consider the value of forests and ecosystems for environmental resilience and adaptability of the human population. In a climate change context, resilience increases the sustainability anti-poverty policies at local level.

In Peru, public policy and measures to alleviate poverty (SDG 1) include: programmes of social assistance to the poorest population, programmes to improve financial income and employability of vulnerable groups7, promoting national economic growth and expanding coverage of key public services (education and health, especially). Potential issues arise if income enhancement programmes do not include safeguards for forest conservation.

c.

Policies for indigenous peoples and other forest-dependent societies should consider the role of forests as livelihoods provider (Swierk and Madigosky, 2014). REDD+ has an important potential to contribute to poverty alleviation in this population, especially in the Peruvian Amazon, where poverty reduction interventions have proven to be less effective (INEI 2016).

SDG 2. End hunger, achieve food security and improved nutrition and promote sustainable agriculture.

Consider criteria for food production strategies to ensure that they are deforestation free; identifying the important role of forest ecosystems for food security and nutrition of indigenous peoples and other rural societies. It is important that this plan also includes deforestation-free criteria guiding the agricultural loan investment policy of AGROBANCO, the public bank financing Peru’s small and medium-sized farmers and ranchers (MINAGRI et al., 2015).

The National Food Security and Nutrition Strategy and Plan of Peru 2015-2021 is the key instrument to implement the national agenda related to SDG 2. Potential tension with REDD+ could occur if regulations for transgenic deforestation-free food production are not included in the actions to increase food production.

SDG 8. Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all

SDG 8 presents a challenge, especially in the Amazon regions, where the economically active population (EAP) is mostly in the agricultural sector (35%)8 compared to 24% of the Peruvian EAP at the national level (INEI 2017). The challenge that emerges from REDD+ in Peru’s Agenda 2030 is to achieve the development of the agriculture sector through sustainable intensification of agricultural production in the current areas, while limiting the expansion of the agriculture and livestock on the remaining forest areas.

The Peruvian economy has grown steadily since 2002, reaching 6% of annual average growth during the 2004 – 2015 period (World Bank, 2017) along with a GDP per capita increase of 100% from 2000 to 2015 (BCRP, 2017). However, as previously mentioned, from 2000-2015, Peru lost almost 2 million ha of forest. A potential tension emerges between SDG 8 with REDD+ if preventive measures against deforestation are not fully implemented such as safeguards to reduce forest loss and decrease illegal activities that cause deforestation and degradation (such as alluvial gold mining in the Peruvian Amazon) (OECD, 2014). In 2016, MINAM approved the National Guidelines for Green Growth, with eight strategic components to promote the integration of environmental and social policies for economic development. This instrument is the result of National agreement to the OECD Declaration for Green Growth Strategy, signed in October 2015.

The Ministry of Social Development and Inclusion (MIDIS) leads the policies to combat poverty through four strategic axes: early childhood development, the integral development of childhood and adolescence, protection of the elderly and economic inclusion. 7

The situation by region is diverse: The PEA (economically active population) employed in agriculture is: 58% in Amazonas, 46% in San Martin, 30% in Loreto, 21% in Madre de Dios and 22% in Ucayali. 8

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SDG 13. Take urgent action to combat climate change and its impacts.

SDG 13 should value forests as national assets for climate change mitigation and adaptation. A recent study noted the importance of expanding the implementation of multi-sectoral measures at different government levels, to prevent deforestation and land degradation as a result of public and private investments. Peru’s challenge is to decrease acceleration of the deforestation rate (MINAM, 2017c).

SDG 15. Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss

SDG 15 should include REDD+ as a focus of sustainable development, combating desertification, and reversing land degradation. REDD+ is also an opportunity to leverage financial resources to support national forest conservation efforts. The National Forestry and Climate Change Strategy (MINAM, 2016b) promotes a progressive integration of forest conservation goals into different development and environment national plans.

CASE STUDY ANALYSIS

Sectoral plans Democratic Republic of the Congo In the DRC, REDD+ is referenced within the environmental and climate change policies such as the National Programme for Environment, Forest, Water and Biodiversity; the National Strategy of Biodiversity Conservation in Protected Areas; the National Policy and Strategy on Climate Change 2016-2020; the INDC submitted in August 2015; and the Low Carbon Development Strategy 2016-2021. In the National Strategy for Energy Access for All, there is a national programme for substituting wood energy and access to modern cooking fuels. There is no reference for REDD+ in the sectoral Strategy of Agriculture and Rural Development 2010-2020, which were developed before the DRC embarked on REDD+. The National Programme of Agricultural Investment (PNIA) 2013-2020 of the DRC is at the moment the only reference document on the integration of climate change concerns into agricultural policies. In terms of the mining sector, there is no reference to REDD+ in the Strategic Plan for the Development of the Mining Sector 2016-2021. This analysis indicates significant attention is still required to integrate REDD+ in the agricultural and mining sectors. The CAFI Programme does however present good opportunities for implementing part of the REDD+ Investment Plan, and shows promise for better integration in future sectoral policies. The CAFI Programme plans key policy reforms within a number of sectors including: agriculture, energy, forestry, mining, land use planning and land tenure and governance. The programme plans to: i. adopt an agricultural policy, integrating REDD+ challenges and land‐use principles, and promoting zero deforestation industrial agriculture supply chains; i. revise the energy policy to include a sub‐component aimed at sustainable management of wood‐energy and developing alternatives to wood‐energy; i. revise the Forest Code, integrating advances and addressing challenges linked to sustainable industrial, artisanal and community forest management; i. provide a legal framework for mining and hydrocarbon investments in forest zones; i. develop a land-use planning policy respectful of forest resources and of local communities and indigenous peoples’ rights and needs; i. adopt a land‐tenure policy ensuring sustainable and non‐conflict management of land and the clarification of tenure rights; and i. develop a policy for the alignment of domestic and external interventions.

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CASE STUDY ANALYSIS

Indonesia In Indonesia, explicit mention of sectoral integration is linked with the BAPPENAS, where there is a secretariat on national reduction of GHG emissions (SekRAN-GRK) that aims to establish sectoral mitigation working groups and involve local government in planning, monitoring and implementation of GHG emission reductions at the provincial level. The secretariat has developed 34 working groups at the provincial level for local government to prepare the RAD-GRKs.

Peru In Peru, limited progress has been made in relation to inter-sectoral coordination for Agenda 2030 and REDD+ interaction. Agenda 2030 is linked to governance and planning instruments for public management and investment, whereas REDD+ currently has a stronger relation with the NDC’s national planning process (under coordination of the NDC Multi-Sectoral Working Group). REDD+ preparation processes within Peru do not yet have a formally-established unique platform for intersectoral coordination. Within Peru, in the frame of decentralisation law, within the last five years some sub-national governments have established Regional Environmental Authorities to address environmental issues (environmental management, land management, climate change and biodiversity) in addition to forest management and wildlife control. At the national level, the Ministry of the Environment promotes the conservation of forests through the National Programme of Forest Conservation for Climate Change Mitigation (PNCBMCC) (PNCBMCC-MINAM, 2016). MINAGRI competences rely on forest and wildlife administration, the promotion of sustainable agriculture and water resources management. MINAGRI is also responsible for reducing the impact of agricultural activities on forests, evaluating land use capacity for forest and agriculture production, organizing land registration, promoting rural infrastructure and reporting on forest resources assessment through SERFOR. Responsibilities and competences regarding forests are established between MINAM and MINAGRI; however, for REDD+, management requires a more precise definition of responsibilities and functions between both sectors and especially between national and subnational levels of government. This includes the application of policies and measures to reduce deforestation and degradation. The official establishment of a REDD+ coordination mechanism at different levels of government has not been resolved.

How does the REDD+ agenda contribute to the prioritised SDG national package as well as its coherence with the NDC? Democratic Republic of the Congo The DRC submitted its INDC in August 2015 ahead of UNFCCC COP 21 in Paris. The country has pledged to reduce emissions by 17% by 2030 below BAU levels (430 Mt CO2e), which would correspond to a 70 Mt CO2 equivalent avoided emissions in 2030. The INDC makes reference to numerous existing policies and plans, including: Law No. 011/2002 on the Forest Code; National Programme on Environment, Forest, Water and Biodiversity; National REDD+ Framework Strategy (MECNT, 2012); Low Carbon Development Strategy (2012); National Plan for Adaptation to Climate Change (2014). The INDC mostly covers the energy, agriculture and forestry sectors which is fully aligned with the REDD+ National Framework Strategy (see Figure 13, following page). REDD+ is mentioned several times in the INDC but there is no mention of the Maï Ndombé REDD+ ERD programme. The INDC describes the short- and long-term goals for adaptation as: securing livelihoods and ways of life for both rural and urban communities; managing forest resources rationally; and protecting vulnerable coastal ecosystems. Although well elaborated for the land use sector, minimal details on policies and measures are provided for the other sectors.

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CASE STUDY ANALYSIS

Figure 13: Key sectors of the INDC in DRC

Indonesia The Indonesian Government committed to an INDC with an unconditional reduction target of 29% of its GHG emissions by 2030 and a conditional reduction of up to 41% with international support. The targets were updated from the earlier NAMAs commitment for 2020 targets. The government has legalised this commitment through Law No 16/2016. The INDC implementation will be guided by three principles: • Enable economic growth and put people’s welfare as priority, especially with regard to food, water, and energy resilience;

• •

Strengthen protection of poor and vulnerable communities, including environment conservation in the framework of sustainable development; Focus on core interventions that reduce emissions and strengthen policy frameworks.

The INDC document refers to linkages with SDG targets with an emphasis on SDG 13 and 15: • Law No. 37/2014 on soil and water conservation, which leads to sustainable agriculture and land use. The Law guides stakeholders in conserving lands and increasing productivity towards conservation agricultural approach;

• • •

Government Regulation No. 37/2012 on Watershed Management, which leads to enhanced watershed carrying capacity. The regulation provides guideline to identify and address watersheds, which need to be protected, restored, and rehabilitated; Community Based Forest Management, which will enhance community income and at the same time reduce pressure on primary forest, which leads to deforestation and forest degradation; and Enhanced role of Programme Kampung Iklim (PROKLIM) as a bottom up approach in climate resilience programme at the village level. Furthermore, the enhanced PROKLIM will enable to account for its contribution to the achievement of emission reduction both pre- and post2020. The government has committed to ensuring the resilience of communities in addressing climate change through PROKLIM.

Key actions to achieve the NDC targets in Indonesia include: • Integrating NDC elements into development planning (President’s instruction to Minister of National Development Planning and Minister of Environment and Forestry);

• • • • • •

Letter of the Minister of Environment and Forestry to all relevant ministries, to all governors and Head of Districts/ Municipalities to accommodate climate actions into 2018 planning; Budget tagging for climate change related activities by the Ministry of Finance; Translating ‘transparency framework’ under article 13 of PA into national context (Development of National Registry System, enhancing MRV and other relevant systems); Finalising REDD+ regulatory framework; Strengthening policies in key sector categories and related sectors; and Strengthening international cooperation/ partnership (bilateral, multilateral, regional) (Masripatin, 2017).

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CASE STUDY ANALYSIS

A strong recommendation from the stakeholder interviews with key ministry experts, in order to enhance the effectiveness of NDC commitment should include: i. Strengthening governance systems through various policy interventions within and beyond the forestry sector. In this case, two areas that need to be prioritised. These include a) the OMP by Geospatial Information Agency to ensure that there is no overlap among land claims and permits and b) social forestry by MoEF to eradicate poverty and hunger by giving land rights to forest communities and indigenous people. ii. Strengthening trade cooperation that provides sufficient market incentives for sustainable forest products. This can be achieved through certification of timber and oil palm products to ensure the deforestation free supply chains. iii. Addressing drivers of deforestation and forest degradation.

Peru Peru’s INDC aims to reduce GHG emissions by 30% and the period of implementation is 20212030. The total emissions are calculated based on a BaU scenario based on 2010 data and the INDC includes 58 mitigation options. The Peruvian state committed 20% of GHG reduction to be financed by national resources (unconditional contribution) and an additional 10% conditioned upon the availability of international financing and other favourable conditions (conditional contribution). The INDC also considers climate change adaptation measures in the water, forest, agriculture, fisheries and health sectors. The INDC of Peru considers mitigation in seven sectors: LULUCFS (67%), energy (12%), industrial (6%), agriculture (5%), transport (4%), waste (4%) and others (2%) (PCM, 2015b). Currently, Peru is developing an internal process of analysis and planning of the INDC and in 2016, the Peruvian State created a Multi-Sectoral Working Group (GTM) (MINAM, 2016b). In the first stage, six measures to reduce emissions were identified according to the relevant sectors (industry, energy, forest, agriculture, transport and waste); however, these six are redefined by type of action (water, agriculture, fisheries, forestry and health) and this new classification is more responsive to the NAMAs, whose design processes had already begun in different sectors. Eight mitigation options related to REDD+ identified and analysed in the GTM are: Sustainable Forest Management; Land Management; Protected Natural Areas; Reforestation; Recovery of Degraded Areas; Coffee Agroforestry Systems; Agroforestry Cocoa Systems; and Sustainable Brazilian Nut Forest Management. The GTM members plan to add one or two additional measures, and merge or rearrange some of the identified options. Between REDD+ and the eight mitigation options identified there are several potential synergies as these measures generate conditions and actions to reduce deforestation and forest degradation. In addition, the Peruvian State considers its INDC as part the ENBCC. Potential inconsistencies between the INDC and REDD+ actions may be linked with agricultural expansion. Additionally, access to public services and forest control are scarce in Amazon forest areas (UNDP, 2016) where deforestation levels are wide-ranging. Is important to note that artisanal gold exploitation without proper supervision is growing in the Amazon (Valencia, 2016) and is a main deforestation driver in the lowland Amazon area.

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CASE STUDY ANALYSIS

Interlinkages across governance levels Democratic Republic of the Congo In the development of the REDD+ process in the DRC, provincial and local governments have been involved in the national REDD+ consultations, integrated into the study on the drivers of deforestation and forest degradation and linked in the validation of the REDD+ National Framework Strategy. A deployment of focal points in the provinces was carried out in order to ensure a link between the national and provincial levels in terms of ownership of the process of participation and inclusion. REDD+ Summer Schools were conducted in the Orientale, Kasaï and Kasaï Orientale provinces. However stakeholder interviews clearly highlighted the fact the majority of meetings were held in Kinshasa rather than in the provinces. This alludes to a pattern of a top-down policy implementation in the DRC, with central discussions and validation in Kinshasa and implementation at provincial level (see map of new provinces in Figure 14). This pattern limits the inclusive involvement of local governments and stakeholders. The civil society platform was considered by many stakeholders as only representative of civil society in Kinshasa and not of the other provinces, which led to a restructuring of this platform in 2015. In July 2015, the number of provinces in the DRC officially grew from 11 to 26 as part of the decentralisation process aimed at improving the quality of provincial governance. In practice, however, many of the new provinces do not yet have their own structures required to function independently and funds to carry the decentralisation process have been lacking (the national government’s 2015 budget did not dedicate any money to the decentralisation process). Moreover, the national government has only ever remitted a small fraction of the 40% of revenue it is supposed by law to provide to the provinces (less than 6%).

Figure 14: Map of the provinces in the DRC as of July 2015

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CASE STUDY ANALYSIS

Indonesia Within Indonesia active steps have been taken to link national and provincial action plans. RANGRK, signed in 2011, was intended as a framework document to plan NAMAs. The RAN-GRK sits alongside RAD-GRK at provincial level. It is also mandated that the RAD-GRK be implemented at the district level. Currently, the work is in progress across 34 provinces in Indonesia and most of RAD-GRK is at the final stage. The work includes designing and setting reference emission levels and targets of emission reductions, as well as defining action plans and will be supported by other planning documents such as the National Medium Term Development Plan. The implementation of RAD-GRK is being facilitated by the secretariat of the reduction of national GHG emissions, SekRAN-GRK, which is currently coordinated by BAPPENAS. Several partners involved in support to SekRAN-GRK are the ICCTF (Indonesia Climate Change Trust Fund), GiZ PAKLIM, USAID ICE-II, and the FAO. The objective of this secretariat, together with partners, is to: • Provide guidelines for line ministries for planning, implementing, monitoring and evaluating GHG emissions reduction action plan.

• •

Provide guidelines for local government in the preparation of RAD-GRK. Design reference standards for public and entrepreneurs in planning and implementation of GHG emission reduction.

The institutional work of REDD+ has been established at the provincial level. The Indonesian National Strategy of REDD+ (STRANAS REDD+) was finalised in 2010, and the REDD+ strategic plan was integrated into the context and conditions of the provinces through an inclusive process. For example, in 2012, the Governor of Central Kalimantan, the province in which REDD+ is being piloted, issued Governor Regulation No 10/2012 on REDD+ Provincial Strategy. The Governor of Central Sulawesi similarly issued Governor Regulation No 40/2011 on the REDD+ Provincial Strategy in Central Sulawesi. West and East Kalimantan, Riau, Jambi, West and South Sumatera, West Papua and Papua, and Aceh have finalised their REDD+ Strategic Action Plans (Santosa, Khatarina and Suwana, 2013). Incorporation of these provincial REDD+ strategies into the NDC was achieved via the RAD-GRKs in all 34 provinces (BAPPENAS, 2016). The MoEF through the Directorate General of Climate Change provides skills enhancement and capacity building to the local governments. Most of the capacity building to the local government relates to monitoring. Specific initiatives include: • SIDIK (Vulnerability Index Information System) is a web-based data and information system on the vulnerability of a region or sector to the impacts of climate change. This can be used to monitor the effectiveness of development policy impacts on changes in vulnerability levels in a region or sector and understand the relative position of one region with another region.

•

•

•

SIGN SMART (National GHG Inventory System - Simple, Easy, Accurate, Compact, Transparent) is a web-based information system that provides information on the status, level and emission trends at the national level and forms the basis of official reports to Ministers and related sectors. SIGN-SMART is the basis for data to report to the UNFCCC Secretariat and published in the National Communication and Biennial Update Report (BUR). SIS-REDD+ (Information System of REDD+ Safeguards) is a web-based system dedicated to collecting, processing, analyzing and presenting necessary data and information on the implementation of the seven safeguards as set forth in Annex I Paragraph 2 Decision No. 1 COP-16. SIPONGI - KMS (Karhutla Monitoring System and links with other related systems in various K / L / Organization and KLHK scope) is an online resource on the management of early warning and detection of forest and land fires. The information covers: Analysis of Fire Danger Rating, Hotspot Detection Analysis, Trajectory Analysis of Wind and Smoke, and public complaints.

Despite these positive steps to integrate national and provincial approaches, the relationship between regency, provincial and national scale government entities remain complex in Indonesia. The Law No 23/2014 revoked the district governments’ authority to govern the state forest and put this authority in the hands of the provincial government. The intention is to allow for a smooth transition for the development of FMUs at the local level. However, giving the authority to the FMU limits the capacity to monitor the forest and enforce rules and regulations to the forest communities and business concessions beyond the state forest border. Therefore, district governments should have the authority to enforce rules outside the designated forest.

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CASE STUDY ANALYSIS

The stakeholder interviews highlighted the impact Law No 23/2014, which is currently being enacted, may have in setting up decentralisation policies and positively enhancing the participative and inclusive implementation of REDD+ and other national programmes. These interventions do however need to be viewed with caution, as illustrated by the following three examples:

1

The state forest allocation of approximately 12.7 million ha for social forestry and customary forest may be seen as an innovative instrument to ensure that forest authorities and rights are being decentralised to the forest communities. However, in practice, the state has the regulatory power on the guideline and can impose and block any community-based forest management that are being proposed by the forest communities and local governments.

2

The international pressure to address climate change creates central control by the government. The OMP has been promoted as a means to improve coordination as overlap in permits issued by different government agencies was identified as a major issue in deforestation and forest degradation. OMP is seen as a platform for private sector agents, ministry officials, provincial and district governments to participate in defining locations for the forest moratorium, being transparent in the decision-making process, and holding them accountable for effective emission reduction. However, this policy requires changes in terms of institutional arrangements and jurisdiction on land use and forest management, such as recentralisation of the forest mandate between the MoEF officials, provincial and district government. The lack of compliance with the 1998 Forestry Law on forest zone gazetting before exercising management authority by the MoEF officials remains a challenge, while the 2014 Constitutional Court injunction on recognition of customary forest as ‘non-state’ forest under the control of indigenous peoples cast a critical light on the roles of elected local governments.

3

The establishment of FMUs across Indonesia has become a strategy to reclaim forest authority to the central government. Law No 23/2014 makes way for the central government control by shifting the regency’s power and authority on forests to provincial government. In this law, provincial government acts as central government’s representative. This establishment is also part to reclaim or strengthen its power over contested areas of customary and state forest.

Peru Activities within Peru have shown the least advancement on involving provincial and district authorities in the REDD+ preparation process. It is anticipated that institutional plans of the provincial and district governments will integrate Agenda 2030 objectives on sustainable development; and this sub-national planning process is expected to end in 2019, when new local authorities assume these functions (2019-2022). Currently there are no efforts to increase or combine resources between different levels of government related to REDD+ or Agenda 2030. Decentralisation has been undertaken since 2002 at varying paces across the country (Congreso de la República, 2007). Regional Amazon governments (94% of Peruvian forests) have almost completely transferred functions (more than 97%) (Meneses, Ramos and Toro, 2015). Under the Peruvian legal framework, regional governments are legal entities under public law with political, economic and administrative autonomy and with jurisdiction in their territories. A core function of regional governments is to promote sustainable development through public and private investment and employment by ensuring the full exercise of rights and to guarantee equal opportunities for their inhabitants in accordance with national, regional and local development planning. All Amazon regional governments are already able to grant ownership and exercise control and monitoring of the forest and wildlife heritage of their territorial districts. However since the outset of the decentralisation process, regional governments have encountered capacity, technical and financial gaps to fulfill these functions adequately. As a result, forest concessions, which have been implemented since 2002, have extensive problems. Concurrently, the central government has transferred agricultural development and promotion and rural land registration to regional functions. Peru’s forest conservation goals are gradually being integrated into national plans. The ENBCC - the main plan and management tool for REDD+ application in national territory (MINAM 2016b) will be implemented along with LULUCFs and Agriculture actions under the Peruvian NDC. Despite the progress of integrating REDD+ in development plans, the challenge remains for an effective and decentralised implementation of these policy frameworks. At national and sub-national planning policy, potential synergies and complementarities between REDD+ and INDCs have been identified. However with the reality of decentralised implementation of Peru’s INDC, inconsistencies could arise due to the limitations and fragmentation of the Peruvian public investment framework.

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CASE STUDY ANALYSIS

At the regional level, public funds are used to promote agriculture, livestock and infrastructure development in the Amazon. This is a concerning trend as forest zoning is incomplete, as is the clear inclusion of forest conservation safeguards in the use of public investment funds. In addition, public initiatives do not currently include criteria to evaluate deforestation risks or safeguards related to forests. Forest conservation safeguards refer to measures that must be taken to prevent or avoid negative impact on forest (deforestation and forest degradation) during the development of any economic activity on forestlands. A detailed analysis of the public investments in this regard is shown in Table 11. In Peru, there is a trend of increasing conflict between deforestation and forest safeguards. The INDC is proposed by central government, while much of the budget for agriculture or infrastructure is promoted at sub-national level as a result of the decentralisation process. The greatest potential conflict lies not in the planning of policies, but in their effective and decentralised implementation, and the availability of financial resources to execute them. Table 11: Analysis of identified public investment initiatives and deforestation risk NO.

PUBLIC INITIATIVES

POSSIBLE OMISSION OR CONTENTION RELATED TO REDD+

1.

Plan to renew coffee fields (Plan de Renovación de Cafetales).

The plan aimed to renew 80 000 ha of coffee plantations affected by the coffee blight disease. From 2013 to 2016, the plan financed the replanting of 40 000 ha and invested more than US$ 140 million. The implementation of this plan did not include a specific safeguard for forest conservation and coffee replanting has resulted in deforestation.

2.

Budget programme number 72: Integral and sustainable programme for alternative development PIRDAIS (Programa presupuestal N° 72: Programa de Desarrollo Alternativo Integral y Sostenible – PIRDAIS)

The budget programme is an instrument for planning and channeling public investment, based on objectives strategically defined by the country. In this case, PIRDAIS is oriented to promote alternative development to reduce illicit cultivation of coca in diverse areas of Peru. In 2015, annual investment through PIRDAIS exceeded US$ 43 million and more than 50% of this investment goes to rural development programmes (DEVIDA, 2016). PIRDAIS does not report inclusion of specific safeguards for forest conservation or production free of deforestation. It should be noted that the PIRDAIS does invest in reforestation activities (8% of the total annual investment in 2015).

3.

Special Projects: Puyango-Tumbes; Lago Titicaca; Río Putumayo; JequetepequeZaña; Sierra-Centro-Sur; Jaén-San IgnacioBagua; Alto Huallaga; Pichis-Palcazú; Datem del Marañón-Alto Amazonas-LoretoCondorcanqui; Valle de los Ríos ApurímacEne y Mantaro.

The Special Projects develop along two main work lines: the construction of rural infrastructure and the promotion of agricultural development in priority areas. These projects have no end date, and are coordinated by MINAGRI, but have administrative autonomy. Based on a literature review no explicit policies and measures have been identified for preventing deforestation in the geographical area of intervention.

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CASE STUDY ANALYSIS

Coordination mechanisms Democratic Republic of the Congo Within the DRC there are different governance frameworks in place for REDD+ (though some would need to be revived) as well as some options that could be developed if the NSDP is validated. Consequently, within the DRC a key urgent step is the discussion and design requirements for a suitable national coordination mechanism and the ironing out of roles and responsibilities for coordination. The stakeholder workshop held as part of this study is an initial step in these discussions. Despite the positive outcomes of the workshop discussions, until the NSDP is officially validated uncertainty in the next steps and galvanising a coordination process will continue to be stalled. Options and recommendations emerging from the stakeholder workshop discussion for a coordination mechanism in the DRC include: • The Economic Governance Thematic Group acts as a coordinating body to support effective feedback between different levels of government and foster policy coherence. The Ministry of Finance presides over the Economic Governance TG, which includes eight ministries whose mandates include the responsibility of implementing economic and governance measures (including REDD+ measures included in the Economic Governance matrix) so it provides a high-level and multi-stakeholder platform for political dialogue. At the technical level, the Economic Governance Thematic Group benefits from the support of the Technical Committee for the National Reforms, which meets at minimum on a monthly basis and could also support coordination of the REDD+ and SDG processes.

•

•

Ongoing discussions at the MEDD level are aimed at establishing a commission for sustainable development at prime minister level in order to ensure implementation of the sustainable development strategy in the future as well as sustainable development units in each sectoral ministry. This commission and units could therefore play the role of coordination between the two processes (REDD+ and SDGs) and the other national action plans. This would however raise the question of redundancy or at least reorganization and discussion of responsibilities with the already existing departments of study and planning in each sectoral ministry and under the authority of the Ministry of Planning and Revolution for Modernity. Establishment of clear communication and information flows. There have been communication failures in documenting and reacting to lessons learned from pilot REDD+ projects. In addition, the stakeholder interviews clearly showed a strong consensus around a lack of investment in the local expertise developed during the preparation phase for the pilot projects. The result of this is that the extensive knowledge of provincial focal points, put in place in 2012, acquired on REDD+ and experience of the challenges, and of stakeholders on the ground has not been communicated or adequately documented. Local implementation experts have further been largely excluded in the REDD+ investment phase resulting in weak integration of these critical lessons from local expertise.

Indonesia In Indonesia, REDD+ and the NDC are being coordinated by the MoEF, while the SDG framework is being led by BAPPENAS. When articulated at the local level, the NDCs and SDGs are being coordinated by the Provincial Planning and Development Agency (BAPPEDA). Therefore, at the local level a clear coordination mechanism exists. At the national level however it is unclear how the MoEF and BAPPENAS will both coordinate to achieve the complementary goals between REDD+, the NDC and the SDGs. The option of forming a National Coordinating Team of SDGs, as mandated by Presidential Regulation, exists. The modality for this formation is unclear and such ambiguity raises questions about the ability of the National Coordinating Team to achieve the priorities of the President to reduce poverty and inequality. This lack of clarity also creates confusion within subnational governments as to determining approaches in implementing the SDGs. Indonesia’s rank as reported by SDSN fell from 98 of 149 countries in 2016 to the 100 of 157 countries by 2017 (SDSN & Bertelsmann Stiftung, 2017). This negative trend may maybe be indicative of poor coordination and question the ability of the National Coordinating Team to resolve the issue. Discussions and recommendations emerging from the stakeholder workshop on potential coordination mechanisms and interventions include: • Clarify the roles and responsibilities of the MoEF, where both the REDD+ and NDC efforts are being coordinated but currently no clear objective or road map exists and there is confusion amongst ministries on the role of the MoEF.

•

Proposal to put the SDG, NDC and REDD+ coordination under the Ministry of Economics, with the justification that action plans affect economic development plans. It was raised that

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•

•

•

this proposal needs to be thought out in terms of transparency and ensuring vested interests by government in economic development do not get priority over environmental and social safeguards. Clarify terminology used in the presidential instructions. This recommendation was suggested due to confusion around the moratorium policy, which has been extended until 2019. Stakeholders felt there may be limited success of forest protection and emission reduction targets with a current lack of transparency in forest management. It was highlighted that approximately 31% (21,552 hotspots) were burning in areas which should have been protected under the Moratorium Indicative Map (PIPPIB). Moreover, the policy has failed to stem deforestation, which has seen actual forest cover decrease by 831 053 ha. There is an indication that after the moratorium was announced, a number of instances of official forest were converted to non-institutionally recognised forest (APL). Confusion over terminology used in presidential instruction, exclusion of some areas of primary forest and peatland, and the practicalities of enforcement has limited the effectiveness of the forest moratorium, leaving 29% of the country’s peatlands and 21% of Indonesia’s remaining primary forest unprotected. Further terminology issues were flagged with PIPPIB and the inclusion of community-managed forest areas in the map. It was flagged that this inclusion has the potential to threaten existing social forestry licenses and hamper issuance of new licenses, which recognise the right of local communities to sustainable forest management. This places considerable doubt on the president’s social forestry target of 12.7 million ha. Based on this limitation success of forest moratorium policy, in 2016, the government also developed the OMP. The OMP aims to speed up the process of synchronising all official maps to support land acquisition for infrastructure development and provide a better business environment. The government intends not only to accelerate the OMP for reducing deforestation, but also to expand its use into other areas. Not only will it clarify administrative boundaries, help to resolve land use conflicts, and improve conservation and disaster management, but it will also help the government to create better spatial planning for economic development.

Peru In Peru the REDD+ planning and management process and the Agenda 2030 construction process do not yet include feedback mechanisms between sectors and levels of government. The current government has not fully implemented a permanent coordination mechanism for public policy management, but it does organize regular meetings with regional and local governments. The main challenge to REDD+ integration in public policy formulation and Agenda 2030 would be to strengthen institutional communication and knowledge sharing, as MINAM is required to build REDD+ capacities and CEPLAN is required to strengthen integration of REDD+ into the Agenda 2030 process. Some limited coordination occurs between institutions but without a common road map or structure. The coordination and involvement of REDD+ actors does not have an official platform at the present time and the design and establishment of a National REDD+ Authority is still under evaluation. Agenda 2030 is gradually being integrated into national public administration, drawing on the existing institutional arrangements and platforms (e.g. the Poverty Reduction Roundtable and National Agreement Forum among others) and also within the current legal framework. In addition to this integration, the INDC design mechanism has been formalised as a Multi-Sectoral Working Group and the National Strategy for Climate Change has a National Commission that currently supervises its implementation process. Across all three case study countries there is currently no specific formal mechanism that supports inter-ministerial or inter-agency collaboration, coordination and policy arbitration between the REDD+ and SDG processes.

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Monitoring Democratic Republic of the Congo To date the most conclusive analysis of monitoring targets for the SDGs in the DRC comes from the “Contextualisation and Prioritisation of the Sustainable Development Goals (SDGs) in DRC” report (Ministère du Plan et Suivi de la Révolution de la Modernité, 2016). Experts from the OCDD conducted an exhaustive analysis of 65 national, sectoral and sub-regional plans, programmes, policies and strategies which form the national framework of reference for macroeconomic and sectoral policies implemented in the DRC. Using the rapid integrated assessment tool, the degree of alignment between the existing national and sectoral planning framework and the prioritised SDGs in the DRC was identified. The analysis did not, however, take into account the National Strategic Development Plan 2017-2021 which was being formulated at the time and is still undergoing validation. The study revealed that there was some integration of the SDG targets in the GPRSP2 and Government Action Programme 2012-2016, as well as in many of the sectoral policies. Out of the 105 prioritised targets in the exercise, 91 SDG targets (86.6%) were considered in the programmatic framework of the DRC against 14 missing targets9 (13.3%). The OCDD study concluded there is a lack of integration of gender issues (SDG 5) in the GPRSP2, the Government Action Programme, and in many of the sectoral strategies. Other challenges that need to be better addressed include the quality of livelihoods, mostly regarding urban pollution, waste management and recycling (11.6 and 12.6), and questions of inequality such as the reduction of income inequalities (10.1). In addition, the OCDD study noted the lack of integration of environmental management in the GPRSP2, in particular, reduction of the negative environmental impact of cities (11.6), waste production (12.3 and 12.5), sustainable procurement practices (SDG 12.7), and protection of ecosystems and biodiversity (15.9) and its non-integration of poverty reduction strategies. No explicit reference is made to the management of fishery resources (14.4). When analyzing development planning in the context of policy synergies between REDD+ and the SDGs, there is need for collaboration among sectors, both in the planning of activities and in their implementation. According to the OCDD study, targets 1.2 (reducing at least half of men, women and children of all ages living in poverty in all its dimensions according to national definitions) and 8.2 (achieving a high level of productivity through diversification, technological modernisation and innovation, in particular by focusing on high-value-added and high-value-added sectors labour force) are prioritised by several sectors. The OCDD study also highlights the lack of synergies between some sectors, while synergies between their interventions could enable mutual strengthening. Only an integrated approach in the NSDP and the sectoral strategies will enable effective implementation of the SDGs. In terms of means of implementation and monitoring, the OCDD study highlights the lack of an appropriate logical framework with indicators relevant to monitoring, both in the GPRSP2 and the Government Action Programme and in many of the sectoral strategies. In particular, a robust logical framework is essential for the results-based approach. There is also a need for a detailed analysis of SDG 17 on the means of implementation, in order to define a coherent programme funding framework, transfer of technology, cooperation, capacity-building and production of statistical data. Table 12 compares the current indicators used to monitor the achievement of the national REDD+ strategy, the INDC, SDGs 13 and 15 and the NSDP. The table demonstrates the relevance in synergising availability of information and resources to monitor in a systemic way. Appendix 5 also compares indicators between the CAFI milestones, SDGs 13 and 15 and the NSDP. The key recommendation from this analysis is the need for joint frameworks to be developed for robust monitoring and evaluation mechanisms.

9

Missing targets are: 3.9; 10.1; 10.5; 10.6; 10.7; 11.6; 11.7; 12.3; 12.5; 12.6; 12.7; 14.1; 14.3; 14.4

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Table 12: Comparison of MRV indicators for REDD+, INDC, SDG and NSDP in the DRC NATIONAL REDD+ STRATEGY

INTENDED NATIONALLY DESIGNATED CONTRIBUTION (INDC)

CLIMATE CHANGE AND FORESTRELATED SDG (13, 15)

NATIONAL STRATEGIC DEVELOPMENT PLAN (still under validation)

By 2030, stabilise and maintain a forest cover of 63.5% of the national territory with a reduction of emissions linked to deforestation and forest degradation of 56% compared to the reference level, while improving people’s livelihoods.

As a first step, the INDC sets the ceiling at 17% of the reduction level.

13.2.1 Number of countries that have communicated the establishment or operationalisation of an integrated policy/ strategy/plan which increases their ability to adapt to the adverse impacts of climate change, and foster climate resilience and low GHG emissions development in a manner that does not threaten food production (including a national adaptation plan, nationally determined contribution, national communication, biennial update report or other)

Environment domain:

15.1.1 Forest area as a proportion of total land area

Reforestation rate (%) (10 in 2015 compared with 90 in 2021).

15.1.2 Proportion of important sites for terrestrial and freshwater biodiversity that are covered by protected areas, by ecosystem type

Number of protected areas (8 in 2015, 16 in 2021). Percentage of companies with low ecological footprint technology. Forest sector: Deforestation rate (%) (0.3 in 2015 and 0.005 in 2021)

Share of wood industry in GDP (