1.
Safeguards and standards for equity in REDD+
Phil Franks, IIED/REDD+ SES Secretariat

2.
Safeguards and standards – what
the difference (in REDD+)?
• Safeguards are measures such as policies,
laws, regulations, procedures and customary
norms which provide protection to the
interests/rights of stakeholders to avoid/reduce
harm and/or enhance benefits.
• Standards are technical specifications that
define a certain level of achievement in
complying with the safeguards. Can be used
in assessing the implementation of safeguards.

3.
Elements of a Country Safeguards Approach
Safeguards
Information System
Provides information about
how safeguards are
addressed and respected,
including a summary for
UNFCCC and for other
information needs
Feedback and
Grievance Redress
Mechanism
Country level mechanism
to receive and address
grievances related
to the country
safeguards approach
Policies, Laws
and Regulations
Normative framework
that defines &
operationalizes country-
specific REDD+
safeguards
interpretation
Institutions (formal and informal)
To ensure fair and effective design and implementation of these elements
Processes and Procedures
That support operationalization of the country safeguards approach including processes for
consultation, access to information, strategic assessments, analysis etc.

4.
Standards structure
Principle
Key objectives that define high social and
environmental performance
Criterion
Conditions that must be met related to
policies, processes, and outcomes to deliver
on principles
Indicator
Quantitative or qualitative information to
show progress achieving a criterion
Essence Qualifiers
Basic idea Key quality elements

5.
When undertaking REDD+ activities, the following safeguards
should be promoted and supported:
(a) Complement or consistent with the objectives of national
forest programmes and relevant international conventions
and agreements
(b) Transparent and effective national forest governance
structures
(c) Respect for the knowledge and rights of indigenous peoples
and members of local communities
(d) Full and effective participation of relevant stakeholders
(e) Consistent with the conservation of natural forests and
biological diversity
• not used for conversion of natural forests
• protection and conservation of natural forests and their
ecosystem services,
• enhance other social and environmental benefits
(f) Address the risks of reversals
(g) Reduce displacement of emissions
REDD+ Safeguards from an equity perspective
Recognition
Procedure
Distribution

6.
REDD+SES indicators from an equity
perspective
Recognition
• Recognition and respect for rights
• Respect for knowledge and institutions
11
4
Procedure
• Effective participation
• Access to appropriate information/capacity Building
• Access to justice
14
14
2
Distribution
• Benefit according to results
• Benefit according to efforts
• Benefit according to costs
• Benefit according to rights
• Benefit according to needs
• Should be equitable/become more equitable
0
0
1
1
5
2

7.
REDD+ SES theory of change
• Race to the top (2008-11)
• REDD+ SES is used as an assessment framework for reporting high social
performance
• CCBA carbon project standards prove that this works IF
• High social performance is strongly recognised/rewarded by REDD+
financing agencies (markets and funds)
• Incremental gains (2012- ). Multi-stakeholder process in which:
• Governments establish a system to provide safeguards information to
national and local stakeholders, as well as to provide a summary to the
UNFCCC and international stakeholders.
• Governments ensure that design and implementation of a safeguards
approach has a high level of transparency and stakeholder participation.
• Key civil society actors engage in defining the safeguards approach and
assessing how safeguards are addressed and respected (i.e. SIS)
• Civil society calls for change to strengthen policy and practice related to
safeguards and accepts, where necessary, an incremental approach

8.
Reflections on using safeguards/standards to
enhance equity in ecosystem governance
• Safeguards are a cornerstone of social agenda of ecosystem gov – all
dimensions. Nothing new - just packaged in one place in REDD+
• Different kinds of safeguards based on:
o State policies/laws/regulations
o Policies of non-state actors
o Customary norms
• Standards (C&I) provide a basis for assessing performance vs safeguards and
informing action planning (adaptive management)
• What to do where major gaps in safeguards e.g. FPIC, gender equity?
• Implies a twin track approach
o Work with safeguards that exist
o Standards-based M&E can cover gaps and inform safeguard development
• But development of standards and performance assessment is complex and
costly (esp if multi-stakeholder). Need to be a highly pragmatic and strategic