InceptionReportPreparing a FGRM for REDD+ after an Explicit Assessment of Existing Feedback and Grievance

RedressalMechanisms(FGRM)&DevelopingSafeguardsInformationSystem(SIS)andSocialand

Environmental Management Framework (ESMF) through Strategic Environmental and Social

Assessment(SESA)

August2017

MinistryofClimateChange

TableofContents

1. Introduction............................................................................................................4Context.......................................................................................................................................4Objectivesofthisconsultancy.....................................................................................................5Objectiveandstructureofthereport..........................................................................................6

2. Relevantinternationalsafeguardrequirements.......................................................6Safeguards..................................................................................................................................6UNFCCCsafeguardrequirements................................................................................................6FCPFSafeguardrequirements.....................................................................................................8

3. KeyprogressinPakistantodate............................................................................11OverallReadinessprogress.......................................................................................................11Safeguard-relevantprogress.....................................................................................................12Institutionalarrangementstoensureadequateparticipation.....................................................12Consultation,participationandoutreach.....................................................................................14Grievanceredressmechanisms....................................................................................................14

ProgressonREDD+...................................................................................................................15

4. Proposedtasks,outputsandworkplan.................................................................17

ANNEXI...........................................................................................................................35

Abbreviations

(CF)MF (CarbonFund)MethodologicalFrameworkCBA Cost-BenefitAnalysisCOP ConferenceofthePartiesCSO CivilSocietyOrganizationsEA EnvironmentalAssessment

ERPIN EmissionReductionsProgramIdeaNoteERProgramme EmissionReductionProgramme

ESMF EnvironmentalandSocialManagementFrameworkFCPF ForestCarbonPartnershipFacility(undertheWorldBank)

FREL/FRL ForestReferenceEmissionLeveland/orForestReferenceLevelGHG GreenhouseGasGHGI GreenhouseGasInventoryGRM GrievanceRedressMechanismGUI GraphicalUserInterface

MACCs MarginalAbatementCostCurvesMBIGS MultipleBenefits,ImpactsandGovernanceSafeguardsMRV Measured,reportedandverifiedNFMS NationalForestMonitoringSystemNGO Non-GovernmentOrganizationsNSC NationalSteeringCommittee

PaMs PoliciesandMeasuresPES PaymentforEnvironmentalServices

PGIU ProvincialGrievanceandImplementationUnitPLRs Policies,LawsandRegulations

PRMC ProvincialREDD+ManagementCommitteeR-Package ReadinessPackage(undertheFCPF)

R-PP ReadinessPreparationProposalREDD+ ReducingEmissionsfromDeforestationandForestDegradation,and

conservation,sustainablemanagementofforestsandenhancementofforestcarbonstock

ROSE REDD+OpportunitiesScopingExerciseSDPI SustainableDevelopmentPolicyInstituteSESA StrategicEnvironmentalandSocialAssessmentSIS SafeguardInformationSystem

SLMS SatelliteLandMonitoringSystemSOI SummaryofInformationTOR TermsofReferenceTS TargetedSupport

UNFCCC UnitedNationsFrameworkConventiononClimateChangeWG WorkingGroup

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1. IntroductionContext

Inrecognitionoftheroleforestscanplayineffortstomitigateandadapttoglobalclimatechange,PartiestotheUnitedNationsFrameworkConventiononClimateChange(UNFCCC)developedapolicymechanismtocontributetothereductionofglobalcarbonemissionsfromdeforestationandenhancetheir resilience by providing financial incentives, in the form of ‘results-based payments’, todeveloping countries that successfully slow or reverse forest loss. This mechanism is known asReducingEmissionsfromDeforestationandForest Degradation(REDD),andconservation,sustainable managementofforestsandenhancementofforestcarbonstock (+).TheUNFCCCConferenceoftheParties (COP)has articulated fiveREDD+activities that developing countries can implement to beeligibletoreceivethesepayments:1

• Reducingemissionsfromdeforestation;• Reducingemissionsfromforestdegradation;• Sustainablemanagementofforests;• Conservationofforestcarbonstocks;and• Enhancementofforestcarbonstocks

Afterseveralyearsofnegotiationsanddiscussionsattheinternationallevel,theUNFCCCCOPadoptedthe‘WarsawFrameworkforREDD+’atits19thmeetinginDecember2013.2ThisofficiallyanchoredREDD+totheUNFCCCregime.TheWarsawFrameworkbuildsonpreviousCOPdecisionsandclarifiesand consolidates the requirements andmethodological guidance countriesmustmeet inorder toaccess results-based finance.3 According to the Warsaw Framework, developing country Partiesaimingtoreceiveresults-basedfinanceforREDD+must:

• Ensure that the anthropogenic forest-related emissions by sources and removals resultingfromtheimplementationofREDD+activitiesarefullymeasured,reportedandverified(MRV)inaccordancewithUNFCCCguidance;4

• Haveinplace:5a. Anationalstrategyoractionplan(a linktowhich issharedontheUNFCCCREDD+

WebPortal);b. A national forest reference emission level and/or forest reference level, or if

appropriate, as an interim measure, subnational forest reference emission levelsand/or forestreference level (thathasundergoneaUNFCCC-coordinatedtechnicalassessmentprocess);

c. ArobustandtransparentnationalforestmonitoringsystemforthemonitoringandreportingofREDD+activities;and

d. Asystemforprovidinginformationonhowthesafeguardsarebeingaddressedandrespected(SIS);

• EnsurethatREDD+activities,regardlessofthesourceandtypeoffunding,areimplementedinamannerconsistentwiththeUNFCCCREDD+safeguards;6and

1UNFCCCDecision1/CP.16paragraph702UNFCCCDecisions9/CP.19;10/CP.19;11/CP.19;12/CP.19;13/CP.19;14CP.19and15/CP.193UNFCCCDecision2/CP.17paragraph634UNFCCCDecision1/CP.16paragraph735UNFCCCDecision1/CP.16paragraph716UNFCCCDecision2/CP.17paragraph63

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• ProvidethemostrecentsummaryofinformationonhowalltheUNFCCCREDD+safeguardshavebeenaddressedandrespectedbeforetheycanreceiveresults-basedpayments.7

REDD+ isbasedona three-phasedapproach,which includes:Readiness (Phase I), implementation(PhaseII)andresults-basedactions(PhaseIII).8However,duetothesignificanttime-framebetweenREDD+’sinitialconceptionandintroductionasaUNFCCCnegotiationtopicatCOP13inBali9anditsfinalisation at COP 19 inWarsaw, several multilateral institutions and bilateral agreements wereestablished to fund initial REDD+ readiness activities, including the World Bank’s Forest CarbonPartnershipFacility(FCPF),whichwassetupin2010“toassistEligibleREDDCountriesintheireffortstoachieveEmissionReductionsfromdeforestationand/orforestdegradationbyprovidingthemwithfinancialandtechnicalassistanceinbuildingtheircapacitytobenefitfrompossiblefuturesystemsofpositiveincentivesforREDD.”10AsaparticipatingcountrytotheFCPF,PakistanhassofarreceivedUS$3.8millionfromtheFCPFtosupport itsREDD+Readinessactivitiesdetailed in itsReadinessPreparationProposal (R-PP).11ThismeansthattomeetitscontractualagreementwiththeFCPFandbenefitfromtheinternationalREDD+mechanismundertheUNFCCC,PakistanmustmeetbothUNFCCCandFCPFrequirements,whichalsoincluderequirementsonsafeguards.

ObjectivesofthisconsultancyThepurposeofthisconsultancyistohelpmeetinternationalsafeguardrequirementsunderUNFCCCandFCPF,andensurethesocialandecologicalsustainabilityofREDD+inPakistanby:

• Conducting a Strategic Environmental and Social Assessment (SESA) to (i) ensure theintegrationofenvironmentalandsocialconsiderationsduringtheformulationoftheNationalREDD+Strategy,andthatREDD+Readinessactivitiescomplywithallapplicablesafeguards,and(ii)strengthenthespaceforpolicydialoguealreadyopenedthroughthepreparationofaReadinessPreparationProposal(R-PP),supportingamoreeffectiveunderstandingbyvariousstakeholdersofissuessuchaslandandterritory,driversandcausesofdeforestation,risksandimpacts, institutionalcapacity,andalso identifytransparentandprecisemethodologiesformeasuringcarbonreservesandstocksamongothernecessaryfactorsfortheNationalREDD+Strategytofunction;

• Developing an Environmental and Social Management Framework (ESMF) to manage theresidualimpactsofREDD+strategyimplementationandthemanagementoffutureprojects,policiesandactivitiesthroughwhichtheREDD+strategywillbeimplemented;

• DevelopingaSafeguardsInformationSystem(SIS)thatservesmultipleobjectivesatdifferentlevels, including reporting internationally for results-based financing, and providinginformation within the country to improve the implementation of the REDD+ strategy(adaptive management) and to build and maintain stakeholder and political support forREDD+;and

7UNFCCCDecision9/CP.19paragraph48UNFCCCDecision1/CP.16paragraph739UNFCCCDecision2/CP.1310TheotherstatedobjectivesoftheFCPFare:Topilotaperformance-basedpaymentsystemforEmissionReductionsgeneratedfromREDDactivities,withaviewtoensuringequitablebenefitsharingandpromotingfuturelargescalepositiveincentivesforREDD;totestwaystosustainorenhancelivelihoodsoflocalcommunitiesandtoconservebiodiversity;andTodisseminatebroadlytheknowledgegainedinthedevelopment of the Facility and implementation of Readiness Preparation Proposals and Emission Reductions Programs. FCPF, (2010)Charter Establishing the FCPF. The International Bank for Reconstruction and Development (IBRD). Available:http://www.forestcarbonpartnership.org/sites/forestcarbonpartnership.org/files/Documents/PDF/Sep2010/FCPF_Charter-August_2010_clean.pdf11https://www.forestcarbonpartnership.org/pakistan

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• Developing a Feedback and Grievance Redressal Mechanism (FGRM) to address thecomplexityofissuesanddiversityofstakeholders,especiallythoseofforest-dependentethnicgroupsandlocalcommunitiesthatmayleadtonumerousquestions,inquiries,andpotentialgrievancesregardingtheREDD+strategyorprocess.

Pakistan’sintentionistoengageinREDD+activitiesbothundertheFCPFandtheUNFCCC,meaningthat both sets of requirements will need to be complied with, including on safeguards. Thisconsultancy will strive to carry out a strategic environmental and social assessment (SESA) anddeveloptheESMFandSISinamannerthatwillcontributetomeetingthesemultiplerequirementsinacoordinated,efficientandcost-effectivemanner.

ObjectiveandstructureofthereportThefollowinginceptionreportaimstooutlinethetasksandoutputsthatwillbeundertakenaspartofthisconsultancy.Itisstructuredinthefollowingmanner:

• Section 2 analyses the UNFCCC and FCPF safeguard requirements, both substantive andprocedural;

• Section 3 briefly highlights key readiness progressmade in Pakistan to date, with a focus onsafeguardrelevantactivities;and

• Section4fleshesouttheproposedworkplanfortheconsultancy,includingactivities,outputsandtimeframes,basedontheconsultancy’stermsofreference(TORs)andtechnicalproposal.

2. Relevantinternationalsafeguardrequirements

Safeguards‘Safeguards’ isatermthatcanbetracedtofinancial institutionssuchastheWorldBank,andreferstomeasurestopreventandmitigateundueharmfrominvestmentordevelopmentactivities.Thisinvolvespricing and prioritising risks and developing a riskmanagement process to insure against the risk of acertaintypeofactivitytriggeringaninitiative’ssafeguardaccountabilitymechanisms.12

UNFCCCsafeguardrequirementsAlthough REDD+ is primarily a mechanism to incentivise forest-based climate change mitigation, it isbroadlyagreedthatitshould,asaminimum,‘donoharm’,andwherepossiblegobeyondthisto‘dogood’and achieve multiple (carbon and non-carbon) benefits. Given the potential environmental risks andbenefitsofREDD+implementation,PartiestotheUNFCCCrecognisedtheneedtoensurethattherulesand guidance for REDD+ includemeasures to protect those potentially at risk, particularly indigenouspeoples, local communities and biodiversity. For this reason, they agreed to the adoption of sevensafeguardsforREDD+atthe16thConferenceoftheParties(COP16)alsoknownasthe‘Cancunsafeguards’(seeBox1).Box1:TheCancunsafeguards

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12McDermott,ConstanceL.,Coad,L.,Helfgott,A.,Schroeder,H.,(2012),OperationalizingsocialsafeguardsinREDD+:actors,interestsandideas,EnvironmentalScienceandPolicy,21,p.68.13UNFCCCDecision1/CP.16Appendix1paragraph2

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Whenundertakingtheactivitiesreferredtoinparagraph70ofthisdecision,thefollowingsafeguardsshouldbepromotedandsupported:(a)Thatactionscomplementorareconsistentwiththeobjectivesofnationalforestprogrammesandrelevantinternationalconventionsandagreements;(b) Transparent and effective national forest governance structures, taking into account nationallegislationandsovereignty;(c)Respectfortheknowledgeandrightsofindigenouspeoplesandmembersoflocalcommunities,bytakingintoaccountrelevantinternationalobligations,nationalcircumstancesandlaws,andnotingthattheUnitedNationsGeneral Assembly has adopted theUnitedNations Declaration on the Rights ofIndigenousPeoples;(d)The fullandeffectiveparticipationof relevantstakeholders, inparticular indigenouspeoplesandlocalcommunities,intheactionsreferredtoinparagraphs70and72ofthisdecision;(e)Thatactionsareconsistentwiththeconservationofnaturalforestsandbiologicaldiversity,ensuringthattheactionsreferredtoinparagraph70ofthisdecisionarenotusedfortheconversionofnaturalforests,butareinsteadusedtoincentivizetheprotectionandconservationofnaturalforestsandtheirecosystemservices,andtoenhanceothersocialandenvironmentalbenefits;14(f)Actionstoaddresstherisksofreversals;(g)Actionstoreducedisplacementofemissions

TheUNFCCCrecognisesthatsafeguardsareakeypartofREDD+implementation,and linkstheCancunsafeguardstoresults-basedpayments, requiringthatcountriesdemonstratehowtheyhaveaddressedand respected them throughout the implementation of their REDD+ activities.15 The specific UNFCCCsafeguardrequirementsarethefollowing:Requirement1:ImplementREDD+activitiesinamannerconsistentwiththeCancunsafeguardsREDD+activities,regardlessoftheirtypeoffundingsource,aretobeimplementedinsuchawaythatisconsistentwiththeCancunsafeguards.16ThisimpliesthatcountriesshouldtakestepstodefinehowtheCancunsafeguardswillbeimplemented,andtoensurecompliancewiththesafeguardsthroughouttheimplementationofREDD+activities.

Requirement2:EstablishasystemtoprovideinformationonhowtheCancunsafeguardsarebeingaddressedandrespectedThegovernmentsofcountriesimplementingREDD+activitiesarerequiredtoestablishasystemtoprovideinformationonhowthesevenCancunsafeguardsarebeingaddressedandrespectedinallofthephasesof implementation of REDD+ activities.17 This is commonly referred to as the Safeguard Information

System,orSIS.AccordingtotheUNFCCCguidelines,theSISshould:18

• Beconsistentwithguidanceindecision1/CP.16,appendixI,paragraph119; 14 Takingintoaccounttheneedforsustainablelivelihoodsofindigenouspeoplesandlocalcommunitiesandtheirinterdependenceon

forestsinmostcountries,reflectedintheUnitedNationsDeclarationontheRightsofIndigenousPeoples,aswellasInternationalMotherEarthDay.

15 UNFCCCDecision2/CP.17,Paragraphs63and64,whichshouldbereadalongwithUNFCCCDecision1/CP.16,Paragraph69andAppendix1,Paragraph2.

16 “Agreesthat,regardlessofthesourceortypeoffinancing,theactivitiesreferredtoindecision1/CP.16paragraph70,shouldbeconsistentwiththerelevantprovisionsincludedindecision1/CP.16,includingthesafeguardsinitsappendixI”UNFCCCDecision2/CP.17paragraph63

17 UNFCCCDecision1/CP.16Paragraph71(d).18 UNFCCCDecision12/CP.17Paragraph219 WhichstatesthatREDD+activitiesshould:(a)ContributetotheachievementoftheobjectivesetoutinArticle2oftheConvention;(b)

ContributetothefulfilmentofthecommitmentssetoutinArticle4,paragraph3,oftheConvention;(c)Becountry-drivenandbe

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• Providetransparentandconsistentinformationthatisaccessiblebyallrelevantstakeholdersandupdatedonaregularbasis;

• Betransparentandflexibletoallowforimprovementsovertime;• Provideinformationonhowallthesafeguardsarebeingaddressedandrespected;• Becountry-drivenandimplementedatthenationallevel;• Builduponexistingsystems,asappropriate.

Requirement3:ProvideasummaryofinformationonhowtheCancunsafeguardsarebeingaddressedandrespectedIn order to receive results-based payments, countries must present their most recent summary of

information demonstrating how the safeguards have been addressed and respected (subsequentlyreferredtoasthesummaryof informationorSOI).20TheUNFCCCalsoestablishesthatthesummaryofinformation should be provided periodically, and be included in national communications or othercommunication channels identified by the COP. An additional and voluntary format for providinginformationtotheUNFCCCisthroughtheUNFCCCREDD+webplatform.21InthefinalseriesofdecisionsonREDD+,agreedinParisatCOP21,PartiestotheUNFCCCdevelopedsomefurtherguidance“onensuringtransparency,consistency,comprehensivenessandeffectivenesswhen informing on how all the safeguards referred to in decision 1/CP.16, appendix I, are beingaddressedandrespected.”22Aspartofthisguidance,theCOP“stronglyencourages”developingcountryParties,whenprovidingthesummaryofinformationonhowtheCancunsafeguardsarebeingaddressedandrespected,toinclude,interalia,“[a]descriptionofeachsafeguardinaccordancewithnationalcircumstances.”23FCPFSafeguardrequirementsOncesufficientprogresshasbeenmadeintheimplementationoftheirR-PPs,countriesmayapply,orauthorize an entity within their country to apply, to the Carbon Fund by submitting an EmissionReductionsProgramIdeaNote(ERPIN),asasteptowardsthecompletionofanEmissionReductionProgramme(ERProgramme)andultimately,results-basedpayments.24Countriesarealsoexpectedto submitaReadinessPackage,adocument that summarises itsReadinessprocessandoutcomesfromdevelopmentofactivitiesoutlinedinitsR-PP(includingsafeguards).25TheFCPFsafeguardrequirementsReadinessandCarbonFund,havetwodimensions:substantive,andprocedural.

SubstantiveRequirements

consideredoptionsavailabletoParties;(d)Beconsistentwiththeobjectiveofenvironmentalintegrityandtakeintoaccountthemultiplefunctionsofforestsandotherecosystems;(e)Beundertakeninaccordancewithnationaldevelopmentpriorities,objectivesandcircumstancesandcapabilitiesandshouldrespectsovereignty;(f)BeconsistentwithParties’nationalsustainabledevelopmentneedsandgoals;(g)Beimplementedinthecontextofsustainabledevelopmentandreducingpoverty,whilerespondingtoclimatechange;(h)Beconsistentwiththeadaptationneedsofthecountry;(i)Besupportedbyadequateandpredictablefinancialandtechnologysupport,includingsupportforcapacity-building;(j)Beresults-based;(k)Promotesustainablemanagementofforests;

20Decision9/CP,Paragraph4,UNFCCCDecision2/CP.17,opcit,Paragraph63and64.21Decision12/CP.19,Paragraph2and322UNFCCCDecision17/CP.21,seealsoUN-REDDbriefonsummariesofinformation23Ibid,paragraph5(b)seealsoUN-REDDbriefonsummariesofinformationforfurtheranalysis24Ibid25ForestCarbonPartnershipFacilityCarbonFund(2012)ProcessGuidelinesfortheCarbonFundoftheForestCarbonPartnershipFacility.FMTNoteCF-2012-1-Revp.2:http://www.forestcarbonpartnership.org/sites/fcp/files/Documents/tagged/FMT%20Note%20CF-2012-1%20CF%20Process%20guidelines%20rev%20after%20CF4%20-%20final.pdf

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ReadinessFundCountriesreceivingFCPFfundingforreadinesspreparationthroughtheWorldBankarerequiredtoensurecompliancewiththeFCPFReadinessFund’scommonapproachtoenvironmentalandsocialsafeguardsformultipledeliverypartners(CommonApproach).26AccordingtotheCommonApproach,participatingcountriesareexpectedtoachieve“substantialequivalence”tothe“materialelements”of theWorldBank’senvironmentalandsocial safeguardpoliciesandproceduresapplicable to theFCPFReadinessFund.27CarbonFundCountriesseekingtoobtainpaymentsfromtheCarbonFundmustensurethattheirERProgrammeisconsistentwith theMethodologicalFramework (CFMF),28whichstates that inorder toqualify forresults-based payments all ER Programmeswill not only need tomeet all applicableWorld Bankpolicies,(whichisnodifferentfromtheReadinessFundrequirements)butalsopromoteandsupporttheCancunSafeguards.29ProceduralRequirements

ReadinessFundTheReadinessFunhastwoproceduralsafeguardrequirements,namelythe:

• StrategicEnvironmentalandSocialAssessment,orSESA,and• EnvironmentalandSocialManagementFramework,orESMF.

TheSESAstemsfromenvironmentalassessment(EA)requirementsoftheWorldBank.30ItisintendedtobeaninclusiveprocesswherebytheREDD+country,withtheparticipationofallpotentiallyaffectedstakeholders,seeksto“identify likely impactsandrisks,aswellasopportunities,”amongdifferentstrategicREDD+options.DuringtheSESAprocesstheseimpacts,risksandopportunitiesareassessedandweighedbythevariousstakeholders.ActivitiesthatformpartoftheSESAinclude:31

• Identifyingandprioritisingthedriversofdeforestationandthekeysocialandenvironmentalissuesassociatedwiththedrivers.Thisassessmentalsoincludeslookingathowissuessuchaslandtenure,benefit-sharingandaccesstoresourcesaredealtwithinPakistan.Apreliminaryexaminationof the likely social andenvironmental impactsof theREDD+ strategyoptionsidentifiedintheR-PPisalsonecessary;

• Analysingthelegal,policyandinstitutional“aspects”ofREDD+readiness;• Assessing existing capacities and gaps to address the environmental and social issues

identified;and• Establishing outreach, communication and consultative mechanisms with relevant

stakeholdersthroughouttheprocess.TheSESAshouldconcludewiththeproductionofanESMFasameansformanagingenvironmentalandsocialrisksasREDD+countriesdeveloptheirREDD+nationalstrategies.

26UNREDDFCPF(2012)R-PPTemplateAnnexesVersion6,forCountryUsep.4427FCPF(2011)ReadinessFundCommonApproachtoEnvironmentalandSocialSafeguardsforMultipleDeliveryPartners.https://www.forestcarbonpartnership.org/sites/forestcarbonpartnership.org/files/Documents/PDF/Nov2011/FCPF%20Readiness%20Fund%20Common%20Approach%20_Final_%2010-Aug-2011_Revised.pdf28WhichoutlinestherequirementsthatmustbemetbyERProgrammesinordertoqualifyforresults-basedpaymentsfromtheCarbonFund.ForestCarbonPartnershipFacility(2013)CarbonFundMethodologicalFramework.Available:https://www.forestcarbonpartnership.org/sites/fcp/files/2014/January/FCPF%20Carbon%20Fund%20Meth%20Framework%20-%20Final%20Dec%2020%202013%20posted%20January%202014.pdf29FCPFCarbonFundMethodologicalFramework.30SeeOP4.01–EnvironmentalAssessment,para.7;andAnnexA,para.10.31Ibid

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AllREDD+countriesmustproduceanESMFasadirectoutputoftheSESAprocess.32TheESMFlaysout principles, rules, guidelines and procedures for assessing issues and impacts associated withplannedREDD+activitiesthatmayoccurinthefuturebutarenotpresentlyknownorareuncertain.33It largelyprovidesa framework forREDD+countries toaddressenvironmentalandsocial issues intheirREDD+Strategyasitisimplemented.The ESMF is completed and presented, to the extent possible, as part of the REDD+ country’sReadiness Package (R-Package). However, if REDD+ investments have not yet been specificallyidentified,theESMFremainsageneralprinciples-baseddocument,leavingspecificdetailsforlater.CarbonFundTheCarbonFundMethodologicalFramework’sproceduralsafeguardrequirementsandcriteriaprovidetheguidance and detail to help countries meet the FCPF substantive safeguard requirements duringimplementation of their ER Programme; that the ESMF is used to guide the implementation of the R-Package,andthattheseactionsareeffectivelymonitoredandreported.Requirement1:DevelopSafeguardPlansforeachPaMThismeansthatwhiletheSESA’sroleistoidentifythepotentialriskslinkedtotheREDD+Strategy’sPaMsandtheESMF’s istoprovidetheframeworktomanagetheserisks,themitigationmeasuresspecifictotherisksofeachPaMwillbeincludedinSafeguardsPlansdevelopedforeachPaM,basedontheregulatoryandinstitutionalframeworksoutlinedintheESMF.TheSafeguardPlansneedtobepreparedconcurrentlywiththeERProgrammeDocumentandmustbepubliclydisclosed.34Requirement2:DevelopmonitoringarrangementsfortheSafeguardPlansTheERProgrammewillalsoneedtoprovideinformationonhowitmeetstheWorldBanksocialandenvironmental safeguards and addresses and respects the safeguards included in the UNFCCCguidancerelatedtoREDD+during its implementation.35Thismustbedonebythedevelopmentof“appropriatemonitoringarrangements”forsafeguards,whichshouldbe included intheSafeguardPlans.Thespecificmonitoringarrangementsareleftopen,buttheMFacknowledgesthattheresultinginformationcouldbeusedasaninputtothenationalSIS(UNFCCCrequirement2).36Whilethesafeguardrequirementsoftheabove-mentionedframeworksvaryintermsofleveldetailandwording,therearemanyconceptualoverlapsandinmanyways,theycomplementeachother:theUNFCCCrequirementsaremorewideranginginscope,whiletheFCPFrequirementsaremoredetailed and provide more procedural guidance. Given these complementarities, there areopportunities to meet both sets of requirements in a coordinated manner and to build acomprehensiveandrobustframework.

32R-PPTemplate,Component2d,p.44.33CommonApproach,p.47,para.23.34TheMFdoeshoweverqualifythisrequirementwiththestatementthat:“iffinalSafeguardPlansarenotprovidedatthetimeofEmissionReductionProgrammeAgreement(ERPA)signature,theybecomeaconditionprecedentwhichmustbefulfilledinorderforthesaleandpurchaseobligationsundertheERPAtobecomeeffective.FCPFCarbonFundMethodologicalFrameworkindicator24.235FCPFCarbonFundMethodologicalFrameworkCriterion2536FCPFCarbonFundMethodologicalFrameworkindicator25.2

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3. KeyprogressinPakistantodateThegrantagreementbetweenFCPFandGovernmentofPakistanwassignedonMay4,2015,andsincethentheReadinessPreparationActivitieshavebeencarriedoutthroughtheOfficeofInspectorGeneralofForestsunderMinistryofClimateChange.Theobjectiveofthegrantistostrengthenthecapacity of the recipient tomonitor deforestation and reduce forest and landuse change relatedgreenhousegasemissionsthroughasocially,environmentally,andtechnicallysoundnationalREDD+strategy.

OverallReadinessprogressUnderFCPFgrant,theREDD+ReadinessPreparationActivitiesaretobecompletedbytheendofJune2018.Theyarebroadlycategorizedintofourcomponents:

1. Thefirstcomponent,REDD+PolicyAnalysis,includes:

a) Conducting analytical work and developing national REDD+ strategy and its

implementationframework;andb) Conducting Strategic Environmental and Social Assessment (SESA), preparing an

EnvironmentalandSocialManagementFramework(ESMF),assessingexistingFeedbackand Grievance Redress Mechanism (FGRM) and developing a FGRM framework forREDD+.

2. The2

ndcomponent,REDD+TechnicalPreparation,includes:

a) SupportingthedevelopmentofForestReferenceEmissionsLevels(FRELs);andb) Designing a national Measurement, Reporting and Verification (MRV) system for

emissionsreductionandamonitoringsystemfornon-carbonbenefits.

3. The3rdcomponent,REDD+ReadinessManagement,includes:

a) SupportingInspectorGeneralofForestsOfficeinmanagingandimplementingtheREDD+

PreparationActivities;b) BuildingcapacityoftherelevantinstitutionsinvolvedintheimplementationoftheREDD+

PreparationActivities;andc) ConductingconsultationsonREDD+relevantissues.

4. The4

thcomponent,DesigningandtestingofREDD+PaymentforEnvironmentalServices,

includesdesigningaREDD+PaymentforEnvironmentalServices(PES)schemeinatleastthree(3) provinces, subject to availability of funds. The selection of the province will be done inconsultationwith relevant stakeholdersbasedon itsecosystem,e.g. temperate,mangrovesorscrubforest,anditsimportanceinthenationallevelREDD+readinessprocess.ThisgrantwillnotfinancetheimplementationofthePESscheme,butonlysupportthedesigningofthescheme.

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Safeguard-relevantprogressInstitutionalarrangementstoensureadequateparticipationConsiderableprogresshasbeenachievedtoensureadequatestakeholderengagementonREDD+ReadinessPreparationforPakistan.Themaininstitutionalarrangementsinclude:

(a) NationalSteeringCommitteeonREDD+TheNationalSteeringCommitteeonREDD+wasestablishedin2011toenhancemulti-sectoralandmulti-levelcoordinationonREDD+.Itwasconstitutedatthefederallevel,andprovidesguidancetotheMinistryofClimateChangeinrelationtopolicyformulationandguidanceonREDD+.Itsresponsibilitiesinclude:

• assistinginthecoordinationofREDD+activitieswithprovincesandotherrelevantstakeholders;• discussinganddecidingonallsubstantivemattersrelatedtoREDD+,toensure inter-provincial

consistencyandnationalreports;• facilitating and supporting provinces in the development and implementation of REDD+

processes;and• reviewingtheperformanceofprovincialREDD+cells.

Since its inception, theNational SteeringCommitteehas convened four (4) times, and is composedofthirty-seven (37)members, representingrelevantministries,donoragencies,nationaland internationalNGOs,academia,civilsociety,forestcommunities,forestindustries,andwomen.

(b) NationalThematicWorkingGroups(WGs)onREDD+Thesewereconstituted in2013tocompileanddeliver information/dataonthefollowingREDD+pre-requisites:

• GovernanceandManagementofREDD+;• Stakeholders’EngagementandSafeguards;• NationalForestMonitoringSystemwithmonitoring,reportingandverification(NFMS-MRV)and

ForestReferenceEmissionLevelsand/orForestReferenceLevel(FREL/FRL);and• DriversofDeforestationandForestDegradation.

Onlythree(3)meetingsofalltheWGs(collectively)wereconvenedsince2013.AfourthmeetingofREDD+Workinggroupwasheldon7thand8thAugust2017.

(c) NationalREDD+OfficeEstablished under the supervision of the Inspector General of Forests, the National REDD+ Office incomposed of technical experts and project management staff. These include the National REDD+Coordinator,GIS/MRVExpert,NationalForestInventoryExpert,REDD+associates,ProcurementSpecialistandFinanceManager.TheofficeisresponsibleforprovidingtechnicaloversightanddirectiononREDD+matters,aswellascoordinatingandmanagingREDD+projectsandprograms,suchastheFCPF’sREDD+readinessimplementation.

(d) ProvincialREDD+Cells

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ProvincialREDD+cellsweredesignatedin2012,andtaskedwithbecomingprovincialfocalpointsfortheeffectivecoordinationof,anddisseminationofinformationto,stakeholders.Theirotherresponsibilitiesinclude:

• effectivelyandcontinuouslyliaisingwiththeNationalREDD+Office;• providingsupporttointernationalfirmsforundertakingstudiesintheprovince;• nominatingsuitableofficersforcapacitybuildingprogrammeorganizedbytheNationalREDD+

Office;• providingaccesstotheprovincialdatarequiredeitherbyNationalREDD+Officeorbythe

InternationalFirmsforcompletionoftheirstudies;• ensuringparticipationoftheWorkingGroupmembersinthemeetingsorganizedbyNational

REDD+Office;• conveningregularmeetingsoftheProvincialREDD+ManagementCommitteeandimplementits

decisions;and• activatingtheirrespectiveProvincialGrievanceandImplementationUnits(PGIU).

RecentdevelopmentsingovernmentandchangingconditionsundertheR-PPhasresultedintheneedtore-notifyprovincialfocalpointsandupdateTORsthroughaconsultativeprocess,althoughanumberofprovinces have either established permanent provincial REDD+ cells or raised requests to the properauthoritiestodoso.

(e) ProvincialREDD+ManagementCommittees(PMRCs)

ProvincialForestDepartmentsofPunjab,Sindh,Balochistan,Khyber-Pakhtunkhwa,AJKandGilgit-Baltistanhave designated their provincial Focal Points for REDD+ and have also formed, through notification,provincialREDD+ManagementCommitteestooverseetheREDD+activitiesattheprovinciallevels.ThesecommitteeswillensuretheparticipationofmajorstakeholdersthathavebeenidentifiedinthepreviousstudiescompletedunderUN-REDDTargetSupport(TS),includingnon-governmentorganizations(NGOs)/civil society organizations (CSOs) and the private sector under the chairmanship of Provincial ForestSecretaries.Thesecommitteeswillactasaninter-departmentalinstitutionforREDD+activities,anddealwithissuesreferredbyProvincialGrievanceandImplementationUnits.TheCommitteeswillbeauthorizedtoendorseplans,programmesandprojectsrelatedtoREDD+,andapprovetheannualbudgetfortheirrespectiveprovinces.ThefirstmeetingsoftheProvincialREDD+ManagementCommitteeswasconvenedfrom27thMarch–19thApril,2017.Theobjectivesof themeetingwere (i) to sensitize thePMRCson theprocessandstateofprogressonREDD+ReadinessPreparationforPakistan,(ii)reviewanddiscusstheprovincialprogressandfinancialrequirementsforprovincialREDD+Readiness,(iii)endorsetheadditionalfinancialrequirementsforprovincialREDD+readinessactivities,and(iv)sensitizeandtakeonboardthemembersofthePRMCtoensuretransparency,andfacilitateeffectiveandefficientcommunicationandcoordinationforsuccessfulimplementationofREDD+Readinessactivitiesintheprovinces.Thenationalandprovincialinstitutionalstructures,e.g.nationalsteeringcommittee(NSC),nationalREDD+working groups, and PMRCs, have large numbers of members. These include sectoral ministries,government departments, provincial forest secretaries, private forest owners, members of forestindustries,womengroups,academia,communities,andNGOs.RegularmeetingsofNSC,WGsandPRMCsarebeingconvenedforeffectivecoordinationofREDD+activities.

(f) ProvincialGrievanceandImplementationUnits(PGIUs)UndertheguidanceandprotocolsoutlinedintheR-PP,provinceshavenotifiedProvincialREDD+GrievanceandImplementationUnits(PGIUs).Theyaretaskedwithsupportingthetransparent,efficientandeffectiveimplementationandmonitoringofREDD+readinessactivitiesat theprovincial,districtand local levels.This necessarily includes supporting consultation processes in relation to the development ofMultiple

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Benefits Impacts and Governance Safeguards (MBIGS), Feedback Grievance Redressal Mechanisms(FGRM), and REDD+ Safeguards Information Systems (SIS) for their respective provinces/territories, inconformitywiththenationalorprovincialstatus.OtherresponsibilitiesofthePGIUsinclude:

• theimplementationandmonitoringofREDD+activitiesattheprovincial,districtandlocallevels;• draftingprovincialstandardsforREDD+inconformitywiththenationalstandards;• developingMBIGSandREDD+safeguardsinformationsystemfortherespectiveprovincein

conformitywiththenationalsystem;• pilotingMBIGSandREDD+safeguardsinformationsystemandensuringthatMBIGSandREDD+

safeguardsinformationsystemrequiredbyUNFCCCareaddressed;and• implementationoffeedbackandgrievancereadinessmechanism.

Consultation,participationandoutreachAwareness raising and consultation processes remain essential components of the REDD+ ReadinessprocessforPakistan.Significantprogresshasbeenachievedinthisregard.Suchprogressincludes:

a) The organization of several consultativeworkshops, trainings and dialogues have been acrossPakistan at the district, provincial and national levels. The purpose of these activities was toidentifykeystakeholders,createawarenessandsensitizesocietiesonemergingREDD+concepts,aswellasconductconsultationswithrelevantstakeholdersonvariousaspectsofREDD+ReadinessforPakistan.

b) TheassignmentofREDD+AwarenessandOutreachcomponentactivitiesundertheFCPFgrantto

the Sustainable Development Policy Institute (SDPI) in February 2017. These activities includereachingouttoparliamentarians,journalists,religiousscholarsandotherpoliticians.

c) The conduct by the National REDD+ office of awareness-raising seminars on new emerging

conceptsrelatedtoREDD+,incollaborationwithacademicinstitutionanduniversities.Inadditiontothis,theNationalREDD+OfficehasinitiatedaninternshipprogramwhichallowsundergraduateandgraduatestudentsfromnationalandprovincialuniversitiestoenhancetheirknowledgeandcapacitiesondifferentthematicareasofREDD+.

GrievanceredressmechanismsInstitutionalandlegalarrangementsavailableandrelevanttothisassignmentinclude:

a) ProvincialREDD+GrievanceandImplementationUnits(PGIUs)As part of National REDD+ Management arrangements, the provincial REDD+ grievance andimplementationunitshavealreadybeensetupvianotificationfromtheprovincialauthorities.The provinces have notified PGIUs under the guidance and protocols set in the R-PP. TheseUnitswillsupport the transparent, efficient and effective implementation and monitoring of REDD+ readinessactivitiesatprovincial,districtandlocallevels.ThiswillincludesupportingtheprocessofconsultationsindevelopingMultipleBenefitsImpactsandGovernanceSafeguards(MBIGS),FGRMandREDD+SISfortherespectiveprovince/territoryinconformitywiththenationalorprovincialstatus.

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PGIUswillberesponsiblefor(i)theimplementationandmonitoringofREDD+activitiesattheprovincial,district and local levels; (ii) drafting provincial standards for REDD+ in conformity with the nationalstandards;(iii)developingMBIGSandREDD+safeguardsinformationsystemfortherespectiveprovinceinconformitywiththenationalsystem;(iv)pilotingMBIGSandtheREDD+SIS,andensuringthattherelevantUNFCCCrequirementsareaddressed;and(v)theimplementationoftheFGRM.

b) ExistingpolicyinstrumentsCurrently, existing feedback and grievance redressal mechanisms is addressed by (i) the PakistanEnvironmentalProtectionAct1997;(ii)EIARegulations(2000)tohearpublicconcernsbeforelaunchingdevelopment projects; and (iii) Forest Acts amended by respective provinces, which have introducedprovisionsforlegalcoverofgrievancemechanismsrelatedtoforestrysector.Initsimplication,ProvincialForestDepartmentsinallprovincesandterritoriesofPakistandealwithforestoffenses(compoundableaswellasnon-compoundableoffenses)throughtheenforcementofprovincialForestActs.OtheroffencesnotcoveredundertheseactsareprosecutedinthecourtsoflawunderrelevantsectionsofPakistanPenalCode.LandrelatedlitigationcasesaredisposedofbythecourtsunderLandRevenueAct1963andotherlegalinstrumentssuchasLandAcquisitionAct.

ProgressonREDD+ProgressonthefollowingcomponentsofREDD+aredirectlyrelevanttothisassignment:

a) REDD+strategy

Workonthedevelopmentof theNationalREDD+Strategyand its ImplementationFrameworkhasbeenongoingsinceJanuary2017,whenajointinceptionworkshoponNFMS,FREL/FRLandMRVwasheld.Awiderangeofstakeholdersparticipatedinthisinceptionworkshop,suchasrepresentativesfromtheprovincialforestdepartments,researchinstitutions,federalministries,academiaandcivilsocietyorganizations.AstudyontheassessmentofLandUse,LandUseChangeDrivers,ForestLaw,PolicyandGovernanceiscurrentlyunderway.Thepurposeoftheassessmentoflanduse,land-usechangedrivers,forestlaw,policyandgovernanceistoidentifykeydriversofdeforestationand/orforestdegradation,aswellasactivitiesconcerningconservation,sustainablemanagementofforests,andenhancementofforestcarbonstocks.Consideringthecountry’spastexperienceinaddressingtheseshort-comings(includingtheissuesthatledtounderperformanceofpreviousprograms),theassessmentwilldirectlyinformthe national REDD+ strategy and identifyways to address the key deforestation and degradationdriversinaprioritizedmanner.The formulation of REDD+ interventions in Pakistan is being done using the REDD+OpportunitiesScopingExercise(ROSE)toolinaccordancewiththeTORsofthestudy.ROSEisusedforclassifyingandprioritizingpotentialREDD+sub-nationalandnationalactivitiesandforassessingcriticalconstraintsto project development, especially those associated with the legal, political, and institutionalframework.TheROSEtoolisthereforerelevanttothedevelopmentofREDD+atboththeprovincialandnationallevels.ThefirstphaseoftheROSEscopingstudyisbeingcarriedoutthroughconsultationwithasmallgroupofexpertswhocollectivelycombineagoodunderstandingofthenational/provincialforestandlandsectors, and the main deforestation and forest degradation drivers based on already conductedstudies,aswellasrelatedlegal,social,andinstitutionalissues.

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AfterREDD+opportunitieshavebeenidentified,aCostBenefitAnalysis(CBA)willbeconducted,usingMarginalAbatementCostCurves(MACCs)forpotentialREDD+interventions.

b) MonitoringSystemforForestsandSafeguards

Thisincludestwosub-components:Sub-component4a:NationalForestMonitoringSystemIn the REDD+ framework, Pakistan’s NFMS has been designed following the IPCC guidelines toestimatetheforest-relatedgreenhousegas(GHG)emissionsandremovals.TheNFMSwillmonitorawiderangeofotherbio-physicalandsocio-economicparameterssuchasforesthealth,biodiversity,socio-economicandenvironmentalfunctionsofforests,aswellasrelevantlegalframeworks.Similarly,anMRVsystem,asasub-componentofNFMS, isrequiredtoestimatetheforestrelatedGHG emissions and removals tomeet the needs of both the national and international reportingrequirementsforPakistan.ThefollowingtasksarebeingcarriedoutundertheNFMSdevelopmentprocessinPakistan:

• Preparationandfinalizationofdatasharingagreements,anddatacollectiontosupportMRVandFRELactivities;

• DefinetheScopeandobjectives,methodologyandtoolsforforestmonitoring;• Capacitybuildingatdifferentlevelsoninterpretationofsatellitebasedresults,carbonstock

measurementandmonitoringtechniques;• Review the existing national land use and land cover classification and design an

operationalizesystemforforestlandassessment;• DevelopandestablishinstitutionalframeworkforNFMSandMRV;• Develop Satellite LandMonitoring System (SLMS), reinforce requisite technical capacities,

developprotocols foracquiringandanalysingthedatarelatedtoforestcarbonatnationalandsub-nationallevels;andoperationalizetheSLMS;

• Compilegreenhousegasinventory(GHGI),preparecountryspecifictrainingmaterials(inbothEnglishandUrdu)onSLMS,NFIandGHGI,andbuildrelevantcapacities;

• DevelopNFMSWeb portal to disseminate forest-related geospatial data on thewebwithfollowingspecifications;

• Opendatawebportalusefulbothforexpertandgenericusers;• Handleallthemostcommonrasterandvectordataformats;• Handletimeseriesdatasets;• ComputestatisticsandgeneratechartsusinganXMLdocumentasstatisticdefinition;• Provideasystemadministrationback-endtoupdatedataanddefinestatisticsthroughaweb

graphicaluserinterface(GUI);• BuiltontopofwidelyusedOpenSourcesoftwarecomponents;and• Easyproduction-deploymentoftheplatform.

Sub-component4b:InformationsystemforMultipleBenefits,OtherImpacts,Governance,andSafeguardsThecorefeatureofanMBIGSmonitoringfunctionistoenableincorporationoflocalknowledgeintonationalmonitoringandprovideinputstovalidateinformationinaparticipatorymanner.Thedesignprocesswillbeconductedunderguidanceofthetechnicalworkinggroupinchargeofthestakeholderengagementandsafeguards.

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TheGovernmentofPakistanhasnotyetdemonstratedanyprogressinthissub-component.However,theworkplanby the consultantshasbeen finalized,with thework set tobegin inOctober2017.Monitoringfunctionsformultiplebenefits,impact,governanceandsafeguardsaretobedevelopedandintegratedintoNFMSandareexpectedtobecompletedbyJune2018.

4. Proposedtasks,outputsandworkplanAsnotedabove,thepresentconsultancyaimstoassisttheGovernmentofPakistaninmeetingboththeUNFCCCandFCPFsafeguardrequirementsinacoordinatedandcost-effectivemanner.Thetasksandoutputsindicatedbelowhavethereforebeendevelopedinconsiderationoftheserequirements.Inaddition,adequatestakeholderengagementandconsultationthroughouttheimplementationofthisengagementwillbeensured,withstakeholders inthiscontextreferringto‘groupsthathaveastake,interestorright’inforestry,aswellasthosethatwillbeimpactedbyREDD+.Thiscanincludegovernmentagencies,formalandinformalforestusers,privatesectorentities,indigenouspeopleandother forest-dependent communities.37 As seen below, Task 5 sets out to identify relevantstakeholders and platforms for the evaluation of potential risks and benefits associatedwith theimplementationofREDD+activities.Feedbackonkeydeliverablesproducedthroughoutthisengagementshalllikewisebesoughtfromthefollowingplatforms/institutions(asappropriate),toensuretheaccuracyandresponsivenessofsaidoutputs:

• WGonStakeholderEngagementandSafeguards;• WGonGrievanceandManagementofREDD+;• NationalREDD+office;• ProvincialREDD+managementcommittees;and• ProvincialREDD+grievanceandimplementationunits.

For ease of reference, the tasks, objectives, outputs and timeline for the work involved in thisconsultancyareoutlinedbelow,asfollows:

• Table2identifiesthetasksthatwillbeundertakenaspartofthisassignment,anexplanationofeachtask,thereasonforitbeingundertaken,anditsobjective;

• Table3indicatestheoutputslinkedtothetasksintable2andspecifies(tentative)expecteddatesfordelivery.Itisimportanttonotethatthedeliveryofcertainoutputswilldependontheschedulingoftrips,consultationsandworkshopsheldinPakistan.Astheseareyettobefinalised,thedeliverydatesfortheoutputsmayvaryslightly;

• Table4 laysoutthechronologyoftheconsultancyandproposestentativedatesfortravelandworkshops.

37UN-REDDProgram,“GuidelinesonStakeholderEngagementinREDD+ReadinesswithaFocusontheParticipationofIndigenousPeoplesandOtherForest-DependentCommunities,”(April2012)

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Table2:Proposedtasksunderthisassignment TASKS Explanationandobjectives

Task1:Prepareinceptionreportandaworkplanwith clear milestones for interim and final

deliverables.

Output1:Inceptionreportwithworkplan.

Thistaskwascarriedouttoproducetheinceptionreportforthisconsultancy.Thereportexplainstheinternationalsafeguardrequirementsdirectly applicable to Pakistan (UNFCCC and FCPF) andhighlightssomeofthekeyreadinessprogressmadeinPakistantodate.The report also identifies some of the further work that isneeded tobuildon the foundational safeguard-relatedworkalreadycarriedoutinthecountry.Following this analysis, the report details the tasks plannedundertheconsultancy,theoutputslinkedtoeachtaskandthetimeline for their delivery, as well as an estimation of thetimingfortheexpectedtrips.In addition to the inception report, a few capacity buildingmaterialshavebeenpreparedinfactsheet/wordformat(SeeAnnexI).Topicsincludedare:• Detailed explanation of international safeguard

requirements(UNFCCCandFCPF);• Explanation of the state of play in theGCF and the on-

goingdiscussionsofitsresultsframeworkforREDD+

Task 2: Assessment of existing policies,

regulations, procedures and institutional

structures that are supporting the

implementation of environmental and social

safeguardsinPakistan

Output 2: Report with analyses of legal andinstitutionalandgovernancecapacitytoaddress

safeguards in relation to UNFCCC and WB

safeguards.

TheobjectiveofthisgapanalysisisfirsttoassesstheextenttowhichPakistan’spolicies, lawsand regulations (PLRs) reflectand regulate the rights and duties embodied by the eachcomponent of the Cancun safeguards. Following this, a gapanalysis of Pakistan’s institutional framework linked to theidentifiedPLRswillbecarriedouttoassesstheextenttowhichthesePLRsarebeingimplementedinpracticeandhelpidentifythe main implementation challenges. Recommendations toaddresstheidentifiedgapswillalsobeincluded.Thisassessmenthelpstoprovidethefoundationforthedesignof a governance framework for safeguards, based onPakistan’s existing legal and institutional framework. TheidentificationandassessmentofrelevantPLRsandinstitutionswill also contribute significantly to the development of theESMF.

Task 3: Clarification/interpretation of Cancunsafeguards and linkages to World Bank

OperationalPolicies

Output3:Reportwithproposedclarification/interpretationoftheUNFCCC

REDD+safeguardsinaccordancewithPakistan’s

nationalcircumstances.

Theprocessof‘clarifying’orinterpretingthelanguageoftheCancun safeguards not only helps to gain a sharedunderstandingofthesubstantiverightsanddutiescontainedtherein.ThisactivityiskeyforthedesignoftheSISasitisoneofthemain inputsfor identifyingthetypesof informationthatwilllikelyneedtobegathered/providedbytheSIStodemonstratehowtheCancunsafeguardsarebeingrespectedduringREDD+implementation.

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TheclarificationwillalsobekeytothepreparationoftheSOI,followingUNFCCCCOPguidance.Drawingonthelegalanalysis,adraftclarificationwillbepreparedandsubjectedtostakeholderconsultation,followingwhichitwillneedtoberevisedandvalidatedbyrelevantstakeholderspriortoitsinclusionintoPakistan’sfirstSOI.ThereportwillbehandedtotheNationalSteeringCommitteetoleadanyfurtherconsultationsasrequired.BasedonCLP’sglobalexperience,weareadvisingthenationalREDDofficeofthegovernmentofPakistantoconsidertheneedforfurtherconsultations.Inmostcountries,thisprocessofinterpretationandthefinalvalidationofsuchadocumenthastakenanaverageofayearormore.Ourlocalpartner,HBPPakistaniswillingtofacilitateyouwherefeasibleinaprobono,non-bindingmanner.

Task4:Assessmentofhistoricalsocialandenvironmentalissuesintheforest/landuse

sector

- Assessmentofdriversofdeforestation,

existinglandtenureandlandrights,

conflictsderivingfromforestutilization

andpotentialresolutionmechanisms,

andbenefitdistributionissuesfromthe

perspectiveofresourceownersand

otherindirectandco-beneficiaries.

- Assessmentofcurrentprogressin

Pakistanwithregardstoaddressing

socialandenvironmentrisksrelatingto

REDD+(includesinformationfromthe

currentConsultation&Participation

process)encompassingananalysisof

theinstitutionalarrangementsfor

coordinatingtheintegrationof

environmentalandsocialissuesin

REDD+readiness.

Output4:Assessmentofhistoricalsocialand

environmentalissuesintheforest/landuse

sectorrelevanttotheassessmentofpotential

risksandbenefitsarisingfromtheproposed

REDD+strategy.

Theassessmentseekstoidentifywhatarethehistoricalsocialandenvironmentalissues(including,historicaladverseimpactsandconflicts)intheforest/landusesector.ThisreportwillbeakeyinputforthepreparationoftheSESA.Drawingonrelevantprioranalysesandinterviewsandconsultationswithkeystakeholders,adraftreportwillbepreparedandsubjectedtostakeholderconsultation.

Task5:Mappingofrelevantstakeholdersand

platformstobeinvolvedintheevaluationof

potentialrisksandbenefitsassociatedwiththe

implementationofREDD+activities.Thiswill

includeagenderassessment.

Output5:Reportwith identificationofrelevantstakeholders and platforms to be used in the

SESA.

ToensurethatallrelevantactorsareinvolvedintheSESA,astakeholder mapping process is necessary for the EmissionReductionProgrammeArea.This taskwill take into the account the approach, scale andscopeofproposedREDD+interventions.ThisexercisewillconsiderthestakeholdermappingsthathavepreviouslybeencarriedoutaspartoftheReadinessprocessaswellastheguidelinesonstakeholderengagement.

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Task6:Identificationofsocialandenvironmental

risksandbenefitsassociatedwiththeproposed

REDD+activities

Output 6: Draft SESA Report: preliminary

identification of social and environmental risks

associatedwiththeproposedREDD+activities.

Thistaskwill,buildoninitialassessmentsintheR-PPanddrawonthefindingsofdevelopmentoftheREDD+Strategy:• Identify the key social and environmental issues

associated with proposed REDD+ interventions (assessproposedstrategicoptions).Pleasenotewewillneedtocoordinate with INDUFOR assignment to ensure draftstrategicoptionsareavailableatthisstage.

• Identify the likely social, gender and environmentalimpactsoftheproposedREDD+interventions.

Basedontheresultsofthemappingofrelevantactorscarriedout in Task 4, we propose to carry out severalworkshops/meetingstogatherfeedbackonthefindingsofthepreliminarydesk-basedriskassessment.Inthesemeetings/workshopswewillalsoidentifyappropriatemeasurestoaddressandmitigatethem.

Task7:IdentificationofprioritysocialandenvironmentalrisksofproposedREDD+

activities

Output 7: Draft SESA Report: prioritization ofsocialandenvironmentalrisks

Drawing from the findings fromTask6, the consulting teamwill compile and prioritise the social, gender andenvironmentalrisksidentified.ThisinformationwillbeusedtoinformthedevelopmentoftheSESA.

Task8:Development of Final SESA report Output8:FinalSESAreport

Drawingonthefindingsoftheprevioustasks,theSESAreportwilloutlinethekeyREDD+social,genderandenvironmentalrisksemergingfromtheproposedREDD+interventions.Following the development of the draft SESA and internalreview, a national level consultation workshop will beorganisedtopresentthedraftreport.Thefeedbackgatheredthroughthisconsultationwillbeaddressedandintegratedintoafinalreport.

Task9:DevelopmentofESMF

Output9:DraftESMFreport

Output10:FinalESMFreport

Thisactivityandresultingoutputwillpresentaframeworkfortheimplementationandcomplianceofsafeguards(mitigationofidentifiedsafeguardrisks),basedontheresultsoftheSESA.TheESMFwillinclude:• A description of the indicative REDD+ strategy options

mainsocialandenvironmentalconsiderations;• A description of the potential impacts, both positive

(benefits) and negative (risks), that could result fromproposedREDD+optionsoftheemergingstrategy,andthegeographic/spatialdistributionoftheseimpacts;

• Anoutlineofthelegislative,regulatory,andpolicyregime(in relation to forest resources management, land use,localcommunities/vulnerablegroupsrights,etc.)thattheREDD+ strategy options will be implemented within(includinghowtoaddressandmitigatepotentialimpactsidentified).Inthisregard,wehighlightthattheESMFwillalso be linked with the Cancun safeguards in terms ofoutlining how Pakistan will ensure REDD+ activities arecarriedoutinconsistencywiththeCancunsafeguards.This

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will ensure that the UNFCCC safeguard requirement (toensureconsistencyonREDD+withtheCancunsafeguardsthroughout its implementation as per Decisions 1/CP.16paragraph69and2/CP.17,Paragraph63)canbemet;

• Proposed institutional arrangements to implement theESMF;

• Policy recommendations to address key environmentaland social impacts, and for addressing institutional andgovernanceweaknesses;and

• Provisions forMonitoring and Evaluation. Please note amonitoringplanoftheESMFwillalsobe included inthisreportandlinkedtotheSIS.

Feedbackgatheredonthedraftreportwillbeaddressedandafinal reportwillbesubmitted.ThefinaldraftwillhavetobesuitableforinclusionintheR-Package,andwillcontainspecificsectionsaddressingtherequirementsofapplicablesafeguardpolicies.Inaddition,theconsultingteamwillofferacapacitybuildingtool-kitandcapacitybuildingplanfortheentitiesresponsibleforimplementingtheESMF(thevariousagenciesandREDD+programunitsinvolvedintheimplementationoftheESMFatdifferent administrative levels, e.g. local, district,provincial/regional,andnational).Wenotethattoprepareanadequatecapacitybuildingtool-kitandcapacitybuildingplanwewillneedtocarryoutacapacityneedsassessment.

Task10:IdentificationofSISinformationneeds

Output 11: Report with identification of SISinformationneeds

A key part of the process of designing a SIS is determining'what type' of information is needed to demonstrate theextent towhich theCancun safeguards arebeing addressedand respected. This is usually referred to as the process ofdeterminingthe'SISinformationneeds'.TheclarificationoftheUNFCCCREDD+Safeguards(output3),willbethekeyinputtodefinetheSISinformationneeds.Theidentificationof theSIS informationneedswillalsogivedueconsideration to the proposed REDD+ options and ESMF (interms of ensuring information needs are also linked to thespecificrisks/benefits,andabletodemonstratepotentialhowrisksarebeingaddressed/mitigated).Noteinformationneedsmay take the formof indicators, but basedon internationallessons learned andbest practices, the consultant teamwillcategorise them into information needs for demonstratinghowsafeguardsbeing'addressed'andfordemonstratinghowsafeguards are being 'respected'. These can then be furtherdevelopedintospecificindicatorsetsasrequired.Theconsultantteamwillprepareadraftreportandthroughmeetings and consultations with relevant stakeholders willgathernecessaryfeedback.

Task 11: Identifying and assessing the possibleexistingsourcesofinformationfortheSIS

This activity will focus on identifying and assessing existinginformation systems and sources that could be used todemonstrate how safeguards are being addressed andrespected.

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Output12:Reportwithidentificationofinformationsystemsandsourcesinrelationto

SISinformationneeds.

Theassessmentoftheidentifiedinformationsystemswillbedoneprimarilybasedontheextenttowhichtheyaredeemedcapable of meeting the SIS information needs (developedunderTask10),andwillidentifyareaswhereadditionalREDD+specificmonitoring/reportingarrangementsmaybeneeded.This assessmentwill consider both the NFMS and theM&EframeworkresultingfromtheESMFassourcesofinformation. The assessment of information systems/sources will aim toidentifyforeachsystemthe:

• relevant legal basis (of the system/source-itsconnectiontothePLR);

• responsibleinstitution;• periodicity;• components/structureofthesystem;• sourcesof information (systemcanbe fedbyother

sourcesofinformation);and• typesofinformationitprovidesandananalysisofthe

extenttowhichtheycouldbeusedtomeettheSISinformationneeds/objectives.

Task12:SISframeworkdesign

Output13:Conciseframeworkdocumentfor

theset-upoftheNationalSIS.

Output 14: Research paper documenting

Pakistan’s approach towards meeting UNFCCC

andWBsafeguardrequirements

This activity will aim to provide a design framework forPakistan’s SIS. The following elements will be considered inthisframework:

• TheobjectivesandscopeoftheSIS;• FunctionsoftheSIS.Corefunctionstobeconsidered

include:o Compilation and aggregation of information:

Sincemuchofthe informationusedintheSIS islikely to be drawn from information that is‘collected’ by multiple relevant systems andsources,theSISneedstocompileandaggregatethisinformation;

o Analysisofaggregatedinformation:throughthisfunction, the SIS will analyse the aggregatedinformation and offer an assessment as to howthe country specific safeguards are being'addressedandrespected';and

o Dissemination of information: through thisfunction,theSISwillprovideanddisseminatetheinformation through appropriate means (e.g.online platform, reports and/or periodicsummariesonaregularandproactivebasis).

• Options and recommendations for institutionalarrangements for the SIS, building as much aspossible on existing systems but also consideringadditionalREDD+specificarrangementsthatmaybeneeded;

• Summary of principal information needs andcorrespondingoptions for collecting information, toensureinformationcanbeprovidedtodemonstratehowsafeguardsarebeingaddressedandrespected;and

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• An annotated Table of Contents for an indicativesummaryofinformation,whichcanbeusedasbasisforsummariestobesubmittedaspartoftheNationalCommunicationstotheUNFCCC.

Thepreparationofthedesigndocumentwillrequirerelevantstakeholder perspectives and views on SIS design options(gatheredthroughmeetings/workshops),includingfromthoseresponsible for the management of the existing sources ofinformation. An initial draft of the SIS framework document will besubmitted for feedback and consultations with relevantstakeholders.The finaldocumentwill incorporatethe inputsand feedback gathered through consultations and will besubmittedattheendofconsultancy.Finally,aresearchpaperwillbepreparedincollaborationwiththeNationalREDD+OfficedocumentingPakistan’sapproachtowardsmeetingUNFCCCandWBsafeguardrequirements

Task13:Createaweb-basedplatformforSIS

andmobileapp

Output 15: Technological platform of SIS with

backup software to link transmission to the

registry. A mobile application (along with its

backupsoftware)withatitle“KnowyourRights”

forprimarystakeholders(forestcommunities)in

thecountryinconsultationwithNationalREDD+

Office.

ThedesiredarchitecturefortheSISweb-basedplatformandmobileappwillbediscussedwiththeNationalREDD+Office.WenotethatthedesignofbothwebsiteandmobileappwillbeconsistentwiththeSISframeworkdesign(output13),andhence,specificapproachfortheirdesignwillbedefinedonceadraftSISframeworkisavailable.TheITspecialistwillworkinconsultationwithNationalREDD+Officetodevelopthisoutput.

Task14:Collectinformationonlandtenureand

nationalresourcerightsinrelationtogrievance/

complaintsthattendtocomeupinPakistanat

districtlevelinrelationtoforestmanagement

andconservation.

Output16:Reportwithclearidentificationofpotentialgrievancesthatmayarisefromthe

proposedREDD+actions.

Consulting team will review and analyse the historical andcurrent context for grievances in the forest sector, andcharacterize current grievance patterns and trends. Theobjectiveofthistaskistounderstandthehistoricalandcurrentcontext for grievances in the forest sector and which arerelevanttoREDD+.Thiscontextualunderstandingprovidesthebasisfor:• Forecastingthekindsofissuesthatarelikelytobeatthe

heartofgrievancesrelatedtoREDD+,suchasclarityoverresource property or tenure rights, benefit distribution,cross-sectoral competing interests, decision-makingprocesses, and opposing views over market-basedsolutionstoenvironmentalproblems;

• Assessing thescopeandeffectivenessofexisting formal(including legal, policy and regulatory frameworks,including local courts, provincial, district and federalombudsmen) and informal (including non-legalframeworksandtraditionalstructures)conflictresolutionmechanismsatnational,sub-nationalandlocallevelsanddocumentlessonsthatcancontributetoarobustFGRMforREDD+;

• Identifyingcommonchallengesandissuesthatariseintheprocessofraisingandredressinggrievances;

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• Mapping the key stakeholders for each of these issues;theircurrentinterestsandperceptionsoftheissues;andthehistoryandcurrent stateof their interactionon theissues(e.g.,constructive,polarized,absent,etc.);and

• Identifying current systems and capacities available toaddress grievances and conflicts, as a basis for moredetailed assessment of existing GRMs and otherinstitutionalcapacities.

Attentionwillbepaidtoexistingrelevantmechanisms.Giventhe thematic overlap between REDD+ and current landmanagementarrangements,theFGRMforREDD+isexpectedtodrawfromexperiencesmadeinexistingmechanismsatthenationalandsubnationallevel.Present the findings of the tasks at different appropriateforums as and when advised/requested by National REDD+Office.

Task15:Conductadeskreviewofavailablesecondaryinformationandexamineandassess

existingconflictresolutionandGrievance

RedressalMechanismsatthenational,

provincialandlocallevelsandidentifycurrent

institutionalstrengthsandcapacitygapsfor

grievanceresolution.

Output17:DeskReviewReporton(i)existingformalandinformalfeedbackandgrievance

redressalmechanismsatlocal,district,regional

andnationallevel;(ii)identifiedcurrent

institutionalstrengthsandcapacitygapsfor

grievanceresolutionand(iii)existingland

tenureandnationalresourcerightsatdistrict

levelandrelevantissuestobeaddressedin

grievanceredressalmechanism.

To be able to design an FGRM that uses as basis existingconflictresolutionmechanismsinthecountry,wewillassessthe accessibility, credibility, effectiveness and capabilities oflocalandnationalinstitutionstoaddresstheissuesthatareattheheartofREDD+relatedgrievancesandconflicts.Theassessmentwillconsidertheprinciplesofaccountability,transparency, accessibility, equality, predictability, andcompatible with internationally recognized human rightsstandards, all of which, the REDD+ FGRM is expected touphold.Wewillalsoassesstheirinstitutionalcapacity.Wewilluse a basis the GRM evaluation tool of the Joint FCPF/UN-REDD Programme Guidance Note for REDD+ Countries:Establishing and Strengthening Grievance RedressMechanisms.The report will also seek to identify recommendations forstrengthening the existing conflict resolution structures(formalandinformal),thataretoserveasabasisforOutput17.Apreliminaryreportwillbecraftedandwillbepresentedinaworkshopwithkeystakeholders,togathertheirfeedbackandinputs.Wewillseektodeterminewhetherexistingstructureswill be able to adequately address the feedback and offergrievanceredressinthecontextoftheimplementationoftheREDD+options.Thefinalreportwillintegratethefeedbackandinputsfromallconcernedstakeholders.

25

Task16:Developaframeworkforthefeedback

andgrievanceredressalmechanism.This

activityencompasses:

• Aplanfor(i)buildingonstrengthsand

closingthegapstostrengthen

grievanceredressingcapacityand(ii)

continuouslyimprove,strengthenand

communicateFGRMtostakeholders

(iii)disclosetheinformationrelatedto

submissionofcomplaintsandtheir

resolutionpublicly.

• Withinthelegalframeworksof

respectiveterritories,developstandard

operatingprocedures(SOPs)forfiling

complaints,trackinganddisposalof

REDD+relatedcasesthatshouldbe

dulyendorsedandapprovedbythe

relevantcompetentauthorities.

• Reviewandrecommendupdatesto

existingrelevantlawswithexact

clausesforamendmentorprovidetext

ofnewregulationwherenecessaryto

improvegovernance.

• Preparesimplemanualstoguidethe

communitiesanddecisionmakerson

rightsandprivilegesofforest

owners/rightholders,aswellasthe

presidingofficersoftheFeedback

GrievanceRedressalMechanisms.

Output18:REDD+FGRMDesignFramework,

thatincludesrecommendationsfor

amendment/renewaloflaws,policiesand

procedures.

Output19:StandardOperatingProcedures(SOPs)forfilingandaddressingcomplaints,

trackingandclosingoutofREDD+relatedcases

dulyapprovedbyrelevantprovinces/

territories.

Theframeworkdocumentwillincorporateallprinciplesnotedabove. We note the system should be trusted by potentialcomplainants (legitimate). Trust is only possible when theFGRM assures independence from parties to a grievanceprocess (accountability).TheFGRMshouldalsobeknowntopotential complainants, and other stakeholders. Potentialcomplainants should receive adequate assistance,information, and expertise for accessing and using it(accessibleandequitable).TheFGRMshouldfollowandclearand known procedure (predictable) and be culturallyappropriate (respectful). Parties should be kept informedofthe process.Wider stakeholders should receive statistics onthe frequency of certain grievances, and steps taken forresolution(transparent).Statisticsshallthenbeusedtoenablecontinuous learning (continuous learning).Finally, theFGRMshouldleadtooutcomescompatiblewithapplicablenationallyandinternationallyrecognisedrights(rights-compatible).We will also consider the key functions the FGRM shouldencompass.AFGRM’sfirstfunctionistoreceiveandregistergrievances. This is possible only if potential complainants’awareness has been raised regarding the existence of themechanism. For example, facilitators at the local level,including NGOs staff, could be instructed for outreachactivities.Appropriatechannelsforforwarding,compilingandstoringgrievances,includingacentraldatabase,couldbesetup.A FGRM’s second function is to acknowledge, assess, andassign a grievance. Acknowledging receipt should come in areasonable time, 3-5 days, and can be in different forms,including emails, letters, face to face communication by afacilitator,andwithaclearlyidentifiedpointofcontact.Grievances should be preliminarily assessed to ensure thatthey are relevant to REDD+. Complaints should then beevaluatedorbe referred to themostappropriate institutionforevaluation(e.g.caseswhencomplaintshouldbedealtbyinstitution in charge of other FGRM/dispute resolutionmechanism). Using set standards and criteria (consideringneed to accommodate personal and cultural differences), itshoulddevelopandproposegrievanceresolutionapproachesandtoallowforanappealsprocess.The FGRM’s third function is to monitor and report thesolution/response to the complainant and community.Agreement on the suitability of the solution/response, andfurtherstepsthatmightbeneededotherwise,shouldbebasedonengagementanddialoguewiththecomplainant.ThefinalFGRMfunctionistoclose,archive,andkeeptrackofgrievances. This includes setting up an informationmanagementsystemthatensuressystematicdocumentationand generates statistics on grievances received, by issue, ofactionsproposed,andresolutiontimeframes.

26

The REDD+ FGRM framework design document will bepresented and discussed with all relevant stakeholders in aworkshop(s).Thedocumentwill:a) Developrecommendationsforstrengtheningand linking

existingdispute resolutionmechanisms to theproposedFGRM.Thesemayinclude:

a. ChangesinFGRMprocedures,reportinglinesandaccountability mechanisms, allocation ofadditional resources, and/or reallocation ofexisting resources to address limitations onaccess,transparency,andpredictability;

b. Staff development to build skills in grievanceresolution, institutionalize knowledge captureandtransfer,andpromotecontinuouslearning;

c. Changesinstructures,procedures,andpracticesfor stakeholder engagement and oversight, topromote ongoing dialogue and jointcommitment to grievance prevention andresolution among agency managers,representatives of FGRM users, and otherrelevantexternalstakeholders;and

d. Otherstrategiesandactionsnecessarytoreducethe risk of grievances and improve GRMperformance.

b) IdentifytheinstitutionalstructurethatshouldmanagetheimplementationoftheREDD+FGRM,includingtherolesand responsibilities of the persons involved and theircapacityneeds;

c) Provide recommendations for amendment/ renewal oflaws, policies and procedures to support theimplementationoftheFGRM;and

d) Provide recommendations to continuously improve theFGRM.Thiswillbe linkedtooneof the functionsof theFGRMconcerningsettingupaninformationmanagementsystemthatgeneratesstatisticsongrievancesreceived,byissue,ofactionsproposed,andresolutiontimeframes.Inaddition,wewillproviderecommendationsastohowtheFGRMcanbesystematicallyreviewedintermsofoveralleffectiveness.

Theconsulting teamwillpresent the findingsof the tasksatdifferentappropriateforumsasandwhenadvised/requestedbyNationalREDD+Office.Wewill incorporate the feedbackgatheredthroughthevariousconsultationsandprepareafinalreport.WenotethepreparationoftheREDD+FGRMDesignFramework document will be an iterative and consultativeprocess.

Task17:BuildcapacitiesofProvincialGrievanceand Implementation Units to conduct rapid

assessment of existing formal & informal

feedback and grievance redressal mechanisms

and use the framework developed for the

proposedfeedback.

Output 20: Information sharing mechanism

including user friendly mobile app to enhance

DrawingonOutput18and19,wewillprepareanoperationalmanualandnecessarytools(e.g.templates)fortheapplicationof the REDD+ FGRM for recording issues and grievancesrelatingtoREDD+activitiesundertheirauthority.TheITspecialistwilldevelopamobileapplicationlinkedtotheFGRM.

27

stakeholder engagement and respond to any

request for feedback or complaint that

stakeholdersmayhaveaboutREDD+activities.

Wewillalsoconductatrainingoftrainersfortheabovetargetgroupsontheuseoftheforms/template.

Task 18: Capacity building and south to south exchange

This activity has been added with a view of building thecapacities of relevant stakeholders throughout theassignment, and to facilitate south to south learning andexchange for governmental stakeholders with otherpioneering countries working on meeting UNFCCC and WBsafeguardrequirements.Weproposetocarryoutcapacitybuildingandtrainingsessionsthroughout the assignment and in relation to the differentcomponentsoftheassignment(SESA/ESMF,SISandFRGM).We also propose to facilitate south to south learning andexchange for governmental stakeholders with otherpioneering countries working on meeting UNFCCC and WBsafeguardrequirements.

Table3:Outputsandproposeddeliverydates

Deliverables Scope Scheduleforsubmission

Output1

Inception

Report

Inceptionreportwithadetailedworkplanfortheassignment

5thAugust2017

Output2:

InterimReportInterimReportshallinclude:

• Analysesoflegalandinstitutionalandgovernance capacity to addresssafeguardsinrelationtoUNFCCCandWBsafeguards;

• Proposed clarification/interpretationof theUNFCCCREDD+safeguards inaccordance with Pakistan’s nationalcircumstances;

• Assessment of historical social andenvironmental issues in theforest/landusesectorrelevanttotheassessment of potential risks andbenefits arising from the proposedREDD+strategy;and

• Identification of relevantstakeholders and platforms to beusedintheSESA.

15thNovember2017

Presentationsbyrelevantexpertstorelevantstakeholders:

• Legal expert: Analyses oflegal and institutional andgovernance capacity toaddress safeguards inrelation toUNFCCCandWBsafeguards

• International legal expert:Proposedclarification/interpretationof the UNFCCC REDD+safeguards in accordancewith Pakistan’s nationalcircumstances.

• Forestryexpert:Assessmentof historical social andenvironmental issues in theforest/land use sector

28

relevant to the assessmentof potential risks andbenefits arising from theproposedREDD+strategy.

• Social expert: Identificationofrelevantstakeholdersandplatforms to be used in theSESA.

Capacitybuildingcomponent

Inconnectionwiththepresentationof this report, we will provide atraining session for the NationalREDD+ office on best practices andexperienceson:

- Interpretation of UNFCCCREDD+safeguards;

- Use of regulatoryframeworks for ensuringREDD+ activities are carriedout in consistency withUNFCCC REDD+ safeguardsandWBpolicies;and

- Considerations for carryingoutaSESA.

Output3:

MidTerm

Report

MidTermReportshallinclude:

• Preliminary identification of socialand environmental risks associatedwiththeproposedREDD+activities;

• Prioritization of social andenvironmentalrisks;and

• FinalSESAreport

January2018(exactdateTBC)

Tobepresentedtostakeholdersfortheir feedback at a one—day

workshopontheMidTermReportinconsultationwiththeclient.

Presentationsbyrelevantexperts:

• Team leader/International

legal expert/forestry and

social expert: SESA report,that includes identificationand prioritization of socialand environmental risksassociated with theproposedREDD+activities.

Capacitybuildingcomponent

Inconnectionwiththepresentationof this report, we will provide atraining session for the National

29

REDD+ office on best practices andexperienceson:

- DesigninganSIS;

- DesigninganFGRM;and

- DesigninganESMF.

Output4:

DraftFinal

Report

DraftFinalReportshallinclude:

• DraftESMFreport;

• Desk Review Report on (i) existingformal and informal feedback andgrievance redressal mechanisms atlocal, district, regional and nationallevel; (ii) identified currentinstitutional strengths and capacitygapsforgrievanceresolutionand(iii)existing land tenure and nationalresource rights at district level andrelevant issues to be addressed ingrievanceredressalmechanism;

• REDD+ FGRM Design Framework,that includes recommendations foramendment/ renewal of laws,policiesandprocedures;

• Report with identification of SISinformationneeds;

• Report with identification ofinformation systems and sources inrelationtoSISinformationneeds;and

• Conciseframeworkdocumentfortheset-upoftheNationalSIS.

Mid-April 2018 (exact date TBC;depends on the Working GroupMeeting organized by NationalREDD+Office)

Report shall be presented tostakeholdersataone-dayworkshopto coincide with Working GroupMeeting organized by NationalREDD+Office. Theoutcomesofthediscussions will be presented in areport to be prepared by CLP andincorporated in the Draft FinalReport.

Presentationsbyrelevantexperts:

• Legal expert: REDD+ FGRMDesign Framework, whichincludes deskrecommendations foramendment/ renewal oflaws, policies andprocedures.

• Forestry and social expert:reportswithidentificationofSIS information needs andinformation systems andsources

• International legal expert:Concise frameworkdocument for the set-up ofthe National SIS, and draftESMFreport.

Output5:

FinalReport

FinalReportshallinclude:• FinalESMFreport;• Technological platform of SIS with

backupsoftwaretolinktransmissiontotheregistry;

• Report of Pakistan’s approachtowards meeting UNFCCC and WBsafeguardrequirements;

LateMay2018(exactdateTBC)Presentationsbyrelevantexperts:

• Legal expert and

international legal expert:FinalESMFreport

• IT expert: Technologicalplatformof SISwith backupsoftwaretolinktransmission

30

• Standard Operating Procedures(SOPs) for filing and addressingcomplaints, tracking and closing outof REDD+ related cases dulyapproved by relevant provinces/territories;and

• Information sharing mechanismincludinguserfriendlymobileapptoenhance stakeholder engagementand respond to any request forfeedback or complaint thatstakeholdersmayhaveaboutREDD+activities.

to the registry, and mobileapp.

• Forestry and social expert:Standard OperatingProcedures (SOPs) for filingand addressing complaints,tracking and closing out ofREDD+ related cases dulyapproved by relevantprovinces/territories.

Completionof

Codal

formalities

Submission of the data produced and finaloutputsintheformofadigitalandhardcopy.

June2018

31

Table4:WorkPlan

Thefollowingworkplanshowstheactivitiesandoutputsdetailedintheprevioustablesthataretobeimplementedanddeliveredovera11-monthperiod,consistentwiththerequirementsoftheToR.

Task Aug Sep Oct Nov Dec Jan Feb Mar April May JuneTask1:InceptionReport

O15thAugust

Task2:Assessmentofexistingpolicies,regulations,proceduresandinstitutionalstructures

O2+W+T15thNov

Task3:Clarification/interpretationofCancunsafeguardsandlinkagestoWorldBankOperationalPolicies

DraftO3 O3+W+T15thNov

Task4:Assessmentofhistoricalsocialandenvironmentalissuesintheforest/landusesector

DraftO4 O4+W+T15thNov

Task5: DraftO5 O5+W+T

32

Mappingofrelevantstakeholdersandplatforms

15thNov

Task6:IdentificationofsocialandenvironmentalrisksandbenefitsassociatedwiththeproposedREDD+activities

DraftO6 O6+W+T15thJan

Task7:IdentificationofprioritysocialandenvironmentalrisksofproposedREDD+activities

DraftO7 O7+W+T15thJan

Task8:DevelopmentofFinalSESAreport

O8+W+T15thJan

Task9:DevelopmentofESMF

DraftO9 O9+W+TMid-April

Task10:IdentificationofSISinformationneeds

Draft011

O11+W+TMid-April

Task11:Identifyingandassessingthe

Draft012 O12+W+TMid-April

33

possibleexistingsourcesofinformationfortheSISTask12:SISframeworkdesign

Draft013 O13+W+TMid-April

Task13:Createaweb-basedplatformforSISandmobileapp

O15+W+TLateMay

Task14:Collectinformationonlandtenureandnationalresourcerightsinrelationtogrievance/complaintsthattendtocomeupinPakistanatdistrictlevel

Draft016 O16+W+TMid-April

Task15:ConductadeskreviewofavailablesecondaryinformationandexamineandassessexistingconflictresolutionandGrievance

Draft017 O17+W+TMid-April

34

Legend:Output:OWorkshop:WTrip:T

Inlinewiththedeliveryofactivitiesandoutputsoftheengagementoutlinedabove,CLPisplanningseveraltripstoPakistan.Thefollowingtripsanddatesarebeingconsidered,inaccordancewithourTechnicalProposal:

1. Inceptiontrip(week7thAugust2017)2. Secondtrip(November2017)3. Thirdtrip(January2018)4. Fourthtrip(April2018)5. Fifthtrip(May2018)

RedressalMechanismsTask16:Developaframeworkforthefeedbackandgrievanceredressalmechanism

Draft018DraftO19

O18+W+TMid-April

019+W+TLateMay

Task17:BuildcapacitiesofProvincialGrievanceandImplementationUnitstoconductrapidassessments

020+W+TLateMay

Task18:Capacitybuildingandsouthtosouthexchange

O-report+W+TLateMay

35

ANNEXI.

FACTSHEET1–WhatisREDD+andwhatareREDD+safeguards? What is REDD+? Reducing Emissions from Deforestation and Forest Degradation (REDD+) is an international climate policy initiative that aims to contribute to reducing global carbon emissions by creating incentives for the conservation and sustainable management of forests and enhancement of forest carbon stocks in tropical forest countries. REDD+ was born from a proposal of Papua New Guinea and Costa Rica presented to the 11th Conference of the Parties (COP 11) of the United Nations Framework Convention on Climate Change (UNFCCC) in Montreal, Canada in 2005. In 2007, during the 13th UNFCCC Conference of the Parties in Bali (COP 13), Parties started a negotiation track entitled: "reducing emissions from deforestation” (RED). The concept was later expanded to include reduction of emissions from forest degradation (REDD). Finally, it was expanded to REDD ‘plus’ (REDD+), to include conservation of carbon stocks, increased carbon stocks and sustainable management of forests. COP 16 in Cancun led to the articulation of the five REDD+ activities that developing countries can implement to be eligible to receive payments:38

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

After several years of negotiations and discussions at the international level, the UNFCCC COP adopted the ‘Warsaw Framework for REDD+’ at its 19th meeting in December 2013.39 This officially anchored REDD+ to the UNFCCC regime. The Warsaw Framework builds on previous COP decisions and clarifies and consolidates the requirements and methodological guidance countries must meet in order to access results based finance.40 According to the Warsaw Framework, developing country Parties aiming to receive results-based finance for REDD+ must:

1. Ensure that the anthropogenic forest-related emissions by sources and removals resulting from the implementation of REDD+ activities are fully measured, reported and verified (MRV) in accordance with UNFCCC guidance;41

2. Have in place:42 a) A national strategy or action plan (a link to which is shared on the UNFCCC

REDD+ Web Portal);

38UNFCCCDecision1/CP.16paragraph70

39UNFCCCDecisions9/CP.19;10/CP.19;11/CP.19;12/CP.19;13/CP.19;14CP.19and15/CP.19

40UNFCCCDecision2/CP.17paragraph63

41UNFCCCDecision1/CP.16paragraph73

42UNFCCCDecision1/CP.16paragraph71

36

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

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

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

Explanatory video about REDD+: • https://www.youtube.com/watch?v=D0WeGw3h2yU

The phases of REDD+ The UNFCCC outlines a phased implementation for REDD+:43 Phase 1: known as the Readiness phase, phase 1 focuses on the development of national strategies or action plans, policies and measures, which should address the causes of deforestation and forest degradation, as well as capacity building. Countries are also expected to establish their legal and institutional arrangements for REDD+ management, consultation and implementation in Phase 1. Phase 2: Focuses on the implementation of national policies, measures, strategies or action plans for further capacity building, technology development and transfer, and results-based demonstration activities, evolving into Phase 3: results-based actions to be fully measured, reported and verified.

43UNFCCCDecision1/CP.16paragraph73

Preparation/Readiness Reforms and piloting REDD+

Full REDD+ implementation and

payments

Design a REDD+ national strategy

- Implement the REDD+ national strategy- Pilot REDD+ activities

- Implement REDD+ activities- Results-based payments

37

Other REDD+ initiatives In parallel to the negotiations of REDD+ under the UNFCCC, several multilateral funds and programmes were established to support the implementation of REDD+. These initiatives include the World Bank Forest Carbon Partnership Facility (FCPF), World Bank Forest Investment Programme (FIP) and UN-REDD as well several bilateral initiatives, such as Germany’s REDD+ Early Movers (REM) and Norway’s bilateral agreements with the governments of Brazil, Guyana, Indonesia and Tanzania. Although operating in parallel to the UNFCCC process, the objective of these initiatives is to support countries in participating in a future UNFCCC regime and are therefore expected to comply with UNFCCC decisions and guidelines. Several of the REDD+ funding agencies and donors have developed their own safeguard frameworks or apply existing safeguards policies applicable to the REDD+ readiness and demonstration activities that they financially support. REDD+ recipient countries are under increasing pressure to develop safeguard responses that meet not only the UNFCCC requirements, but also the multilateral and bilateral and contractual commitments they acquired through the funding agencies and donors that are supporting them. What is a safeguard? ‘Safeguards’ is a term that can be traced to financial institutions such as the World Bank, where it refers to measures to prevent and mitigate undue harm from investment or development activities.44 The World Bank’s safeguards are a ‘risk-based approach’, which involves pricing and prioritizing risks according to a logic of economically efficient ‘risk management’. A risk management process aims to insure against the risk of a certain type of activity triggering an initiative’s safe-guard accountability mechanisms. Safeguards in REDD+ As REDD+ discussions progressed in the UNFCCC, it was recognised that implementation of REDD+ can pose significant environmental and social risks, as well as provide an opportunity to promote multiple benefits. Potential benefits include the promotion of biodiversity conservation and securing the provision of ecosystem services, which include water regulation, timber production, erosion control and the provision of non-timber forest products. REDD+ can also produce social benefits, such as improving governance, livelihoods and clarification of land tenure. Potential negative impacts of REDD+ include, among others, appropriation of local communities and indigenous peoples’ lands (involuntary displacement), other human rights violations, and depletion of biodiversity. Failure to correctly address current national forest governance shortcomings, or mitigate the risk of adverse social effects of REDD+ actions and activities could potentially prevent REDD+ from achieving its long-term goal of sustainable reductions of GHG emissions from deforestation and forest degradation.

44 McDermott, Constance L., Coad, L., Helfgott, A., Schroeder, H., (2012), Operationalizing social safeguards in REDD+: actors, interests and ideas, Environmental Science and Policy, 21, p.65.

38

FACTSHEET2–UnitedNationsFrameworkConventiononClimateChange(UNFCCC)REDD+SafeguardsandSafeguardrequirements The Cancun Safeguards To address these concerns and to promote the realisation of multiple benefits of REDD+ implementation, Parties to the UNFCCC agreed on seven safeguards at COP 16 in Cancun (also referred to as the Cancun safeguards). UNFCCC Decision 1/CP.16, Appendix I, section 2

UNFCCC REDD+ Safeguards:45

a) That actions complement or are consistent with the objectives of national forest programmes and relevant international conventions and agreements;

b) Transparent and effective national forest governance structures, taking into account national legislation and sovereignty;

c) Respect for the knowledge and rights of indigenous peoples and members of local communities, by taking into account relevant international obligations, national circumstances and laws, and noting that the United Nations General Assembly has adopted the United Nations Declaration on the Rights of Indigenous Peoples;

d) The full and effective participation of relevant stakeholders, in particular indigenous peoples and local communities, in the actions referred to in paragraphs 70 and 72 of this decision;46

e) That actions are consistent with the conservation of natural forests and biological diversity, ensuring that the actions referred to in paragraph 70 of this decision are not used for the conversion of natural forests, but are instead used to incentivize the protection and conservation of natural forests and their ecosystem services, and to enhance other social and environmental benefits;

f) Actions to address the risks of reversals; g) Actions to reduce displacement of emissions.

The Cancun safeguards embody social, environmental and governance principles, according to which REDD+ must be implemented. These cover a wide range of issues, including good forest governance, the respect for the rights of local communities and indigenous peoples, the protection of biodiversity, and the sustainability and integrity of emissions.

45UNFCCC Decision 1/CP.16, Appendix 1, section 2. 46Paragraph 70 of the Decision establishes: “Encourages developing country Parties to contribute to mitigation actions in the forest sector by undertaking the following activities, as deemed appropriate by each Party and in accordance with their respective capabilities and national circumstances: a) Reducing emissions from deforestation; b) Reducing emissions from forest degradation; c) Conservation of forest carbon stocks; d) Sustainable management of forests; e) Enhancement of forest carbon stocks.” As well as el paragraph 72 establishes that the COP: "Also requests developing country Parties, when developing and implementing their national strategies or action plans, to address, inter alia, the drivers of deforestation and forest degradation, land tenure issues, forest governance issues, gender considerations and the safeguards identified in paragraph 2 of appendix I to this decision, ensuring the full and effective participation of relevant stakeholders, inter alia indigenous peoples and local communities." UNFCCC Decision 1/CP.16 paragraphs 70 and 72.

39

It is important to note that the wording of these seven safeguards reflects, and makes references to international conventions and agreements. Therefore, rather than creating new and aspirational obligations, the Cancun safeguards are rooted in existing international law. Indicative Interpretation Framework for the UNFCCC REDD+ Safeguards47 UNFCCC REDD+ Safeguard a) A. Complement or be consistent with the objectives of national forest programmes B. Complement or be consistent with the objectives of relevant international conventions and agreements

UNFCCC REDD+ Safeguard b) A. “Transparent” forest governance structures, which is comprised of: (I) The right of access to information (ii) Promoting public awareness on access to information and equitable distribution of REDD+ sustainable benefits (iii) Accountability/efforts to combat corruption B. “Effective” forest governance structures, which is comprised of: (i) Adequate legal framework - Clarity on land tenure rights - Equitable distribution of benefits - Gender equity (iii) Adequate access to justice (iv) Integration of social, economic and environmental considerations into policy-making (v) inter-sectorial coordination

UNFCCC REDD+ Safeguard c) A. Definition of indigenous peoples, local communities and traditional knowledge B. Recognition and implementation of rights according to international law (I) Non- discrimination (ii) Self-Determination (iii) Rights associated with culture (iv) Collective land tenure (v) Distribution of benefits

(vi) Procedural rights UNFCCC REDD+ Safeguard d) A. Definition and regulation of “full and effective participation” B. Creating an enabling environment for full and effective participation (I) Identification of relevant stakeholders 47 This interpretation framework was developed based on an analysis of the language from over relevant 90 international conventions and non-binding agreements. For the full analysis, see: Rey, D., Roberts, J., Korwin, S., Rivera, L., and Ribet, U. (2013) A Guide to Understanding and Implementing the UNFCCC REDD+ Safeguards. ClientEarth, London, United Kingdom.

40

(ii) Providing access to information (iii) Implementing participatory mechanisms (iv) Conflict resolution mechanisms C. Full and effective participation of indigenous peoples and local communities (I) Creating an enabling environment (ii) Free, prior and informed consent (FPIC) UNFCCC REDD+ Safeguard e) A. No conversion of natural forests (I) Definition of natural forests, biological diversity and ecosystem services (ii) Prohibiting the conversion of natural forests B. Protection and conservation of natural forests and biological diversity (I) Identifying natural forests and biodiversity (ii) Implementing measures to protect biodiversity and natural forests (iii) Integration of biodiversity in cross-sectoral policies (iv) Enhancement of other benefits UNFCCC REDD+ Safeguards f) and g) A. Monitoring and Assessment B. Measures to Tackle Reversals and Displacement UNFCCC SAFEGUARD REQUIREMENTS The UNFCCC recognises that safeguards are a key part of REDD+ implementation, and links the Cancun safeguards to results-based payments, requiring that countries demonstrate how they have addressed and respected them throughout the implementation of their REDD+ activities.48 The specific UNFCCC safeguard requirements are the following: Requirement 1: Implement REDD+ activities in a manner consistent with the Cancun safeguards REDD+ activities, regardless of their type of funding source, are to be implemented in such a way that is consistent with the Cancun safeguards. 49 This implies that countries should take steps to define how the Cancun safeguards will be implemented, and to ensure compliance with the safeguards throughout the implementation of REDD+ activities.

Requirement 2: Establish a system to provide information on how the Cancun safeguards are being addressed and respected The governments of countries implementing REDD+ activities are required to establish a system to provide information on how the seven Cancun safeguards are being addressed

48 UNFCCC Decision 2/CP.17, Paragraphs 63 and 64, which should be read along with UNFCCC Decision 1/CP.16, Paragraph 69 and Appendix 1, Paragraph 2. 49 “Agrees that, regardless of the source or type of financing, the activities referred to in decision 1/CP.16 paragraph 70, should be consistent with the relevant provisions included in decision 1/CP.16, including the safeguards in its appendix I” UNFCCC Decision 2/CP.17 paragraph 63

41

and respected in all the phases of implementation of REDD+.50 This is commonly referred to as the Safeguard Information System (subsequently referred to as the SIS). According to the UNFCCC guidelines, the SIS should:51

• Be consistent with guidance in decision 1/CP.16, appendix I, paragraph 152; • Provide transparent and consistent information that is accessible by all relevant

stakeholders and updated on a regular basis; • Be transparent and flexible to allow for improvements over time; • Provide information on how all the safeguards are being addressed and respected; • Be country-driven and implemented at the national level; • Build upon existing systems, as appropriate.

Requirement 3: Provide a summary of information on how the Cancun safeguards are being addressed and respected To receive results-based payments, countries must present their most recent summary of information demonstrating how the safeguards have been addressed and respected (subsequently referred to as the summary of information or SOI).53 The UNFCCC also establishes that the summary of information should be provided periodically, and be included in national communications or other communication channels identified by the COP. An additional and voluntary format for providing information to the UNFCCC is through the UNFCCC REDD+ web platform.54 In the final series of decisions on REDD+, agreed in Paris at COP 21, Parties to the UNFCCC developed some further guidance “on ensuring transparency, consistency, comprehensiveness and effectiveness when informing on how all the safeguards referred to in decision 1/CP.16, appendix I, are being addressed and respected.”55 As part of this guidance, the COP “strongly encourages” developing country Parties, when providing the summary of information on how the Cancun safeguards are being addressed and respected, to include, inter alia: 56

• A description of the REDD+ activities the country is planning to implement; • Information on national circumstances relevant to addressing and respecting the

safeguards; • A description of each safeguard in accordance with national circumstances; and

50 UNFCCC Decision 1/CP.16 Paragraph 71(d). 51 UNFCCC Decision 12/CP.17 Paragraph 2 52 Which states that REDD+ activities should: (a) Contribute to the achievement of the objective set out in Article 2 of the Convention; (b) Contribute to the fulfilment of the commitments set out in Article 4, paragraph 3, of the Convention; (c) Be country-driven and be considered options available to Parties; (d) Be consistent with the objective of environmental integrity and take into account the multiple functions of forests and other ecosystems; (e) Be undertaken in accordance with national development priorities, objectives and circumstances and capabilities and should respect sovereignty; (f) Be consistent with Parties’ national sustainable development needs and goals; (g) Be implemented in the context of sustainable development and reducing poverty, while responding to climate change; (h) Be consistent with the adaptation needs of the country; (i) Be supported by adequate and predictable financial and technology support, including support for capacity-building; (j) Be results-based; (k) Promote sustainable management of forests; 53 Decision 9/CP, Paragraph 4, UNFCCC Decision 2/CP.17, op cit, Paragraph 63 and 64. 54 Decision 12/CP.19, Paragraph 2 and 3 55 UNFCCC Decision 17/CP.21, see also UN-REDD brief on summaries of information 56 Ibid, paragraph 5(b) see also UN-REDD brief on summaries of information for further analysis

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• A description of existing systems and processes relevant to addressing and respecting safeguards, including the SISs in accordance with national circumstances.

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FACTSHEET3–TheGreenClimateFund

Background The Green Climate Fund (GCF), was established at UNFCCC COP 16 in Cancun, to serve as an operating entity of the financial mechanism of the UNFCCC.57 It will provide financing in the form of grants and concessional lending, and through other modalities, instruments or facilities as may be approved by the Board. The Governing Instrument also specifies that the GCF may employ results-based financing approaches, including, for incentivising mitigation actions, and payment for verified results, where appropriate.58 The GCF was recognised by the UNFCCC as having “a key role to play” in channelling financial resources to developing countries and catalysing climate finance.59 Furthermore, the GCF was requested by the UNFCCC COP, when providing results-based funding, to apply the methodological guidance consistent with UNFCCC decisions on REDD+.60 Recent GCF Board Decisions on REDD+ The GCF Board recently adopted two new decisions at its recent 17th Meeting of the GCF in Songdo, Korea, intended to reduce global emissions from deforestation and forest degradation, as well as to support forest restoration and conservation in developing countries via REDD+. These two new decisions relate to:

• The GCF’s role in financing development of policies and preparatory activities for REDD+; and

• The GCF’s policy related to making payments for verified emission reductions achieved through REDD+.

Decision 1: GCF Readiness and Preparatory Support Programme This decision61 addresses the type of support to be provided by the GCF for Phases 1 and 2 of REDD+. The Board acknowledged that the implementation of REDD+ at the scale intended will require significant mobilization of multiple sources of funding but that current funds are inadequate to support action at the scale needed. Thus, investments will need to look beyond the ongoing REDD‐plus initiatives. It was decided that the GCF will provide so-called ‘readiness’ support to countries for the development of strategies and action plans, reference levels to measure emissions, forest monitoring systems and safeguard systems, as well as land tenure reform, and will put emphasis on issues related to gender, indigenous peoples’ rights and environmental integrity. Although the decision does not specify the amount that will be dedicated to funding such

57 UNFCCC Decision 1/CP.16 paragraph 102 58 GCF governing instrument Governing Instrument, paragraphs 54 and 55 59 UNFCCC Decision 9/CP.19 60 Namely decisions 4/CP.15, 1/CP.16, 2/CP.17, 12/CP.17, 9/CP.19 and 11/Cp.19 to 15/CP.19 61 GCF/B.17/16 http://www.greenclimate.fund/documents/20182/751020/GCF_B.17_16_-_Green_Climate_Fund_support_for_the_early_phases_of_REDD_plus.pdf/574e7c22-df75-42f9-811d-98432a2f3bc0

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activities, it is significant in that it clarifies the GCF’s intent to provide ex ante funding for REDD+ as opposed to purely results-based finance. The Readiness and Preparatory Support Programme (the readiness programme) provides resources up to USD 1 million per country per year (not exclusive for REDD+). Readiness Funding can be accessed for a variety of readiness activities62 including: GCF Support for Phase 163

a) Development of a national REDD‐plus strategy or action plan and investment plans: Through the Readiness and Preparatory Support Programme, the GCF can support preparation of the REDD‐plus strategy or action plan, with specific assistance analysing the drivers of deforestation and forest degradation, land tenure and forest governance issues (including analysis of policies and measures), safeguards and gender considerations, and more. The plan should be ambitious in scale, aligned with the country’s climate change strategies (e.g. NAMAs, NAPs, national climate change strategies, etc.), and ensure the full and effective participation of relevant stakeholders, including indigenous peoples and local communities. In addition to helping to assure that the above requirements are met, the GCF can also support preparation of an investment plan to address identified implementation issues. This financial plan should specify the financial needs, gaps, barriers and ways to leverage (private, public, and other sources of finance), seeking long term financial sustainability of the investments. Such analysis will feed into the development of the country programme for the GCF, which identifies strategic priorities for engagement with the GCF;

b) Design a national forest reference emission level: GCF readiness funding could

also be available to support countries to design a forest reference emissions level (FREL) or included as part of a funding proposal;

c) Design and establish the national forest monitoring system: Readiness support

can also assist countries to establish a national forest management system by, for example, building technical capacity to monitor, report, and verify emissions reductions from forest and land‐use activities. It is also possible to access finance for the implementation of national forest monitoring systems as part of a funding proposal through the regular project cycle, provided these efforts are coupled with related emissions reduction actions. These investments will need to include ways to secure long term financial sustainability and appropriate capacities to maintain the system beyond the timeframe of the project/programme financed; and

d) Design and develop a system for implementing the Cancun REDD‐plus

Safeguards: in accordance with rules established by the UNFCCC, countries must respect and address the UNFCCC decisions on safeguards. GCF readiness support can assist countries to adhere to these rules. Here too, funding for addressing the Cancun REDD‐plus Safeguards could alternatively be included in the project cycle as part of a funding proposal.

62GCF/B.17/16 paragraph 9

63Ibidparagraph20

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GCF Support for Phase 2:64 Phase 2 includes the implementation of national policies and measures and national strategies or action plans, which might involve additional capacity building, technology development and transfer and results‐based demonstration activities. The implementation of these activities is likely to derive from different sources of funding as in most cases, no single source will be able to cover all financial needs. The GCF is considering funding interventions according to the following major land uses:

• Previously forested lands: to reduce pressure on forests by increasing productivity of agricultural lands through more efficient and proven technologies, reforestation and agroforestry and restoration of natural forests;

• Managed forests: targeting forests in proximity to the agricultural frontier. This may come in the form of sustainable forest management for timber or non‐timber forest products, payments for ecosystem services, and ecotourism; and

• Primary forests: recognizing land tenure rights, strengthening law enforcement measures, creating large‐scale protected areas, maintaining the livelihoods and cultural values of forest‐dependent people and long‐term conservation of these forests and the ecosystem services they provide.

The activities described above would require two major types of interventions: interventions to generate the enabling conditions (usually a government’s responsibility), and private sector interventions. The interventions related to generating enabling conditions, would rely mostly on government actors at different levels. These interventions in the land use sector typically include public sector investments such as:

a) land tenure reform and land use planning; b) strengthening law enforcement and regulatory framework; c) policy, legal and institutional reforms in the forestry and related sectors; d) development of national forest inventories; and e) strengthening institutional and local capacities of relevant stakeholders in the forestry

and land use sectors. Such investments are typically financed through domestic budgets, although some countries would require additional support to be able to establish enabling conditions in the forestry and land use sector. In these cases, the GCF could provide support to implement these activities through concessional loans, or eventually grant instruments as part of a funding proposal. This would require substantial justification and analysis of the barriers and bottlenecks preventing domestic or other sources from financing these activities, and an analysis to identify ways to secure the financial sustainability of such investments. TheGCF’sroleinrelationtotheprivatesectorfocusesonaddressingbarriersandreducingrisksto

privatesectorinvestmentinadaptationandmitigationactivities.Thesebarriersandrisksmayinclude

marketfailures,insufficientcapacity,lackofawarenessofhowtomobilizeprivatecapital,and/orlack

ofexpertiseatscaleinaccordancewithnationalplansandpriorities.TheGCFcanassistprivatesector

actorsinvolvedinthevalue-chainsofagriculturalandforestcommoditiesthatgeneratelargesources

ofemissionsfromdeforestationandforestdegradationtoshifttodeforestation-freesupplychains.

SomeexamplesofGCFsupportfortheseactivitiesmaycomeintheformof,butarenotlimitedto:65

64GCF/B.17/16 paragraphs 22-29

65GCF/B.17/16 paragraphs 22-29 paragraph 37

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• Providing funding and instruments to generate credit lines with improved loan

conditions for sustainable agricultural practices conditional to maintaining natural forests and/or increasing forest areas;

• Financing technical assistance to small‐scale farmers to improve capacities and generate opportunities to engage in deforestation‐free supply chains; and

• Providing guarantees to reduce market risks, and other risks inherent to the forestry and land use sectors, including climate variability.

Decision 2: Pilot Programme for REDD+ Results-based Payments The GCF acknowledges that countries are at different stages of readiness across the REDD+ spectrum, with most countries being in the early phases of REDD+. In addition to providing support for early phases of REDD+ as outlines above, the GCF intends to mobilise results-based payments for REDD+ for countries that are more advanced to help incentivise action, generate lessons and knowledge, and inform a longer-term approach. 66 The Board has therefore decided to initiate a pilot RFP. The REDD+ RBP pilot programme will include payments for results from investments which were made in the past. As the current GCF policies and procedures were designed for upfront investments, the Decision on a Pilot Programme for REDD+ RBP identifies possible ways in which the substance of the current policies and procedures adopted by the Board could be considered in the implementation of REDD+ RBP pilot programme, and if necessary the way in which they would need to be modified to apply in relation to results-based payments.67 The results-based payments decision contained the following aspects as the “Key Procedural and technical elements”:

a) Access modality: requests will be channelled through accredited entities of the GCF. b) Financial valuation of results: a uniform and fixed price of USD $5 per ton CO2 has

been proposed for the pilot programme. c) Size of the Request for Payments (RFP): The Decision proposes to allocate

between USD $300 million and USD $500 million for the pilot programme. As of June 2017, 25 countries have completed their reference levels, and the Technical Analysis by the UNFCCC and four countries have submitted REDD+ results to the UNFCCC Secretariat with a potential volume of emissions reductions from countries ranging between 600 and 2500 million tonnes of CO2 eq. over the last two to four years.

d) Double payment and double financing: defined by the GCF Secretariat as when a country receives both support for activities pertaining to Phases 1 and 2 of REDD+, and payments for the results achieved during the same periods in Phase 3. The Secretariat proposes that this can be managed through appropriate control policies such as registry systems.

e) Use of proceeds: The Decision proposes that countries receiving REDD+ results-based payments (RBPs) should reinvest the proceeds in activities in line with countries’ Nationally Determined Contributions (NDCs).

f) Ownership, legal title and implications on NDCs: the emissions reductions paid for by the GCF under the pilot programme are not intended to be transferred to the GCF

66 Decision GCF/B.17/13 paragraph 9 http://www.greenclimate.fund/documents/20182/751020/GCF_B.17_13_-_Pilot_Programme_for_REDD__Results-based_Payments.pdf/8e3e9bf8-c02a-478b-b26f-f0743da2395e 67Decision GCF/B.17/13 paragraph 12

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(as is the case under the FCPF Carbon Fund, where ERs could be used to offset the purchaser’s emissions) but instead should be retired.

g) Eligibility date for results and length of the RFP: The Secretariat suggested that the pilot programme only consider recent ex-post results. The length of the entire process could take up to two years (from the launch of the request for payments to the distribution of payments).

h) Scale of implementation: proposals should be designed to achieve tonnes of emissions reductions or enhanced removals at national, or in the interim, sub-national level.

i) Forest reference emission levels / Forest reference levels (FREL/FRL) and results: The GCF proposes to employ a scorecard to create a bridge from UNFCCC Technical Analysis processes to GCF RBP payments.

j) Operationalization of the Cancun safeguards: Noting differences between the Cancun safeguards and the GCF environmental and social standards, countries applying for results-based payments will have the primary responsibility of demonstrating how the Cancun safeguards have been addressed and respected in the implementation of the REDD+ activities through their Summary of Information. The AEs, working with the countries, will prepare and document an assessment describing how the GCF interim standards have been met and applied in the REDD+ activities. Again, a scorecard will play an important role.

The RFP will encompass two stages: in the first stage, concept notes may be submitted to the GCF up to 12 months after the launch of the RFP, allowing all interested countries that fulfilled the UNFCCC requirements to receive results-based payments.68 In a second stage, eligible countries (per scoring of the Concept Note) will have up to six months to submit a results-based payment (RBP) Funding Proposal to the GCF. The Board will consider RBP Funding Proposals based on the Secretariats’ assessment and the recommendations from the Independent Technical Advisory Panel (ITAP). The distribution of payments would take place 24 months after the launch of the RFP. Further details on the process are provided in the text that follows.

68 See Decision 1/CP.16, paragraph 71

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FACT SHEET 4 – The World Bank Forest Carbon Partnership Facility and its safeguard requirements

Background In 2007, The Forest Carbon Partnership Facility (FCPF) was launched with the aim of strengthening the capacity of developing countries in tropical and subtropical regions, to reduce emissions from deforestation and forest degradation and to take advantage of the potential future system of positive incentives for REDD+. The FCPF is a global partnership fund under the World Bank designed to help countries ‘get ready’ for a future international REDD+ mechanism. The Carbon Finance Unit of the World Bank hosts the FCPF. Objectives of the FCPF

• To provide eligible REDD+ Countries with financial and technical assistance in building their capacity for REDD+;

• To pilot a performance-based payment system for Emissions Reductions (ERs) generated from REDD+ activities; and

• To broadly disseminate knowledge gained in the development of the Facility, and implementation of Readiness Preparation Proposals (R-PPs) and Emission Reductions Programs (ER Programs).

Funds of the FCPF The FCFP is composed of two separate funds: the ‘Readiness Fund’ and the ‘Carbon Fund’.

The Readiness Fund became operational in 2008 and is intended to assist developing countries in achieving the milestones necessary to benefit from a future results-based REDD+ mechanism. This includes support for: the preparation of a REDD+ strategy; the establishment of a reference scenario for emissions from deforestation and/or forest degradation, based on recent historical emissions and, possibly, an assessment of future emissions; and establishing a national monitoring, reporting and verification (MRV) system for emissions and emission reductions (ERs) to calculate the reductions in emissions against the reference scenario.

FCPF

ReadinessFund

CarbonFund

Objective:AssistdevelopingcountriesprepareforfutureparticipationinREDD+

Objective:pilotincentivepaymentsforREDD+policiesandmeasuresthatresultinverifiedemissionreductions(VERs)implementedinparticipatingdevelopingcountries

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The Carbon Fund became operational in 2011 and builds on the progress made in readiness and is designed to pilot performance-based payments for emission reductions from REDD+ programmes.69 The Carbon Fund Participants70 aim to select five large- scale Emission Reduction Programmes (ER Programmes) in countries that have made significant progress in their REDD+ readiness processes. ER Programmes will be selected based on the scale of the programme and their potential to generate a significant volume of high-quality and sustainable ERs, their technical soundness, expected benefits, and the diversity and learning value they offer to the Carbon Fund and the international community, amongst other criteria.71

FCPF Safeguard requirements Once sufficient progress has been made in the implementation of their R-PP countries may apply, or authorise an entity within their country to apply to the Carbon Fund by submitting an Emission Reductions Program Idea Note (ER PIN), as a step towards the completion of an Emission Reduction Programme (ER Programme) and ultimately, results-based payments.72 Countries are also expected to submit a Readiness Package, a document that summarises its Readiness process and outcomes from development of activities outlined in its R-PP (including safeguards).73 The FCPF safeguard requirements have two dimensions: substantive and procedural. Substantive Requirements Readiness Fund Countries receiving FCPF funding for readiness preparation through the World Bank are required to ensure compliance with the FCPF Readiness Fund’s common approach to environmental and social safeguards for multiple delivery partners (Common Approach).74 According to the Common Approach, participating countries are expected to achieve “substantial equivalence” to the “material elements” of the World Bank’s environmental and social safeguard policies and procedures applicable to the FCPF Readiness Fund.75 Carbon Fund

69 Forest Carbon Partnership Facility (2013) Carbon Fund Methodological Framework. p.2 Available from: https://www.forestcarbonpartnership.org/sites/fcp/files/2014/January/FCPF%20Carbon%20Fund%20Meth%20Framework%20-%20Final%20Dec%2020%202013%20posted%20January%202014.pdf 70 The Carbon Fund Participants make all decisions related to core aspects of the Carbon Fund, including on the selection of Emission Reduction Programmes and the establishment of the methodological framework and pricing approach. Current Participants include: Australia, BP Technology Ventures, Canada, CDC Climat, the European Commission, Germany, Norway, Switzerland, The Nature Conservancy, United Kingdom, United States. FCPF (2013) Carbon Fund Brochure p.5 71 Forest Carbon Partnership Facility (2013) The FCPF Carbon Fund Piloting REDD+ Programmes at Scale. p.1 Available from: https://www.forestcarbonpartnership.org/sites/fcp/files/2013/june2013/CF%20Origination-web_0.pdf 72 Ibid 73 Forest Carbon Partnership Facility Carbon Fund (2012) Process Guidelines for the Carbon Fund of the Forest Carbon Partnership Facility. FMT Note CF-2012-1-Rev p.2 : http://www.forestcarbonpartnership.org/sites/fcp/files/Documents/tagged/FMT%20Note%20CF-2012-1%20CF%20Process%20guidelines%20rev%20after%20CF4%20-%20final.pdf 74 UN REDD FCPF (2012) R‐PP Template Annexes Version 6, for Country Use p. 44 75 FCPF (2011) Readiness Fund Common Approach to Environmental and Social Safeguards for Multiple Delivery Partners. https://www.forestcarbonpartnership.org/sites/forestcarbonpartnership.org/files/Documents/PDF/Nov2011/FCPF%20Readiness%20Fund%20Common%20Approach%20_Final_%2010-Aug-2011_Revised.pdf

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Countries seeking to obtain payments from the Carbon Fund must ensure that their ER Programme is consistent with the Methodological Framework (CF MF),76 which states that to qualify for results-based payments all ER Programmes will not only need to meet all applicable World Bank policies, (which is no different from the Readiness Fund requirements) but also promote and support the Cancun Safeguards.77 Procedural Requirements Readiness Fund The Readiness Fun has two procedural safeguard requirements: Requirement 1: Carry out a Strategic Environmental and Social Assessment (SESA) The SESA stems from environmental assessment (EA) requirements of the World Bank.78 It is intended to be an inclusive process whereby the REDD+ country, with the participation of all potentially affected stakeholders, seeks to “identify likely impacts and risks, as well as opportunities,” among different strategic REDD+ options. During the SESA process these impacts, risks and opportunities are assessed and weighed by the various stakeholders. Activities that form part of the SESA include:79

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

• Analysing the legal, policy and institutional “aspects” of REDD+ readiness • Assessing existing capacities and gaps to address the environmental and social

issues identified • Establishing outreach, communication and consultative mechanisms with relevant

stakeholders throughout the process The SESA should conclude with the production of an ESMF as a means for managing environmental and social risks as REDD+ countries develop their REDD+ national strategies. Requirement 2: Develop an Environmental and Social Management Framework (ESMF) All REDD+ countries must produce an ESMF as a direct output of the SESA process.80 The ESMF lays out principles, rules, guidelines and procedures for assessing issues and impacts associated with planned REDD+ activities that may occur in the future but are not presently known or are uncertain.81 It largely provides a framework for REDD+ countries to address environmental and social issues in their REDD+ Strategy as it is implemented. 76 Which outlines the requirements that must be met by ER Programmes in order to qualify for results-based payments from the Carbon Fund. Forest Carbon Partnership Facility (2013) Carbon Fund Methodological Framework. Available: https://www.forestcarbonpartnership.org/sites/fcp/files/2014/January/FCPF%20Carbon%20Fund%20Meth%20Framework%20-%20Final%20Dec%2020%202013%20posted%20January%202014.pdf 77 FCPF Carbon Fund Methodological Framework. 78 See OP 4.01 – Environmental Assessment, para. 7; and Annex A, para. 10. 79 Ibid 80 R-PP Template, Component 2d, p. 44. 81 Common Approach, p. 47, para. 23.

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The ESMF is completed and presented, to the extent possible, as part of the REDD+ country’s R-Package. However, if REDD+ investments have not yet been specifically identified, the ESMF remains a general principles-based document, leaving specific details for later. Carbon Fund The Carbon Fund has two procedural safeguard requirements. Requirement 1: Develop Safeguard Plans for each PaM This means that while the SESA’s role is to identify the potential risks linked to the REDD+ Strategy’s PaMs and the ESMF’s is to provide the framework to manage these risks, the mitigation measures specific to the risks of each PaM will be included in Safeguards Plans developed for each PaM, based on the regulatory and institutional frameworks outlined in the ESMF. The Safeguard Plans need to be prepared concurrently with the ER Programme Document and must be publicly disclosed.82 Requirement 2: Develop monitoring arrangements for the Safeguard Plans The ER Programme will also need to provide information on how it meets the World Bank social and environmental safeguards and addresses and respects the safeguards included in the UNFCCC guidance related to REDD+ during its implementation.83 This must be done by the development of “appropriate monitoring arrangements” for safeguards, which should be included in the Safeguard Plans. The specific monitoring arrangements are left open, but the MF acknowledges that the resulting information could be used as an input to the national SIS (UNFCCC requirement 2).84

82 The MF does however qualify this requirement with the statement that : “if final Safeguard Plans are not provided at the time of Emission Reduction Programme Agreement (ERPA) signature, they become a condition precedent which must be fulfilled in order for the sale and purchase obligations under the ERPA to become effective. FCPF Carbon Fund Methodological Framework indicator 24.2 83 FCPF Carbon Fund Methodological Framework Criterion 25 84 FCPF Carbon Fund Methodological Framework indicator 25.2