Safeguard approaches
2014

REDD+ Safeguard Research ConsortiumC ONTENTS
Introduction

02

The Oddar Meanchey Community Forestry REDD Project (OMCFRP),
Kingdom of Cambodia

05

Summary06

1.Basic information

07

2.Details of the project activities

11

Dien Bien REDD+ Pilot Project, Socialist Republic of Vietnam

19

Summary20

1.Basic information

21

2.Details of the project activities

23

Forest Carbon Project in Quirino Province, Sierra Madre Biodiversity
Corridor, Luzon, Philippines, Republic of the Philippines

27

Summary28

1.Basic information

29

2.Details of the project activities

32

The Sofala Community Carbon Project, Republic of Mozambique37

Summary38

1.Basic information

39

2.Details of the project activities

43

REDD+ Safeguard approaches 2014

I NTRODUCTION
the diversity of approaches to safeguards has

1. Backgroundmade comparisons difficult.

Since 2000, the global annual net loss offorests has reached several million hectares, with
deforestation and forest degradation accounting
for more than 10% of the total greenhouse gas
emissions on Earth. To control the emissions fromthe forest sector for the mitigation of climatechange, countries recognized the necessity totackle on “reducing emissions from deforestationand forest degradation in developing countries”(REDD) in 2005 at the 11th Conference of theParties (COP11) to the United Nations Framework
Convention on Climate Change (UNFCCC). Since
then

REDD

has

economic-incentives

emergedsystem

for

as

an

low-carbon,

sustainable development in developing countries
where

seriousdeforestation

andforestdegradation have resulted in high levels ofgreenhouse gas emissions. In 2009, REDD was
updated to REDD+ to further include enhanced
roles

of

forestconservation,

sustainable

management of forests, and enhancement offorest carbon stocks., At COP16 in 2010, countries
have reached a general agreement on REDD+
which specified the need of safeguards thatcountries should promote and support in order toguarantee inclusive and transparent REDD+
activities.

Specifically,safeguards

shouldbe

implemented for preventing negative impacts andpromoting positive impacts on forest governance,theenvironment,

andthe society(Cancun

Under

these

circumstances,

thisreport“REDD+ Safeguards Approaches 2014” has been
prepared with the aim of sharing approaches, andchallenges in relation to REDD+ safeguards bycollecting information on existing, advanced
examples from pilot projects and demonstration
activities. The aim of the report is to promote not
only effective safeguards implementation at the
project level but also to contribute to theinternationalsafeguards

discussion
under

the

regarding
UNFCCC

REDD+

and

other

voluntary initiatives.

2. Structure and contents
2.1 Characteristics of the reportThe

reportcontains

project-level

case

information. Investigation was not limited toprojects that specifically call themselves REDD+
projects but also covered safeguards related toforestconservation.

First,

preliminary

investigations were conducted based on publishedliteratures and then investigators visited the sites
and interviewed relevant parties. The results wereorganizedinaccordance

with

the

seven

safeguards specified in the Cancun Agreements(some topics regarding forest governance werereinterpreted and rephrased to fit the project level).
The following three points were considered whencompiling the report:

Agreements: Decision 1/CP.16, Appendix I, Para 2).
Severalstudiesonpilot

projects

and1) Each project’s characteristics

demonstration activities of REDD+ have analyzed
challenges and identified good practices of some
aspects of REDD+ safeguards. In addition,
macro-level discussions about safeguards havebeen made at the UNFCCC and within voluntary
initiatives; however, such discussions have so far
lacked the link with real-world experiences ofsafeguards implementation. Practices to promoteand support safeguards on the ground are
expected to differ from place to place due tovarying socio-economic conditions and local
biodiversity. Although the importance of sharing
field-level experiences and lessons is recognized,

02

Approaches

tosafeguards

vary

greatlydepending on activity type (e.g., aim and content
oftheproject),

implementing

body(e.g.,

government vs. private organization), and funding
type (e.g., donation or investment); as such, thefollowing basic information was identified for eachcase:
- Activity type: Reduction of deforestation andforest degradation/Enhancement of carbon stocks(among five REDD+ activities)- Implementing body: Government-led/private
sector-led (for profit)/private sector-led (not forprofit)Consultants Association (JOFCA) ) , commissioned- Funding type: Aid Fund/investmentby the Forestry Agency of Japan. In addition, thecontents of the report do not necessarily reflect2) National-level information

the views or policies of the executing body or

The report targets project-based initiatives,
but it is necessary to consider national-level
information to understand how safeguards arepromoted and supported. For example, gaps
might occur when applying national legislations

supporting organization of each project. The
Consortium would be grateful if any errors or
insufficient understanding of facts were informed.


REDD Project - Kingdom of Cambodia

and policies at the project level, causing negative

The Forestry Administration of the Royalimpacts on the integrity of ecosystems and theGovernment of Cambodia

subsistence level of indigenous people and

Mr. Julien Brewster (former REDD+

community members. To understand the integrityofsafeguards

implementation

acrossMonitoringscale,

Director,

constructive

need

to

considerlocal

circumstances. Therefore, the report also complied(DARD)
Japan International Cooperation Agency

Therefore, each project was described in two(JICA)

and

3. Acknowledgements
peopleandForest Carbon Project in Quirino Province,
Sierra Madre Biodiversity Corridor, Luzon,
Philippines - Republic of the Philippines

During the compilation of the report, thefollowing

Forestry

Development of Dien Bien Province

improvements will be made in each project.

“challenges, improvements and future plans.”ofDepartment of Agriculture and Rural

readers should note that further efforts andresults”

Administration(VNFOREST)

referred to in the report are ongoing, and theandDien Bien REDD+ Pilot Project - Socialist
Vietnamnegatively criticizing each challenge. The cases

progress,(Monk’s

Republic of Vietnam

project challenged X and achieved Y”), rather than

“plan,

Suluth(JICA)

the information in a constructive manner (i.e., “thesections:

Bun

Japan International Cooperation Agency

manner.

Additionally, there is no one-size-fits-all method,safeguards

Development

Community Forest Association)an adaptive process where trial-and-error shouldaChildren’s

Venerable

The implementation of safeguards is usuallyinAdvisor,

Association)3) Compilation of constructive information

incorporated

Evaluation

Mr. Smeun Boreyroth (Deputy Executive

report.

as

and

Pact)

national-level information was included in thebe

The Oddar Meanchey Community Forestry

organizations

Dr. Aya Uraguchi (Senior manager, Policy,

kindlyandPartnership

Development,

provided valuable documents and information

Conservation International Japan)

related to REDD+ projects, to which the authors

Mr. Juan Acay (Forestry and Carbon

are very appreciative. The report was compiled as

Project

a deliverable of the REDD+ Safeguards ResearchInternational Philippines)

Manager,

Conservation

Consortium (consisting of Forestry and Forest
Products

Research

Institute(FFPRI,

leadorganization), the Japan International Forestry



The Sofala Community Carbon Project Republic of Mozambique

Promotion and Cooperation Center (JIFPRO), theMr. Antonio Serra (Country Manager,

Mitsubishi UFJ Research and Consulting Co., Ltd.

Envirotrade Mozambique Limitada)(MURC),

and

the

Japan

Overseas

Forestry

03

The Oddar Meanchey Community Forestry REDD Project

Kingdom of Cambodia

05

REDD+ Safeguard approaches 2014

S UMMARY
Project name

The Oddar Meanchey Community Forestry REDD Project (OMCFRP)

Project area

Oddar Meanchey Province, Kingdom of Cambodia

Area64,318 ha

Population

Approx. 24,400

Government-led
Executing body

Forestry Administration (FA)(Partner organizations: Pact; Children's Development Association)

Activity type

Reduction of deforestation and forest degradation

Funding type

Aid fundPeriodJan 2008 - Dec 2037
Consistency with the National Forest Program (NFP) and otherinitiatives/Establishment and enhancement of governance
Respect for the rights of indigenous people and members of local

Relationship withconsideration items

Ń

communitiesŃParticipation of stakeholders

ŃConsideration of biodiversityŃAddressing the risk of reversals

ŃAddressing displacement

ŃSummary
Oddar Meanchey Province in northwest Cambodia has experienced rapid deforestation and forest
degradation due to forestry concessions, an increase of migrants, and other factors. In January 2008,
under the leadership of the Forestry Administration (FA) of the Royal Government of Cambodia,
Community Forestry International (CFI) (later succeeded by Pact) supported the development of a
REDD project targeting 13 community forests in the province.
In this project, the FA utilizes the community forestry (CF) system, and the Children’s Development
Association (CDA) provides field assistance to community forestry members, such as strengthening landownership and improving residents’ livelihood using non-timber forest products (NTFPs).
In addition, one CF group assisted by the FA and the Monks’ Community Forest Association
actively engages in biodiversity conservation and monitoring activities. In recognition of these efforts,
the project achieved dual verification under the Verified Carbon Standard (VCS) and Climate,Community and Biodiversity (CCB) Standards (with a Triple Gold status for climate, community andbiodiversity) in August 2013.

06

1. BASIC INFORMATION
1.1 National level(Kingdom of Cambodia, 2011a). Between 2002

1.1.1 Current state of forests

by 4.08 % of total land area, with an annual rate ofand 2010, the forested area in Cambodia declined

According to the Global Forest Resources

deforestation of 0.5 % (Kingdom of Cambodia,

Assessment (FAO, 2010), total forested area in

2011a).

Cambodia was 10.09 million ha, accounting for1.1.2 Relevant domestic laws

57% of the country’s total area. Among them,natural forest area was 10.03 million ha andRelevant domestic laws related to respect for

artificially generated forest area was 0.07 million

the rights of indigenous people and members ofha (FAO, 2010). As of 2010, major forest types are

local communities, land ownership and use rights,

deciduous forests at 4.48 million ha, followed byand consideration of biodiversity at the national

evergreen forests at 3.50 million ha, andlevel are listed below.

semi-deciduous

forestsat

1.27

millionha- Indigenous people shall manage their communities andimmovable properties based on their traditionalcustoms. (Article 23)- Indigenous people shall be entitled to rights,
compensation, and protection based on the law. (Article

Land Law

24)(2001)- The borders of these immoveable properties shall be
determined in accordance with actual situations. (Article
25)- The ownership of indigenous people's immovable
properties shall be exercised through their traditional

Respect for the rights
of indigenous people

decision-making mechanism. (Article 26)

and members of local- Forestry concessions must not interfere with customarycommunities

rights of indigenous people and local communities.
Forestry Law(2002)(Article 15)- The state recognizes and ensures the traditional user
rights for the local communities living within or nearpermanent forest estate. (Chapter 2)

Sub-decree on- With regard to management plans and monitoring oftheconcessions, consultations with and participation by

Management ofcommunity members shall be guaranteed. (Article 4)

Forestry- Access to forest resources and religious values within

Concessions

concessions used by community members shall be(2000)

guaranteed. (Article 4)- The ownership of state land and legally obtained private
land shall be respected. (Article 3)

Land ownership andLand Law

use rights(2001)- Land ownership prior to 1979 shall be invalid. (Article 7)- Only the legal person and legal entity of Khmer
nationality can own land. (Article 8)- Natural land (including forests) shall be state owned.
(Article 11)07

REDD+ Safeguard approaches 2014

- Relevant agencies shall support land registration byindigenous communities when forests are divided,
Forestry Law(2002)

registered, and demarcated. (Article 11)- Local communities can use and manage any part ofpermanent forest reserve, upon agreement with the FA,
as community forestry (CF). The agreement is valid forLand ownership and

15 years with the option for extension. (Chapter 2)

use rights
Sub-decree on
Community
Forestry
Management- Community forestry shall be state owned and managed
by the FA. (Article 3)-

Community

forests

shallbecontrolledbyrepresentatives elected from the community. (Article 4)(2003)-

Promotionofnationwide

tree-planting

andrevegetation.
- Enhancement of law enforcement for preventing illegal
logging.
National- Evaluation of concession allocation and management.

Biodiversity- Promotion of community participation in forest

Strategies andAction Plans(2002)

protection and management.
-

Introductionofenvironmentallyfriendly

forestmanagement policies.
- Monitoring of the state and forest resources trends.
- Delineate permanent forest estate for conservation,community use and industrial protection.
- Implementation of forest inventory survey, etc.

Biodiversity

National- Prescribes forestry reform through sustainable forest

Rectangularmanagement, and biodiversity conservation through theStrategy (2004)
National
Strategic

establishment of protected areas and CF.
- Increase the rate of forested area from 57.59% in 2009
to 59.19% by 2013.

Development- Increase the number of approvals of CF from 210 inPlan (2008)2009 to 450 by 2013.
- Define six operational areas (forest demarcation andregistration, conservation of forest biodiversity andresources, law enforcement and governance, community

National Forest

forestry, capacity and research development, andProgramme

sustainable(NFP) (2010)

enhancement of sustainable forest management.

financingincluding

REDD)

for

the

- Set policy targets, for example, to increase the areas ofprotected forest and sustainably managed forests to 3
million ha and 2.4 million ha, respectively.

1.2 Project level1

Cambodia near the border with Thailand (Fig. 1)

1.2.1 Project sites

and contain evergreen forests, semi-deciduous

The project sites (total 64,318 ha) in Oddar

forests, secondary forests and other forest types.

Meanchey Province are located in northwest
1

Most of the project level information were based on the PDD (TGC, 2012), the Monitoring Plan (TGCand Pact, 2012a), and Project Implementation Report (TGC and Pact, 2012b) unless otherwise specified.

08

Initially, the REDD project sites contained 58
registeredvillagesofapproximately

other Cambodian provinces, the situation has

9,900

stabilized in recent years, resulting in the return ofhouseholds, and a population of approximatelya large number of internal migrants. The

45,800 people (of which 22,300 were female).

population of the province tripled in the decade

Among these, approximately 8,000 households

between 1998 and 2008, and the annual rate ofand 24,400 people (of which 12,000 were female)deforestation in the province increased to a very
high level of 2.9% (more than four times thenational average). Because provincial residents
strongly rely on non-timber forest products(NTFPs) for their livelihood, rapid deforestation
due to population growth and an increase in use
has pressured these resources, threatening the
livelihood of local residents.
Forest protection activities started around
2004, and preparation for the establishment of CFs
has expanded under the FA’s initiative with support

Fig. 1 Location of Oddar Meanchey Provinceof NGOs and the Monks’ Community Forest
Associations. In addition to seeking to control theparticipated in the 13 CF where the REDD projectuse of resources by community members, theis carried out. Most of the population is ethnic

groups also aimed to reduce deforestation by

Khmer, though some Kuy people live in the area as

migrants and concessions, and obtain legal rights

well. In fact, one of the CF sites is managed byfor community members to use forest resources.

multiple villages that are populated predominantly

As a result, 13 CF sites were established by 2008,

with Kuy people.

and all have been approved by the FA securing
usage rights of the forests for 15 years.
Targeting these CF sites, and with the aim ofpromoting forest protection and sustainable use offorest resources, the Oddar Meanchey Community
Forestry REDD Project (OMCFRP) was launchedunder the FA in 2008. This is the first REDD-plus
project officially approved by the Cambodian
Government and has a project period of 30 years(from January 1, 2008, to December 31, 2037). In
August 2013, the project achieved dual verification

Evergreen forest in a CF site

1.2.2 Outline of the project
Oddar Meanchey Province used to be aheavily forested area with a relatively low
population density. According to the Forestry Law(2002), most of the forests in the province are state
owned; however, because demarcation started
only recently, many interested parties are claiming
land ownership and use rights. Between 1991 and1995, implementation of large-scale forestry
concessions resulted in the felling of a large
number of high-value commercial trees. Because
the province experienced a longer civil war thanunder the VCS and CCB Standards (with a TripleGold

statusforclimate,community,andbiodiversity).

1.2.3 Implementation system
Because CF targets state forests, the FA is theimplementation

body.

The

approval

andsupervision of the REDD-plus project plan aredone by the FA Central, while on-the-ground
activities such as resource conservation, patrolling,
and monitoring are coordinated by the FA
Cantonment (i.e., provincial FA). With regard toproject

planning

and

implementation,

Pact,

Children’s Development Association (CDA), Terra
Global Capital (TGC), and other groups havesupported the FA (Fig. 2).

09

REDD+ Safeguard approaches 2014

1.2.4 Success factors- Use of the Community Forestry (CF) system
The project aims to introduce community-based
active forest conservation activities under the
initiative of the FA using the CF system, andenhance community members' legal rights to use
forest resources. The community members now
have

the

rightsmanagement

todecision

participate
makinginforestthroughtheestablishment of the CFMC and election of its
committee members.
- Development of various Standard Operating
Procedures (SOPs)
TGC developed new SOPs on biomass estimation,
Fig. 2 Implementation structure (produced by
FFPRI based on Yeang and Brewster (2013) andinterviews with FA, CDA, the Monk’s Association
and CFMC members)
Community members participate in the
projectbyestablishing

CF

Management

Committees (CMFCs) following the steps definedin the community forestry guidelines under the
Sub-decree on Community Forestry Management(2003). The Community Forestry International (CFI)and Pact have particularly supported projectplanning, while TGC has supported technicalaspects of carbon accounting and sales. CDA has
mainly focused on supporting field activities with
community

members.The

local

residents

participate in the project as CF members. The
CFMC elected from the CF members makedecisions related to each CF site. Each CFMC
usually consists of seven members: chair, deputy
chair,

secretary,

tree-planting

treasurer,

officer,andextension

officer,patrolling

officer.

Additionally, the Community Forestry Federation(CFF), which consists of the representatives of
CFMCs, is established to facilitate collaborationand information exchange among the CF sites.
In Sorng Rokavorn CF, the largest in thesocial assessment, assisted natural regeneration,andbiodiversity

assessment

that

are

also

applicable to other REDD projects. These SOPs,
registered in the VCS, are expected to facilitate
effective implementation of environmental andsocial safeguards.
- CCBS Triple Gold status
The three Gold optional criteria of the CCB
Standards - climate, community, and biodiversity have been met by securing community benefits,biodiversity conservation, and climate change
mitigation measures through improvement ofcommunity members’ forest management abilities
through project activities.
- Incorporation of Buddhist teaching into project
activities
To foster understanding among the community
membersandstakeholders,theMonks'

Association and the CDA, in collaboration with theFA, engaged in public awareness activities (e.g.,preaching and posters) that incorporate Buddhist
teaching. The monks also introduced a “soft”
approach to control illegal activities (based onconviction and warning instead of punishment),
which helped reduce the hostility between the CF
members and intruders (Bradley, 2009).

project, Buddhist monks based in Samraong
voluntarily carry out forest management activities
and biodiversity monitoring including routine
patrols and provide guidance to the community
members on sustainable resource use. The Monks’Community Forest Association, to which thesemonks belong, collaborates with the FA to raiseawareness on the project by incorporating
Buddhist teaching into conservation activities.

10

Community Forestry Federation (CFF) meeting2. D ETAILS OF THE PROJECT ACTIVITIES
2.1 Consistency with the National
Forest Programme (NFP) andother initiatives/Establishment
and enhancement ofgovernance- Relevant laws are shown in Table 1. The projectplaces an emphasis on consistency with the
Law

and

the

CFMC, FA, military, police, and other parties havebeen agreed to be held.
- Communication between the communities andthe FA and supporting NGOs is done primarily via
the CFMC through regular village-level meetings.
- In the village-level meetings, brochures, posters,

Plan, progress, and results

Forestry- Regular meetings on patrols carried out by the

sub-decreeonCFmanagement.
- All 13 CF sites have been approved by thegovernment, and the CFMCs, consisting ofmembers elected from these CF members,
implement forest management activities under theguidance of the FA.
- The promotion of community forestry anddevelopment of new forest finance mechanisms
including REDD+ are part of the main strategicareas under the National Forest Programme(Kingdom of Cambodia, 2010).
- CF member representatives, NGOs, and the FA(provincial level) hold monthly meetings to share
information and discuss problems.
- At the quarterly meetings of provincial working
groups and the Oddar Meanchey CFF, progressand results of the project are reported to local

and videos in Khmer language have been
distributed, displayed, and screened. Land use
schematic drawings for individual villages are also
displayed in each village.
- As a response to the area’s low literacy rate,
village meetings are held as often as possible
where means other than documents (such asvideos and pictures) are used as much as possible
to reach minority groups.
Challenges, improvements and future plans- The Cambodian military has built a military campinside some parts of the community forestry inorder to defend Cambodian territory after borderconflict with Thailand. In addition, permanent
settlements of internal migrants continue tothreaten the usage rights of the CF members.
- Because patrol meetings have been held
irregularly, the start of joint patrols has been
delayed.

government officers.
Table 1 Laws/Programs related to the project
Name

Description

Environmental Protection of

Prescribes conservation and sustainable use of environmental

Nature Resource

resources, including biodiversity. Also prescribes the basis forManagement Law (1996)

implementing an environmental impact assessment.
Prescribes land rights. States that forests are basically state owned.

Land Law (2001)

Also recognizes land management by indigenous people basedon customary law.
Prescribes forest classifications (e.g., protection forest, productionż

Forestry Law (2002)

forest) and their definitions as well as establishment of the CF
system, among others.

żSub-decree on Community

Prescribes the procedure for establishing community forests, rights

Forestry Management

to manage and use these forests, roles of the community(2003)
National Forest Programme(NFP) (2010)

members and forest agencies, election of the CFMC members, etc .
Attains policy goals set in the National Rectangular Strategy andNational Strategic Development Plan in the forestry field. Sets CF
promotion as an environmental policy field.

Note: व - Law/Program specifically considered before implementing the project11

REDD+ Safeguard approaches 2014

2.2 Respect for the rights ofindigenous people andmembers of local communities

protection of rights to use forest resources based

2.2.1 Identification of the rights to
own and use land and resources

use CF resources for self-consumption.

on local customs and traditional knowledge, andimprovement of livelihood and conservation.
- Non-CF members who live in other areas can

2.2.3 Prior agreement of indigenous
people and community members

Plan, progress, and results- During the process of establishing community
forests,

theirmechanism

andbenefitsofenhancing usage rights, etc. were explained tocommunity members who lived around thecandidate forests, and options to participate in CF
were given to them. During the process of setting
community forest borders, there were cases inwhich individuals waived land ownership based on
discussions that such land would be managed aspart of community forests.

Plan, progress, and results- Using a process that incorporates the concept offree,

prior,

andinformed

consent(FPIC),

workshops and meetings on the REDD-plus
project were held in Khmer language. At ameeting

heldon

October

14,

2011,

the

community members' consent was confirmed.

2.2.4 Benefit sharing- Under the CF system, the community members

Plan, progress, and results

have secured legal rights to use community forests- According to the official endorsement throughand actively participate in conservation andgovernment decision nr. 699 (“Sar Chor Nor

management activities by electing representatives

No.699”), guiding principles ensure that the net

to serve on a Community Forestry Management

carbon income will be use to i) improve forest

Committee (CFMC).

quality,- The Kuy, an indigenous group, have participatedparticipating local communities and, iii) assessin the management and use of community forests

potential sites for additional REDD+ project.

using the same means as the Khmer people.

- The CCB project development design (PDD)ii)

maximizethebenefitflows

tospecifies that at least 50% of the net profit will be
Challenges, improvements and future plans

allocated to the local communities.

- Migrants continue to increase near some CF sites,- These funds provided to community members

and as a result, new communities have been

are planned to be managed as a CFMC fund.

established that violate existing rights to use- Improvement of forest quality will be achieved

community forests.

mainly through assisted natural regeneration- Migrants who live outside community forests

activities.

have been encouraged to join a CF group to
reduceillegaluseofcommunity

forests,- As the CFMC lacks experience in fundparticipate in conservation activities.

management,- With regard to migrants who live inside

necessary.

community forests, community members arerequesting administrative bodies to confirm their
existing rights to use and conserve community
forests. (For additional information, refer to 2.3.3
Dispute settlement)

12

Challenges, improvements and future plans

encourage sustainable use of forest resources, andfurther

capacitybuilding

is2.2.5 Avoidance of negative impacts
on indigenous people andcommunity members
Plan, progress, and results

2.2.2 Use of local customs andknowledge- Initially identified negative impacts of the projectPlan, progress, and results

increase of infectious livestock and other diseases- The CF system has simultaneously focused on

as a result of increase in mosquitoes as a result of

are: illegal logging, hunting, restriction of forest
resource use such as charcoal production, and andecrease in fuel wood use.

women) has limited some of the monitoring- With regard to the potential restriction of forest

activities;

resource use, activities such as education on how

programs is being considered.

to sustainably harvest NTFPs, market access- It is difficult for people who suffer from mental or

support for increasing cash income, creation ofphysical disablements (many of which are theemployment through patrols, and improvement of

result of civil war and landmine accidents) andagricultural techniques, have been or will besingle-parent families to participate in project

implemented.

activities and often feel isolated within their- There is also a plan to distribute livestock

communities; therefore, it is considered thatmosquito nets to prevent infectious livestock

special assistance is necessary for them.

diseases.

- Ideas, such as, community calendars, billboards,- To support socially disadvantaged people, safety

and radio programs, have been discussed andmanagement training sessions for hazardous jobs

partiallysuch as demining, forest fire control, and forest

participation of seasonal workers and children out

management have been provided, and regularof the school system.

monitoring of households with disabled members
is planned.
Challenges, improvements and future plans- Based on the results of participatory rural
appraisals and other information, efforts havebeen made to expand community-led forest
management activities as well as activities forsocially disadvantaged people.
- While many activities have been planned, a lackof funds has so far delayed their implementation,and the activities that have been implemented arelimited in scale.

as

such,

expansion

implemented

toofeducationencouragethe

2.3 Participation of stakeholders
2.3.1 Development of understanding
among stakeholders
Plan, progress, and results- Between January and March 2008 (prior to theproject’s commencement), briefing sessions forcommunity

members

were

held

alongsidehousehold surveys.
- The FA has held meetings with representatives
from the army, police, and administrative districtsin the province as necessary, explaining the

2.2.6 Implementation of monitoringmechanismPlan, progress, and results- To aid with the holding of community meetings- Three studies-household survey (biannual),participatory village assessment (biannual), andregular social assessment (as necessary)-havebeen undertaken or planned.
-

Householdsurveysaim

toidentifysocioeconomic and forest resource use situations
at the household level and are also used to
calculate emission factors. An initial report was
submitted in 2010.
- Participatory village assessments aim to study
needs and situations at the village level and toreflect community members' opinions on project
activities. Participation of socially disadvantaged
groups (e.g., women, low-income people, andhouseholds with disabled members) is a priority.
The first report was submitted in 2012.
Challenges, improvements and future plans- The region’s low literacy rate (particularly among

of

the

project

andrequesting

cooperation.
and distribution of documents to participants, the
CDA and the Monks' Association have received
support from the FA and donors since April 2008.
Activities led by the Monks’ Association focus on
publicawareness

activities

that

incorporate

Buddhist teaching.
- Since 2009, brochures written in Khmer language
describing the details and impacts of the project,countermeasures, written government agreements,and so on, have been distributed at community
meetings. In addition, videos in Khmer have been
screened.
Challenges, improvements and future plans- Currently, promoting an understanding ofsafeguards is considered more important among
NGO staffs than promoting an understanding of
thebackgroundandmechanisms

of

the

REDD-plus project.

13

REDD+ Safeguard approaches 2014

2.3.2 Consensus building andtransmission- Reports, claims, and requests to preserve CF use

Plan, progress, and results

agencies)- Community consensus on CF management such

representative).

as border identification, resource management,- The threat to CF rights related to militaryand patrolling is built by the CFMC.

activities has been discussed several times with the- Consensus on the REDD-plus project was formed

military, FA, and CFMC.

over several joint CFMC meetings supported by FA- Community members may also directly report toin collaboration with Pact, the CDA, the Monks’

local authorities (e.g., Commune Council) for any

Association, and other parties. Discussions anddispute.

rights from the CFMC to government (e.g., FA,
military, police, and relevant local government
are

made

via

the

CFF

(the

blackboard demonstrations were primarily done in
Khmer.

Challenges, improvements and future plans- As for consensus building at the national level, a- Solutions to problems related to resource use bybriefing session was held for the Technical Working

migrants who live outside the CF sites have beenGroup on Forestry and Environment (TWG-F&E),

sought; however, agreements have not been

which consists of government policy makers andreached.

donors. Following this session, approval was- Regarding the permanent settlement of migrants

obtained from the TWG-F&E and the Cambodianwithin the CF sites, the CFMC and the CFF madePrime Minister (official document “Sar Chor Nor

claimsNo.699”).

requesting the preservation of their rights, and

the

FA

and

local

governments,

thehave been waiting for a governmental resolution.

community was discussed at the same time that

Due to continued illegal settlement, some CFMC

participatory village surveys were conducted,

may have to discuss about redefining the CF

which was then reflected on project activities.

borders in the future.

- A radio program on the benefits and need of- Discussions on military activities are ongoing, butforest conservation sponsored by the Monks'

procedures for solving disputes are yet to be

Association has been aired.

cleared.

-Forestresource

management

within- The outline of the project as well as project
documents, videos of project activities, and casereports are made public on the web. (Documents
are mainly written in English and videos are either
in English or in Khmer with English subtitles.)- The solicitation period for public comments on
concessions within the project sites has been set to
60 days or longer in a sub-decree.
Challenges, improvements and future plans- CFMCs have identified insufficient funding forholding regular meetings.
- CDA and the Monks’ Association are seeking
funds to extend their outreach activities using
radio and TV programs.

2.3.3 Dispute settlement
Plan, progress, and results- Dispute resolutions are sought by the CFMC for
individual CF groups. If finding a solution has
proved difficult, the matter is shared with the CFF
and then deliberated.

14

to2.3.4 Promotion of stakeholder
participation
Plan, progress, and results-Uponestablishment

of

the

CF

groups,considerations were made to allow residents of allvillages near the forests to participate in thegroups.
- Support for low-income groups to participate in
the CF groups has been provided, with an aim ofattaining a 50% participation rate for those in thisparticular group.
- Monitoring activities are planned for sociallydisadvantaged people.
- New migrants have also been encouraged tojoin the existing CF groups.
- Gender training has been provided to project
supporters (e.g., Pact, CDA) to ensure that genderisconsidered

implementation.

at

all

stagesofprojectChallenges, improvements and future plansin recent years.

- Incorporating new migrants incorporated into

- Due to the absence of local plant experts,

the CF system is an ongoing challenge.

information on the risks of invasive alien plants is- A low literacy rate and the burden of household

limited.

duties have kept the female participation rate andproportion

of

women

positions

low.

The

occupyingimportanceleadershipoffemaleparticipation in CF management has become
increasingly understood among men in leadership
positions (Bradley et al., 2013).

2.4.3 Biodiversity conservation
measures and avoidance ofnegative impacts
Plan, progress, and results- Conservation of the habitats of rare species has

2.4 Consideration of biodiversity

been advanced by strengthening land ownership,

2.4.1 Identification of biodiversity andecosystem services to be preserved

resource use, cracking down on illegal logging,- At the planning stage, internationally threatened
mammals, birds, endemic trees, and their habitats
identified

asimportant

in

terms

of

environmental conservation.
-

Landscape-level

identified,such

ecosystem
asplanting native trees, and promoting forest
conservation through the sustainable use ofPlan, progress, and results

were

supporting sustainable land use and forest

services

downstream

werewatershedprotection at Tonle Sap Lake, soil erosion control,
and fire control.
- In addition to wood, medical plants and resin,
NTFPs (e.g., fuel wood), and spiritual forests wereidentified as important for community members.
Challenges, improvements and future plans- There is a restriction in the size and location of
biodiversity monitoring due to the existence of
landmines and other accessibility problems.

NTFPs.
- The planting of additional useful tree species andintroducing a sustainable usage plan are strategies
aimed at mitigating the impacts of excessive use ofcertain useful tree species.
- Illegal logging and wildlife poaching arecontrolled by patrols.
- There is a concern that deforestation and fires
may increase invasive alien species; therefore, theintroduction of invasive alien species will be
prevented by controlling logging and fires andremoving alien species that are found whileplanting trees.
Challenges, improvements and future plans- Ongoing implementation of patrols led bycommunity members has faced difficulties due to

2.4.2 Identification of risks tobiodiversity

insufficient numbers of volunteers (paid andPlan, progress, and results

however, many CF groups do not have enough- Identified risks include a decrease of habitats

funding and equipment and have not been able tosuch as forests and wetlands due to land resale,

undertake effective activities.

conversion of agricultural land to residential- A small number of the CF sites assisted by thedevelopments, hunting and associated arson,

Monks’ Association have been able to undertake

illegal logging, unsustainable resource use, andvery active forest conservation activities andlarge-scale concession development.

practice sustainable resource use.

unpaid) as well as conflicts with migrants.
Cooperation of military and police is essential;- Human-induced fires are still problems for many
Challenges, improvements and future plansof the CF sites.

- New, large-scale concession developments have

- Many of the countermeasures are behinddecreased in recent years; however, deforestation

schedule due to lack of funds.

and fires associated with military activities as well
as deforestation and excessive use of resources
caused by an increase of migrants have increased

15

REDD+ Safeguard approaches 2014

2.4.4 Biodiversity monitoring

leading the partner NGOs to seek new sources offunding other than carbon.

Plan, progress, and results- In 2010, Birdlife International conducted abiodiversity survey in major community forests,
with a plan for project participants to monitor
these factors once every five years (Elliott et al.,2011).
- Also in 2010, Birdlife International and Pact
conducted a training session on this biodiversity
survey for the community members and FA staff(Elliott et al., 2011).
- In the community forests assisted by the Monks’

2.6 Addressing displacement
Plan, progress, and results- A buffer zone has been established around the
project's- A short message service (SMS)-based patrolsuggested

during- With active support from the Buddhist monks,
undertaken

in

the

community forests with the largest areas and best

for

the
of

intensification

agriculture

to

and

reduceSupport for the development of water
example, community members submit a
proposal to obtain a small loan for water
resource developmentSupport for securing market access forpromoting technical guidance on thesustainable use of NTFPs and increasing
cash income- Negative impacts on communities outside theconservation state.

project area are expected to be insignificant,2.5 Addressing the risk of reversals- Negative impacts on biodiversity outside the- Launch of the CFMC fund has been consideredtosustainproject

activities

except for illegal loggers and poachers.
project sites are estimated to be insignificant;Plan, progress, and results
andsupportrather, positive impacts on forest conservation andpublic awareness are expected.

sustainable use of forest resources. Because of a

Challenges, improvements and future planslack of experience in fund management, capacity- The fund shortages have led partner NGOs tobuilding is being planned.

seek fund sources other than carbon.

Challenges, improvements and future plans- Due to recent low funding, the plan and support
for project execution and capacity building aredelayed.
- Uncertainty over the prospect for project funds isdue to the slowdown of the carbon market,

16

Supportconversion of forests to farmlandaones originally planned.
been

Introduction of mosquito nets for livestock

resources such as water tanks and wells; formonitoring indicators have been reduced from thehasIntroduction of heat-efficient stoves tostreamlining

third-party review, and in the final monitoring plan,

monitoring

five

from reduced use of fuel wood

- The necessity to develop a manageable
wasfollowing

to control infectious diseases that result



plan

the

reduce deforestation pressure

Challenges, improvements and future plansmonitoring

andplanned or implemented:

reporting system has been in operation since
2011.

sites

countermeasures against leakage have been

Association, intensive monitoring that uses camera
traps and regular reports has been undertaken.

CF- There is a concern that conflicts between the CF
membersandillegalloggers/poachers

mayincrease in the future as a result of increased
patrols.

projects: A case study from Oddar Meanchey

References

Province, Cambodia. Community Forestry

Bradley, A. (2009) Communities and Carbon:

International.

Establishing a Community Forestry-REDDSCS Global Services (2013) Final CCBA Project

Project in Cambodia. Pact, Phnom Penh,

Verification Report: Reduced Emissions from

Cambodia.

Degradation and Deforestation in Community

Bradley, A., Setyowati, A.B., Gurung, J., Yeang, D.,

Forests-Oddar Meanchey, Cambodia.

Net, C., Khiev, S., Brewster, J. (2013) Gender

TGC (2011) Reduce Emission from Deforestation

and REDD+: An Assessment in the Oddar

and Degradation in Community Forests

Meanchey Community Forestry REDD+ Site,

Oddar Meanchey, Cambodia: Verified Carbon

Cambodia. Pact, Phnom Penh, Cambodia.

Standard (VCS) Project Design Document

Brewster,J.,

Bradley,A.,

Yeang,

D.

(2012)(PDD).

Reporting

TGC (2012) Reduced Emission from Deforestation

and Verification (MRV): An assessment in theand Degradation in Community Forests

Oddar

Forestry

Oddar Meanchey-Project Design Document

REDD+ Site, Cambodia. Pact, Phnom Penh,for validation under Climate, Community &Community-based

Monitoring,

Meanchey

Community

Biodiversity Standard (CCB).

Cambodia.
Elliott, V., Lambert, F., Phalla, T., Sothea, H. (2011)
Biodiversity
Community

Assessment
ForestofProject

thein

TGC, Pact (2012a) CCB Monitoring Plan: Oddar

REDD

Meanchey

Oddar

Project (version 4-0, December 28, 2012).

Meanchey Cambodia. Bird life International.
FAO (2010) Global Forest Resources Assessment

Community

Forestry

REDD+

TGC, Pact (2012b) Reduced Emissions from
Degradation and Deforestation in Community
Forests-Oddar Meanchey, Cambodia: Project

2010. FAO, Rome, Italy.
Kingdom of Cambodia (2010) National Forest
Programme 2010-2029 (unofficial translation).

Implementation Report, CCBS Version 3-0(version 2-0, December 28, 2012).
TUV SUD Industrie Service (2012) Validation of thePhnom Penh, Cambodia.
Kingdom of Cambodia (2011a) Cambodia Forest

CCBA-Project:

ReducedEmissionsfrom

Cover 2010. ITTO-PD493/07 Rev.1 (F). Phnom

Degradation and Deforestation in Community

Penh, Cambodia.

Forests-Oddar

KingdomofCambodia(2011b)Readiness

Preparation Proposal (R-PP) for Country:

Meanchey,

Cambodia(REPORT NO. 600500753-10).
Yeang,

D.,

Brewster,J.

(2013)

REDD+

Cambodia. Date of submission or revision: 4

Demonstration Activities in Cambodia: The

March 2011. Phnom Penh, Cambodia.

Case of the Oddar Meanchey Community

Poffenberger, M., De Gryze, S., Durschinger, L.

Forestry REDD+ Project. Pact, Phnom Penh,(2009)

Designing

Collaborative

REDD

Cambodia.

17

Dien Bien REDD+ Pilot Project

Socialist Republic of Vietnam

19

REDD+ Safeguard approaches 2014

S UMMARY
Dien Bien REDD+* Pilot Project

Project name

* Reducing Emissions from Deforestation and Degradation in Developing Countries

Project area

Dien Bien Province, Socialist Republic of Vietnam
Approx. 956,000 ha

Area(whole province)

Population

Approx. 480,000(population of the whole province)

Government-led
Executing body

Japan International Cooperation Agency (JICA);Department of Agriculture andRural Development (DARD)

Activity type

Reduction of deforestation and forest degradation

Funding type

Aid fundPeriodMarch 2012 - March 2014
Consistency with the National Forest Program (NFP) and otherinitiatives/Establishment and enhancement of governance
Respect for the rights of indigenous people and members of local

Relationshipwithconsideration items

Ń

communitiesŃParticipation of stakeholders

ŃConsideration of biodiversityŃAddressing of the risk of reversals

ŃAddressing displacement

ŃSummary
The goal of this project is to develop an implementation plan for the REDD+ project at theprovincial (quasi-state) level. In addition, to the aim is to implement provincial-level actions and reflect
these results on national-level planning and guidelines, as well as disseminate them to other provinces
for further implementation. The Dien Bien (Provincial) REDD+ Action Plan (PRAP), which is aprovincial-level REDD+ implementation plan, and the Commune REDD+ Action Plan (C-RAP), which
implements the REDD+ project at the commune level, have been developed. Both plans incorporate alivelihood improvement action plan as well as a forest management action plan.
In addition, workshops and seminars on forest monitoring, safeguard measures, and other topics
central to the components of PRAP, have been held to improve the skills and awareness of local
administrative officers and community members. Additionally, studies have been carried out on thedrivers of deforestation and forest degradation in the province, and baseline studies on social economy
have been implemented by selecting pilot communes within the province.

20

1. BASIC INFORMATION
1.1 National level

million ha, respectively.

1.1.1 Current state of forests

decreased between the 1940s and 1990s but thenForestedarea

inVietnamsignificantly

Resources

experienced a rapid recovery, increasing by 47%

Assessment (FAO, 2010), the total forested area of

between 1990 and 2010 (FRA 2010). This wasVietnam was 13.8 million ha, accounting for 44%

mainly due to the expansion of artificial forests, asof the country’s total area. Of this forested area,

the area of primary forests decreased by

10.29 million ha were natural forests and 3.51

approximately 80% during the same period.

AccordingtoGlobalForestmillion ha were artificial forests.
In accordance with utilization purposes, the forests

1.1.2 Relevant domestic laws

are classified into protected forest, special-use

Relevant domestic laws related to respect forforest, and production forest. According to thethe rights of indigenous people and members of

Ministry of Agriculture and Rural Development

local communities, land ownership and use rights,(MARD), the areas of said forests at the end ofand consideration of biodiversity at the national

2008 were 4.7 million ha, 2.1 million ha, and 6.2

level are listed below.

Respect for therights ofindigenous people- All ethnic groups shall be equal and shall have rights to

The Constitution

protect their manners, customs, traditions, and cultures(1992)and members ofwhile maintaining their ethnic characteristics. (Article 5)

local communities- Land is owned by the people of the country and thecountry represents the ownership. The country gives land

Land Law (2003)

use rights to individuals, households, and organizations

Land ownershipand use rights

for a fixed term. (Article 5)
Forest Protection- General households and individuals can have forest use

and Development

rights. (Article 5)

Law (2004)

1.2 Project level

natural forest and 11,000 ha (3%) is artificial forest.

1.2.1 Project area

forest, 177,926 ha is conservation forest, 31,212 ha

By management type, 102,065 ha is production

Dien Bien Province, the project area, issituated in northwestern Vietnam, adjoining Laosis special-use forest, and 38,987 ha is non-forest
land (JICA, 2012).

to the west and China to the northwest. The

In addition to the Kinh people, ethnic

population of the province is approximately

minorities such as Thai and Muong also live in the

480,000, 83% of which live in rural areas (JICA,

province.

2012).
The
224,000

per-capita

incomeincreased

VND/month

in

to

2004

from

611,000

VND/month in 2010, but the province still has thesecond lowest income level in the country, with ahousehold poverty rate (i.e., the rate of people
with a monthly income of less than 10 USD) of
50%, which is the highest in the country(JICA,2012).
Dien Bien’s forested area is approximately
350,000 ha (37% of the total area of the province),of which, by forest type, 340,000 ha (97%) isFig. 1 Geographic location of the project area

21

REDD+ Safeguard approaches 2014

1.2.2 Outline of the project

Development of the REDD+ Action Plan was

Vietnam is a leader in climate change

established within the Department of Agriculture

initiatives and was one of the nine countries

and Rural Development (DARD) for the project,initially included in the UN-REDD program as welland the PRAP and the C-RAP were also

as the first country approved by the Readiness

formulated and began to hold regular meetings.

Plan Idea Note (R-PIN) under the World Bank's

This

Forest Carbon Partnership Facility (FCPF). Vietnam

administrative officers` knowledge about REDD+

has been supported by the UN-REDD Nationaland has also improved their planning andProgram and the World Bank in the preparation

facilitation abilities to implement REDD+.

processhasincreasedtherelevant

stage of REDD+ and has implemented manyactions since 2009.
In Dien Bien Province, JICA implemented the“Study on Potential Forests and Land Related to
Climate Change and Forests” between September
2009 and March 2012, during which a basic study
on the implementation of REDD+ in the province
was conducted. Then this cooperation with JICA
was agreed to by MARD, the Ministry of Planningand Investment (MPI), and the Provincial People’s
Committee (PPC) of Dien Bien Province inA village meeting at a pilot commune

February 2012. The Working Group for the
PRAP: (Action Plan on "reducing emissions from deforestation and forest degradation, sustainable
forest management, conservation and enhancement of forest carbon stock" in Dien Bien Province inperiod 2013 - 2020. It also aims to effectively promote REDD+ programs at the provincial level while
maintaining consistency with REDD+ programs at the national level.
C-RAP: Commune REDD+ Action Plan for the period 2013 - 2020 that incorporates concrete REDD+
forest management actions and livelihood improvement actions to implement REDD+ programs at thecommune level (i.e., “close to the ground”).

1.2.3 Implementation system
The chief implementer of the project is the
DARD (a provincial-level organization of theMARD), with support provided by the JICA. The
Vietnam REDD+ Office (VRO) participates as apartner.

Socioeconomic survey at a pilot commune

22

2. D ETAILS OF THE PROJECT ACTIVITIES
2.1 Consistency with the National
Forest Program (NFP) and otherinitiatives/Establishment andenhancement of governancePhang commune and Muong Muon commune

Plan, progress, and results- Relevant laws are shown in Table 1.

- Newsletters have been prepared and distributedwith domestic laws has been ensured.
- Vietnam developed the National Action Programon “Reducing Emissions from Deforestation and
Degradation,

Sustainable

chairmen have also expressed the will of theacceptance of the C-RAP respectively as of April of2014.
in both Vietnamese and English. Additionally,- The VRO is involved as a partner and consistency

Foresthas been built within both CPCs, and both CPC

ForestManagement, Conservation and Enhancement ofForest Carbon” (NRAP) for the period 2011 - 2020
in 2012. The PRAP of Dien Bien Province wasdeveloped within this program and is consistent
with its guidelines (JICA, 2014a, 2014b).
- The PRAP of Dien Bien province was approved in
May 2014 by the PPC (Decision 379/QD-UBND)
for the first time in Vietnam (REDD VIETNAM,

workshops have been held to enable the progressof the project and for the results to be known tothe public (JICA, 2014a).
- In an effort to formulate the REDD+ Action Plan,public consultations with interested parties havebeen held.
Challenges, improvements, and future plans- The C-RAP is likely to be updated to a more
effective action plan by the end of 2015 based onpilot activities implemented in the Muong Phang
commune and the Muong Muon commune (JICA,
2014 c, 2014d).

2014).
- The consensus regarding the C-RAP of Muong
Table 1 Laws/Programs related to the projectNameżDescription

No. 29/2004/QH11

Stipulates the definitions, categories, and functional

Law on Forest Protection andtypes of forests. Specifies forest ownership, forest use

Development

rights, and the responsibilities of forest owners.
Stipulates the biodiversity conservation plan, theNo.20/2008/QH12

national master plan, conservation and sustainable

Biodiversity Law

development of natural ecosystems, species and genetic
resources, international cooperation, etc.
Stipulates

strategic

environmental

assessment,

environmental impact assessment, conservation and use
No.52/2005/QH11

of natural reserves, environmental conservation in

Law on Environmental Protection

economic activities, environmental conservation in
urban and residential areas, water resource protection,etc.

No.13/2003/QH11
Law on Land

Stipulates the use of different land categories, rights andresponsibilities of land users, relevant administrative
procedures, etc.
This comprehensive forest protection and development

ż

Decision 57/2012/QD-TTg

plan, by effectively managing existing forests, aims toForest Protection and Development

increase forest cover to 42% - 43% by 2015 and to 44%

Plan in Period 2011 – 2020

- 45% by 2020 and improve the life of Vietnamese
people.

23

REDD+ Safeguard approaches 2014

Name

ż

Description

Decree 99/2010/ND-CP

This program provides incentives for forest owners to

Policy on Payment for Forest

protect and manage their forests in ways that provide

Environmental Services (PFES)

ecological services.

Decision 799/QD-TTg
National Action Program on “Reducing
Emissions from Deforestation andżForest Degradation, Sustainable Forest
Management, Conservation andThis program aims to promote REDD+ at the national
level and specifies national policies for the mechanism.

Enhancement of Forest Carbon”(NRAP) in period 2011 – 2020
Decision 161/QD-UBND Village andż

Commune Development PlanningThis is a commune-level development plan with a focus

Project on planning of New Ruralon livelihood improvement for various sectors such as

Development in the period of 2011 –forestry and agriculture.

2020
This policy aims to compartmentalize land by definingżPlan 388/KH-UBND

parameters for and encouraging forest owners topromote forest allocation.
This program aims to provide financial and technicalsupporttocommunity

membersforlivelihood

improvement. The target areas are wide ranging and
Resolution No.30a/2008/NQ-CP

including agriculture, livestock, aquaculture, and forest

Program for poverty reduction in 61

management. An initiative has been undertaken wherepoor districts (30A)

conversion of forests to agricultural land is reduced by
improving the food allocation scheme, thereby indirectly
supporting forest protection and development. So far,this program has been introduced to 61 districts.

Note: व - Law/Program specifically considered before implementing the project

2.2 Respect for the rights ofindigenous people andmembers of local communities
2.2.1 Identification of the rights to
own and use land and resources

Plan, progress, and results- Village borders have been clarified and definedfor two pilot communes, and a manual for setting
village borders within a commune has beendeveloped.

Procedure used to set village borders for both pilot communes (JICA, 2014a):1) Participants were presented with a base map and asked about their understanding of what was
being shown (by explaining landmarks, etc.).
2) Under the guidance of the facilitator, the chiefs of two adjoining villages and community members
held discussions, during which they drew tentative village borders on the map.
3) Community members, relevant officers of the CPC (including the chairperson or vice chairperson),and forest rangers, among others, confirmed and agreed on the borders drawn on the map andthese borders were confirmed in the field.
4) In accordance with these confirmations, village borders were adjusted.
5) The two additional adjoining villages repeated steps 1) through 4).

24

2.2.2 Use of local customs andknowledge

Challenges, improvements and future plans- In implementing the BDS, it is important to keepPlan, progress, and results- Before creating the PRAP and the C-RAP, asimple sharing system is necessary. However, inpreliminary socioeconomic survey was conductednational, provincial, district, and commune levels,

for pilot communes to collect baseline information

making it difficult to simplify the process.

transaction costs as low as possible; to do that, aVietnam, the .administrative structure consists ofon each individual commune (e.g., socioeconomic
information on ethnic minorities). This informationis reflected on the C-RAP (JICA, 2014c, 2014d).

2.2.3 Prior agreement of indigenous
people and community members
Plan, progress, and results- Before the PRAP and the C-RAP were created,

2.3 Participation of stakeholders
2.3.1 Development of understandingof among stakeholders
Plan, progress, and results- In formulating the PRAP, a working group wasformed under the Project Management Unitpublic hearings and village meetings were held toestablished within the DARD (a target group). This

explain the project to and hear opinions ofworking group consists of eight people - thecommunity

deputy director of the DARD, the deputy director

members(JICA,

2014a).

Publichearings were held for officers at the district andandcommune levels, as well as the village chiefs. In

Sub-Department of Forestry, the vice director of

addition, in the initial stages of the village

the Sub-Department of Forest Protection, themeetings, guidance on the project, discussions

director of forest protection and development,

about the advantages and disadvantages ofand the deputy director of forest protection andparticipating, and options for narrowing down

management-who

project activities were provided for community

implementation plans for project activities, as wellmembers.

as to confirm progress and find solutions toChallenges, improvements and future plans- In an effort to ensure that safeguards are
implemented, it is necessary to follow the
principles of FPIC (free, prior, and informed
consent). During this FPIC process, community
members are informed on the details of REDD+,
its potential advantages, disadvantages, risks, etc.

2.2.4 Benefit sharing(BDS) that includes incentives options such as
villages being eligible to receive funds forlivelihood improvement activities, and credits
obtained by implementing REDD+ being used forlivelihood improvement activities in other villages.
Furthermore, the mechanism assumes where thefunds obtained from livelihood improvement
areinvested

technical

officers

meet

to

from

the

developproblems (JICA, 2014a).
- The C-RAP was formulated by consulting theopinions of the administrative officers at the
district and commune levels, such as those fromthe District People’s Committee (DPC), theProtection Forest Management Board, the Special
Use Forest Management Board, and the CPC,
among others (JICA, 2014).

2.4 Consideration of biodiversity

Plan, progress, and results- PRAP proposes a benefit distribution system

activities

three

in

other

livelihood

improvement activities (JICA, 2014c, 2014d).

2.4.1 Identification and monitoring of
information on organisms andecosystems in the target area
Plan, progress, and results- Forest inventories have been created at thenational level.
- The PRAP and the C-RAP include the monitoringof forest change, which leads to the support forthe monitoring of information on organisms andecosystems.

25

REDD+ Safeguard approaches 2014

2.5 Addressing the risk of reversals

2.6 Addressing displacement

Plan, progress, and results- Livelihood improvement activities to promote

Plan, progress, and results- It is suggested that leakage risks can be reduced

forest conservation are important components ofby monitoring forest change (JICA, 2014b).

the REDD+ Action Plan and it is suggested thatthe risk of reversal can be reduced by these
activities (JICA,2014b).

References

Japan International Cooperation Agency (2014c)
the socialist republic of Vietnam Dien Bien

Food and Agriculture Organization (2010) Global

REDD+ Pilot Project Final Report - Appendix

Forest Resources Assessment 2010. FAO, Rome,“Commune REDD+ action plan in the period

Italy.

2013-2020 in Muong Muon commune ”. JICA,
Tokyo, Japan.

Japan International Cooperation Agency (2012)
Draft Inception Report, Dien Bien REDD+ Pilot

Japan International Cooperation Agency (2014d)

Project in the Socialist Republic of Vietnam.

the socialist republic of Vietnam Dien Bien

JICA, Tokyo, Japan.

REDD+ Pilot Project Final Report - Appendix

Japan International Cooperation Agency (2014a)“Commune REDD+ action plan in the period

the socialist republic of Vietnam Dien Bien

2013-2020 in Muong Phang commune ”. JICA,
Tokyo, Japan.

REDD+ Pilot Project Final Report. JICA, Tokyo,
Japan.

REDD Vietnam (2014) Projects, REDD+ Pilot
Implementation in Dien Bien (Planning Phase)

Japan International Cooperation Agency (2014b)
the socialist republic of Vietnam Dien Bien–

REDD+ Pilot Project Final Report - Appendix

http://www.vietnam-redd.org/Web/Default.asp(Draft) “Action plan on “reducing emissions

x?tab=projectdetail&zoneid=110&itemid=648

from deforestation and forest degradation,&lang=en-US (accessed 2014-11-17).

sustainable forest management, conservationand enhancement of forests carbon stock” inDien Bien province in period 2013-2020”. JICA,
Tokyo, Japan.

26

.

Dien

Bien

REDD+

Pilot

Project.

Forest Carbon Project in Quirino Province, Sierra Madre
Biodiversity Corridor, Luzon, Philippines

Republic of the Philippines

27

REDD+ Safeguard approaches 2014

S UMMARY
Project name

Forest Carbon Project in Quirino Province, Sierra Madre Biodiversity Corridor,
Luzon, Philippines

Project area

Nagtipunan and Maddela, Quirino Province, Republic of the Philippines

Area

Approx. 177 ha

Population

Approx. 110

Private sector-led (commercial purposes)
Executing bodyConservation International Philippines (CIP);
moreTrees

Activity type

Enhancement of forest carbon stocks

Funding type

Investment fund

Period2007 - 2029
Consistency with the National Forest Program (NFP) and otherinitiatives/Establishment and enhancement of governance
Respect for the rights of indigenous people and members of local

Relationship withconsideration items

Ń

communitiesŃParticipation of stakeholders

ŃConsideration of biodiversityŃAddressing the risk of reversals

ŃAddressing displacement

ŃSummary
The Sierra Madre Mountains, situated in Quirino Province in the Philippines, contain about half ofthe forested area that currently exists in the country, provide various habitats for endangered species,
and are an important source of water for nearby communities and their members’ livelihoods. However,
deforestation, soil degradation caused by unsustainable agriculture, and increasingly frequent floods
and draughts have threatened the stable living of community members.
Under these circumstances, the Conservation International Philippines (CIP) has supported an
initiative in which a new income source from fruit sales is created by combining native tree planting andfruit tree agroforestry.
Furthermore, in collaboration with moreTrees, a Japanese carbon offset provider, any absorbed
carbon associated with tree planting as part of the CIP initiative is sold as credits to make the project’s
activities more feasible. This project has been awarded the Gold Level validation under the Climate,Community, and Biodiversity (CCB) standards and Verified Carbon Standard (VCS) validation.

28

1. BASIC INFORMATION
1.1 National level

forests, which leads to forest degradation.

1.1.1 Current state of forests

Carbon Partnership Facility (FCPF) , many of theAccordingtoGlobalForestAccording to a document by the Forest
1

Resources

Assessment (FRA) 2010, the total forested area of
the Philippines was 7.67 million ha, accounting for

Philippines’ forests are managed as community
forests under government programs. The area ofgovernment-managed forests was estimated to be

26% of the country’s total area. Of this forested

approximately 6 million ha in 2009.

area, 7.31 million ha were natural forest and1.1.2 Relevant domestic laws

350,000 ha were artificially generated forest.
The forested area of the Philippines decreased at a

Relevant domestic laws related to respect for

rate of 216,000 ha/year on average between 1969

the rights of indigenous people and members ofand 1988. While the country’s forested area has

local communities, land ownership and use rights,

been rising in recent years, closed canopy forestsand consideration of biodiversity at the national

have gradually been converted to open canopy

level are listed below.

- People's lives, freedom, and property shall not be taken
away without proper legal procedure and all people
shall enjoy fair protection under law. (Article 3)
The- The State shall recognize and promote the cultural

Constitution

community rights of its indigenous people. (Article 2)(1987)- The State shall guarantee the rights of community
members

Respect for the rights

toparticipate

inpolitical

andsocialdecision-making processes and to have access to publicof indigenous people

information. (Article 3, Article 13, among others)

and members of local- The State shall guarantee the indigenous people

communities

economic, social, and cultural welfare by protecting their
Indigenous

rights to their ancestral land and shall recognize thePeoples Rights

applicability of common law principles in determining

Act (IPRA)

the ownership and borders of such land. (Rule III, Part I)(1997)- The principle of free, prior, and informed consent (FPIC)
must be applied before developing the land ofindigenous people. (Rule III, Part II)- All land and natural resources of the country shall be

Thestate-owned and their use and development may be

Constitution

implemented jointly by the State and either (1) the(1987)

citizens or (2) organizations with 60% or more of capitalowned by citizens. (Article 12)

Land ownership and- Community-based Forest Management (CBFM) is a

use rights
Executive OrderNo. 263(1995)

national strategy for sustainably managing state-owned
forests. (Section 1)- With the approval of the Department of Environment
and Natural Resources (DENR), communities canmanage and use forests. (Section 3)

Consideration of
biodiversity

1

Executive OrderNo. 578(2006)- All relevant organizations are obliged to incorporate
and make mainstream the conservation and sustainable
use of biodiversity in their policies, rules, programs, anddevelopment plans.

Philippines (2011). "Supplement to Expression of Interest in Joining the Forest Carbon Partnership Facility (FCPF)".

29

REDD+ Safeguard approaches 2014

1.2 Project level
1.2.1 Project area
The project area (approx. 177 ha) issituated in Nagtipunan and Maddela in Quirino
Province in a mountainous region with an altitude
of between 100 m and 700 m. The project area
consists mainly of public land, though a small areaof private land is included as well. A Certificate of
Stewardship Contract (CSC) was issued under the
Integrated Social Forestry (ISF) program.
Approximately 110 people (of which 11
are female) consisting of three non-indigenous

1.2.2 Outline of the projectThis forest carbon project has been awarded
Gold Level validation under the CCB standards andVCSvalidation.

Currently,

preparations

areongoing to update the project to more strictly
conform to CCB standards and verify the VCS
validation.
The funds for the project activities have been
provided by moreTrees, a Japanese carbon offset
provider. CI Japan and moreTrees have agreed thatall project activities and related costs will be
provided by moreTrees.

ethnic groups live in the area. All community
members engage in agriculture/farming as theirmain source of income, both within and outside of
the project area, and their income level is lower
than subsistence income (generally 1,500 dollars
or less per year). Therefore, some members must
engage in other jobs other than agriculture.

A plantation (Fast-growing species)

1.2.3 Implementation system
The implementing bodies are the CIP, which
supervises the project, and moreTrees, which
provides funding for the project. Actual project
activities are implemented by the PEDAI, a local
non-governmentalorganization(NGO).

Participating households are organized under2

three Peoples’ Organizations (POs) and support
and consultation for project activities are provided
for each PO.

Fig. 1 Geographical location of the project area
(Conservation International, 2010)

2

Groups consisting of local farmers: a chairman is elected from the members by the members. Because
participation is voluntary, not all community members belong to a PO.

30

GovernmentofQuirinoProvince
GovernmentͲUnitofMaddelaͲLocal

DepartmentofEnvironment
andNaturalResources(DENR)

GovernmentͲUnitofNagtipunanͲLocal
PolicyMaking,
SupportforImplementation

PolicyMaking,
SupportforImplementation

ForestCarbonProjectinQuirinoProvince

FinancialSupportmoreTreesCIPhilippines

Supportfor
FeasibilityStudy

ICRAF

ProjectManagement,CapacityBuilding

CIJapanPEDAI

Technical
SupportCapacityBuilding,LivelihoodSupport
MonitoringofProjectActivity,
PaymentbasedontheActivity

DSAFA
ongoing

STISFASUBEFO

Peoples’Organization䠄POs䠅

completed

Technical
WorkingGroup(TWF)
ͲlocalcommitteeforQFCP
SupportforImplementation

Fig. 2 Implementing system

1.2.4 Success factors- Confidence building among interested parties
Project reports have been shared at several levels,
including the Barangay,3 community, provincial,
and regional levels, and a Technical Working
Group (TWG) has been established to confirm
progress,

identify

problems,

anddiscuss

approaches to finding solutions among project
partners. These activities have helped build
confidence among the community members andpartners. Another factor for success is that the
project team consists of multiple organizations
with different expertise (e.g., CIP, PEDAI). The

A planted tree (3 years old)project would have been impossible to implement
singly by the CIP.

3

Equivalent to a village or district. Barangay is the smallest administrative division in the Philippines andconstitutes cities and municipalities.

31

REDD+ Safeguard approaches 2014

2. D ETAILS OF THE PROJECT ACTIVITIES
2.1 Consistency with the National
Forest Programme (NFP) andother initiatives/Establishment andenhancement of governancemeetings have been held irregularly, with two held4

in 2012 .
- In addition to TWG meetings, meetings of the CIP,
PEDAI, and community members have been held(roughly monthly) to discuss problems that cannot
be solved by community members themselves. In

Plan, progress, and results

addition, at the end of each year, progress made- Relevant laws are shown in Table 1.
- The definition of a forest used in the project isthe same as the one set by the DENR and
submitted to the United Nations Framework
Convention on Climate Change (UNFCCC): crowncover ratio 10% or higher, tree height 5 m or
higher, area 0.5 ha or larger.
- A Memorandum of Agreement (MOA) was
exchanged with the central government (DENR)
and the local government at the start of the
project.
- Annual project reports have been submitted to
the government. Reports can be made verballyinstead of in writing.
- A TWG was established to confirm progress,
identify problems, and discuss approaches tofinding solutions among project partners. The

that year and plans for the next year are evaluatedand discussed.
- In addition to a printed brochure outlining the
project

inMonitoring

English,the

Guidelines

Community

document

has

Based
been

prepared, which is a printed manual written in thelocal language and used by community members
to implement monitoring practices.
Improvements and future plans- Community members do not have access to theInternet and cannot use information published
online.
- The brochure and monitoring guidelines havenot necessarily been distributed to all community
members.

Table 1 Laws/Programs related to the projectNameż

DENR Administrative OrderNo. 24 Series of 1991
R.A. No. 7586 “Nationalż

Integrated Protected Areas
Systems Act of 1992”

żDescription
Prohibits logging in all mature forests in the Philippines.
Prescribes the preservation system in the country, including
protected areas in the Sierra Madre region.

Executive Order 363 Series of

Position the CBFM as a national strategy toward sustainable

1995

development.
A new local law for controlling deforestation was established after

Village Law No. 23

the start of the project (Village Law No. 23), which prohibits
logging in natural forests.

Note: व - Law/Program specifically considered before implementing the project4

In 2013, TWG meetings were not held but there were opportunities where discussions occurred
regarding land use plans in the province as well as other issues.

32Technical Working Group (TWG)
Meetings are held irregularly with ~20 participants from the CIP, PEDAI, DENR, the local government,POs, and other parties. The agenda items of the two meetings held in 2012 were as follows:- Confirmation of the agenda of the previous meeting- Problems identified in the previous meeting- Progress of activities- Future activity plan
- Schedule of the next meeting
Meeting duration depends on the agenda. In 2012, the first meeting took 4 hours and 40 minutes while
the second meeting took 7 hours and 15 minutes, including lunch time.
Meeting results are recorded in a document (which averages about five pages) that includes
participants' names and affiliations, meeting date, agenda items, discussions made, results for eachagenda item, and the name of the person who prepared the document.

2.2 Respect for the rights ofindigenous people and membersof local communities
2.2.1 Identification of the rights to
own and use land and resources

the ISF program, the DENR has issued a 25-year
approved

households.

Land

plots

subjected to the project have been selected inconsultation

with

CSC

holders.

Additionally,reforestation contracts have been signed withindividual private land owners. Through these, it isconfirmed that land rights owners intend toparticipate in the project, and project activities will
be implemented only in prescribed land plots andwill not violate any property rights.

2.2.2 Use of local customs andknowledge
Plan, progress, and results- Organic feed fertilizer and a banana cultivation
method (i.e., where banana trees are cut down topromote regeneration) have been applied toafforestation and agroforestry.

2.2.3 Prior agreement of indigenous
people and community members
Plan, progress, and results- In the project preparation stage, briefing sessions
were held in many Barangays. Those Barangaysthat showed strong interest were selected as
project sites.

have been determined in consultation with
community members.

Plan, progress, and results- Most of the project area is public land, and undertoafforestation or agroforestry will be implemented

2.2.4 Benefit sharing

Plan, progress, and results

CSC- Land plots in which project activities such as- Net profits from the project (i.e., profit on the saleof carbon credits minus project expenses) arereturned to the POs in the form of an incentive
fund, which is used as a revolving fund, or one
used to invest in future activities.
Improvements and future plans- Uses of the profits obtained have been
considered by the POs. Three possible uses are: 1)
investment in reforestation activities (expansion ofarea), 2) investment in non-agriculture subsistence
activities(seedling

production,food

investmentinproduction,

processing,households

livestocketc.),(e.g.,

and3)

vegetablecultivation by each household).

2.3 Participation of stakeholders
2.3.1 Development of understanding
among stakeholders
Plan, progress, and results- Community members have been provided withabilitydevelopmenttraining,

andsupportopportunities,
for

their

technical
subsistence

activities.
- TWG meetings have been held where progress isconfirmed,

problems

areidentified,anddiscussions for finding solutions to the problems

33

REDD+ Safeguard approaches 2014

are made. (Reposted)- Prior to the commencement of the project (in- Meetings of the CIP, PEDAI, and community

July 2009), in collaboration with the DENR, the CIP

members have been held to discuss problems thatcarried out biodiversity monitoring. A study plotcannot be solved by community members(100 m × 10 m) was established at four sites in thethemselves. Additionally, at the end of each year,

project area, where the number of total species, as

progress made that year and plans for the next

well as the number of endemic species andyear are evaluated and discussed. (Reposted)

endangered species, species composition, diversity,

2.3.2 Consensus building andtransmission
Plan, progress, and results- Decision making related to afforestation andmonitoring activity plans, solutions to technicalproblems, among other issues, have been made atworkshops attended by community members,
local government, the CIP, and PEDAI.
- The workshops have been held irregularly during
the project period, in addition to before theproject’s start date.

2.4 Consideration of biodiversity
2.4.1 Identification and monitoring of
information on organisms andecosystems in the target area
Plan, progress, and results- A forest map was created in 2009 by the CIP
using satellite images from around 2007.

and distributions was studied for both flora andfauna (including birds and bats).
- The results were summarized in tables, whichhave been used as baseline data for assessing
impacts associated with the project.
- The monitoring comprised a limited area;
however, many studies have been conducted insurrounding areas, the data of which have beenused to complement other information.
Improvements and future plans- The forest map has not been updated, despite
the need to do so, because of the significant cost
involved. The idea of diverting satellite images
from other projects has been considered as a
cost-cutting measure.
- The next monitoring session is planned for 2014.

2.4.2 Identification of impacts on
biodiversity
Plan, progress, and results- Impacts on biodiversity are assessed bycomparing the with-project scenario with thewithout-project scenario. (Results in Table 2)

Fig. 3 Geographical location of the
project boundaries (Conservation
International, 2010)34

Table 2 Assessment of the impacts of the project on biodiversity
Without-project scenario

With-project scenario
Afforestation will increase forest cover area,

The diversity of species dependent on forests will

therebyincreasing

the

food

for

speciesbe maintained or reduced.

dependent on forests. In addition, species
migration from nearby forests will be promoted.

Remaining natural forests will be lost, and seeddispersers (which support natural regeneration),
as well as endangered species and endemic
species, will lose their habitats.

Fragmented forests are linked to afforested areas,
forming large continuous forests. Species, which
are threatened with the loss of forests, will benefit.

The number of endangered tree species will

Afforestation, which uses particular tree species,

decrease.

will increase the trees concerned.
NaturalAgricultural land will dominate landscapes.

habitats

will

increasein

forestedlandscapes.

The amount of disrupted land area will grow,increasing the negative impacts of invasive alien
species.

Forests will stabilize, making it difficult for invasive
alien species to establish.

2.4.3 Implementation of project
activities

2.6 Addressing displacement

Plan, progress, and results- Land reclamation and movement of livestock- The project activities (e.g., afforestation and(e.g., buffalo) outside the project area are assumed

agroforestry) have been designed with theto be displacement sources; however, their scales

primary aims of restoring forest cover, reducing

are considered small and the increase ofsoil erosion, and conserving soil fertility in thegreenhouseriver-head areas of Sierra Madre Mountains,insignificant, according to the afforestation andthereby ensuring water supply to the communities.

reforestation (A/R) clean development mechanism- All tree species used in afforestation, except for(CDM) guidelines.

Plan, progress, and results

5

gas

(GHG)

emissions

will

be

mahogany, are endemic species.

- Community members are responsible for- Previously, chemical fertilizer was used, which

conducting patrols to prevent forest fires, insect

affected fauna and flora in the region; therefore,damages, etc.

organic fertilizer is used in this project.

- Implementation status of patrols has beenchecked weekly by the CIP and PEDAI.

2.5 Addressing reversals

Improvements and future plansPlan, progress, and results- Resumption of agriculture is assumed in thereemission

scenario;

however,

the

risk

of

conversion of forests to agricultural land isconsidered small due to benefits that can begained from agricultural activities.

- In the future, regardless of scale, high-resolution
satellite images may be necessary to calculate
leakage emission amounts.
- Currently, large-scale leakages have not been
identified; however, charcoal burning is sometimes
witnessed in and around the project area.

Improvements and future plans- While forest maintenance cost can be financed
by selling carbon credits, the project area isfrequently damaged by typhoons and there isconcern about the occurrence of re-emission in
the future.

35

REDD+ Safeguard approaches 2014

Table 3 Assumed leakages and response methods
Leakage

Response method- All community members who participate in the project have beeninterviewed.

Reclamation- Two of the 11 community members responded that they may reclaim theirland for farming in the future; however, the total area is small (6.8 ha) and,based on A/R CDM guidelines, GHG emissions by leakages will beinsignificant.
- Assuming that range buffalo unfed by farmers will be the ones that may
move to outside of the project area, the livestock unit (LSU) will be

Movement of livestock

calculated.
- Because the LSU calculated for the buffalo is small (5.11), based on the A/R
CDM guidelines, GHG emissions by leakages are assumed to be
insignificant.

References
Conservation International (2010) Project Design
Document under Climate, Community andBiodiversity Standards. Edition 01. Forest
Carbon Project in Quirino Province Sierra
Madre Biodiversity Corridor, Luzon, Philippines.

5

Mahogany trees are expected to contribute to local biodiversity due to their adaptability to the region,
relatively high growth speed, and usefulness for protecting other trees and improving
micrometeorological spaces. In addition, communities in the Philippines are strongly interested in theplanting of mahogany for economic reasons. In the project, mahogany trees are planted on the outersides of the project area and the amount of carbon absorbed by mahogany is excluded from
calculation.

36

The Sofala Community Carbon Project

Republic of Mozambique37

REDD+ Safeguard approaches 2014

S UMMARY
Project name

The Sofala Community Carbon Project
Gorongosa site (Nhamatanda District, Gorongosa District)

Project area

Zambezi Delta site (Cheringoma District, Marromeu District) , Republic ofMozambique
Gorongosa site: 55,877 ha;

Area

Zambezi Delta site: 455,515 ha

Population

Approx. 150,000

Private sector-led (commercial purposes㸧
Executing body

Project planner: Envirotrade Carbon Limited (ECL);
Project operator: Envirotrade Mozambique Limitada (EML)

Activity type

Enhancement of forest carbon stocks

Funding type

Investment fund

Period2002 Consistency with the National Forest Program (NFP) and otherinitiatives/Establishment and enhancement of governance
Respect for the rights of indigenous people and members of local

Relationship withconsideration items

Ń

communitiesŃParticipation of stakeholders

ŃConsideration of biodiversityŃAddressing the risk of reversals

ŃAddressing displacement

ŃSummaryThis project aims to promote sustainable land use and management by small-scale farmers in rural
areas, and in addition to activities associated with REDD+, promotes the following four types ofsubsistence improvement activities: (1) use and sustainable harvesting of wood, (2) agroforestry, (3) drip
irrigation and bush meat, and (4) production of non-timber forest products. As for activities associatedwith REDD+, communities formulate their own forest plans and based on the plans, plant trees, carryout patrols in forest management areas, develop firebreaks, and practice a fire management techniqueknown as early burning1 to prevent the spread of fire to agricultural land, thereby conserving wildlife
and forests.

1

Prior to dry season (when leaves and undergrowth become dry), low-intensity fires are artificially created
to reduce flammable organic matter, thereby preventing fire damage.

38

1. BASIC INFORMATION
1.1 National level

Carbon Partnership Facility (FCPF), production

1.1.1 State of forests

forests are managed by the National Directorate

AccordingtoGlobalforests and a part of soil and water conservation
ForestResources

Assessment (FRA) 2010, the total forested area ofMozambique was39.02 million ha, accounting for
50% of the country’s total area. Of this forested
area, 38.96 million ha were natural forest andof Lands and Forests (DNTF) of the Ministry ofAgriculture.

The

remainingsoil

forests are managed by the country’s Ministry of
Tourism (MITUR). (Ministry for Coordination ofEnvironmental Affairs, 2013)

The forested area of Mozambique decreased at an

1.1.2 Relevant domestic laws

the total forested area) per year between 1990

water

conservation forests and biodiversity conservation

60,000 ha were artificially generated forest.
average rate of 220,000 ha (approximately 0.5% of

andRelevant domestic laws related to respect for
the rights of indigenous people and members ofand 2010. (FAO, 2010)
According to the Readiness Preparation

local communities, land ownership and use rights,

Proposal (R-PP) for the preparation stage ofand consideration of biodiversity at the national

REDD+, which has been submitted to the Forest

level are listed below.

The Constitution(2004)- The country shall be governed by laws that are basedon the guarantee of and respect for basic humanrights and freedom. (Article 3)- For natural resource management and conflict

Land Law (1997)

resolution in rural areas, local people shall act inaccordance with their customs. (Article 24)

Respect for therights of- Reserves should be managed in accordance withindigenous peopleplans drafted with the participation of local people.

and members of
local communities

Forestry and Wildlife
Law/ Legislation onforestry and wildlife(1999)(Article 10)- In allocating forest concessions, prior hearings fromand negotiations with associated local people shall beconsidered. (Article 17)- When forests are developed for commercial,industrial, or energy-related purposes, the views of
local people should be respected. (Article 18)

The Constitution(2004)- Land ownership belongs to the country. (Article 109)
- Land is a national property and cannot be sold ortransferred. (Article 3)

Land ownershipand use rights- Land use rights may be issued to communities andLand Law (1997)

individuals. (Article 13)- The maximum duration of commercial land use rights
shall be 50 years; however, this rule shall not apply toland that has been allocated to local people. (Article
17)- When the government develops policies, theBiodiversity

The Constitution(2004)

prevention and control of pollution and erosion,
integration of environmental values, rational use ofnatural resources, among others should be mentioned
as aims. (Article 117)

39

REDD+ Safeguard approaches 2014

The Environmental
Law (1997)- Preservation of biodiversity and ecosystems shall be
the basic principle of use and management of theenvironment. (Article 4)

Policy and Strategy ofForests and Wildlife
Policy (1997)- Capacity in relation to the sustainable use andconservation of biodiversity shall be enhanced.
- The environment and natural resources shall be

National

managed with the goal of maintaining ecosystems’

Environmental Policy(1995)

various functions and productivity for future use.
- International and local initiatives for solution ofenvironmental problems shall be coordinated.

Regulation about
Biodiversity

Process ofEnvironmental Impact
Assessment (2004)- This regulation shall apply to all public and private
undertakings

that

may

affectenvironmental

components directly or indirectly. (Article 2)- With respect to the policies for promoting andsupporting safeguards, the project should consider:(1) consistency with activities recognized by laws

Decree on Rule forrelated to the conservation and sustainable use ofProcedures toforests and biodiversity, (2) consistency with policies

Approve Projects ofrelated to the conservation and sustainable use of

REDD+ (2013)

forests and biodiversity, (3) promotion of the respect
for the rights and effective participation of local
people, and (4) compatibility with the food security of
local people. (Article 17)

1.2 Project level
1.2.1 Project area
The project area is located in the buffer zoneoftheGorongosa

National

Park

and

the

Marromeu National Park, in the province of Sofalain the central part of Mozambique. The area
consists of two sites: Gorongosa site and Zambezi
Delta site. The Gorongosa site extends fromNhamatanda District to Gorongosa District andthe Zambezi Delta site extends from Cheringoma
District to Marromeu District. Ten communities
within these four districts are covered by the
project. Land borders shown in Figure 1 were set
by the community leaders based on traditional
demarcation rules.

40

Tree planting (Photo provided by EML)Fig. 1 Geographical location of the project area (Envirotrade, 2010)

1.2.2 Outline of the project

employment).

During the colonial period, employment in

1.2.3 Implementation system

the area where the project is implemented atpresent was mainly created by export-related road
construction and cotton cultivation; however,
employment

opportunities

werenegatively

affected when the country became independent in
1975. The project area was one of the areas
severely damaged by the civil war, which lasted
from 1976 until 1992. Landmines planted during
the civil war and the destruction of infrastructure
limited agricultural activities, causing serious foodshortages and forcing local people to evacuate toother areas until the mid-1990s when the civil war
ended.
Asaresult,governmentandprivateorganizations are still hesitant to make investments
in

the

area,

and

only

a

handfulof

non-governmental organizations (NGOs) engage
inincomegeneration

activities

in

these

communities. Most households do not have theskills to gain income within the community, andinstead obtain short-term cash income fromworking in nearby towns. Access to electricity,transportation, and communication systems is also
not sufficient.
In the forestry sector, the expansion ofagricultural land and the production of charcoal
have increased deforestation and the situation isworsening due to a growing population.
Against this backdrop, the REDD+ Project wasstarted with the aim of promoting sustainable land
use

and

management

andimprovingthelivelihood of local people (e.g., through creation of

The implementing bodies are the ECL, which
deals with fund offering, donor organizations, andcredit purchasers, and the EML, which operates
activities at the project sites.

1.2.4 Success factors- Payment contract on an individual basis
If payment is made on a household basis, malemembers of a household may exclusively benefit;
therefore, by making payment on an individual
basis, funds will reach women, consequently
promoting the participation of women in the
project.
- Payment contract on a performance basis
Inthepayment

contractforafforestation

programs, performance during the first two years
is evaluated based on the survival rate of planted
trees (an indicator of the growth of planted trees),and other items, and payment is made accordingly.
Thissystemhashelpedmaintainfarmers'

motivation.
- Promotion of livelihood improvement activities
that correspond to falling carbon credit prices
It was initially planned that, within the project, atleast one-third of the profits from selling carbon
credits

would

be

given

to

farmers

who

implemented activities associated with REDD+ andagroforestry; however, carbon credit prices fell andthis has affected the plan. Therefore, to avoid adecrease in payout due, it was decided thatproject operation and future investment funds

41

REDD+ Safeguard approaches 2014

secured from selling carbon credits would be
reduced and payments to farmers would beprioritized. This measure has helped maintain
farmers' incentives for the project (although the
project is currently facing funding difficulties as aresult).

Non-timber forest products (apiculture)(Photo provided by EML)

42

2. D ETAILS OF THE PROJECT ACTIVITIES
2.1 Consistency with the National
Forest Programme (NFP) andother initiatives/Establishment andenhancement of governance- Although the government holds land allocationrights, the Land Law recognizes customary rights,
and legal problems related to this current land use
form (i.e., the right to allocate land to community
members is delegated to community leaders) have
not occurred.
- Stakeholder meetings have been held twice ayear since the preliminary study stage, and thebeenmembers, etc.
- Regular meetings of the core members of the
project have been held to maintain a relationshipattended by community members, traditional- Relevant laws are shown in Table 1.

hasregarding rights and responsibilities of community

with the local government. The meetings arePlan, progress, and results

project

processes for communities, guidance on laws

communicating

with

the

government.

leaders,

officersofthe

NaturalResource

2

Management Committee , NGOs, government
representatives, etc.
- Annual reports are published on the Plan Vivo
website (www.planvivo.org), and information ismade public through newspapers and workshops.
Challenges, improvements and future plans- According to 2009 statistics, the literacy rate in
the rural areas of Mozambique is only around 10%.

- Government has been involved in the projectthrough the application of regulations, conflictintervention,

promotionofempowerment

Table 1 Laws/Programs related to the projectNameżDescription
It is permitted to issue land use rights to communities andLand Law

individuals

Policy and Strategy of Forests andżImproving capacity in relation to the sustainable use andWildlife Policy

conservation of biodiversity is an aim.

Forestry and Wildlife Law /Reserves should be managed in accordance with plans

Legislation on forestry and wildlife

drafted with the participation of local people.

The Constitution

Land ownership belongs to the country.

Note: व - Law/Program specifically considered before implementing the project

2.2 Respect for the rights ofindigenous people andmembers of local communities
2.2.1 Identification of the rights to
own and use land and resources- Land borders in the areas where afforestationand forest conservation activities are implemented
as part of the REDD+ Project were determined by
the traditional leaders of the communities and the2

Resource

Management

2.2.2 Use of local customs andknowledge
Plan, progress, and results- In selecting afforestation and forest conservationsites, soil type is classified and endemic species arePlan, progress, and results

Naturaltherefore, land use conflicts have not occurred.

identified. In addition, sacred sites where project
activities cannot be implemented for religious
reasons, among other sites, are identified, making
use of the knowledge of community members.

Committee;

A traditional organization that aims to manage shared resources.

43

REDD+ Safeguard approaches 2014

- Regarding the use of forests, local traditional

the project and technical support for agriculture has

knowledge is used to determine the best season forbeen provided by these community technicians.

collecting seeds, etc.

- Opportunities have been created where donors

2.2.3 Prior agreement of indigenous
people and local people
Plan, progress, and results- Stakeholder meetings have been held twice a year
since the preliminary study stage, and policies have

being

created,therebycultivating

theirunderstanding of the project.

2.3.2 Consensus building andtransmission

been determined by emphasizing the involvement

Plan, progress, and resultsof communities' traditional leaders as well as the- Traditional leaders of the communities and the

Natural Resource Management Committee.

Natural Resource Management Committee have

2.2.4 Benefit sharing
Plan, progress, and results- It is planned that at least one-third of the profits
from the sale of carbon credits will be given tofarmers who implement activities associated with
REDD+ and agroforestry. In the payment contract
for afforestation activities, the performance during

been involved in the decision-making process for all
activities, as well as the reporting and evaluation of
the results.
- Discussions are ongoing on ways to improve
project performance; for example, it has been
agreed that early burning should be introduced.

2.3.3 Conflict resolution

the first two years will be evaluated based on thePlan, progress, and results

survival rate of trees (an indicator of the growth of- Spreading forest fires may create conflicts withplanted trees), among other items, and payment willcommunities outside the project sites. When suchbe made accordingly.

conflicts have occurred, inter-community meetings- If activities associated with REDD+ are carried out

are held to come up with solutions.

on common land, the profits shall be passed on to
the community fund for 10 years.

2.2.5 Avoidance of negative impacts on
indigenous people and community
members
Plan, progress, and results- In electing members of the Natural Resource
Management Committee, it is guaranteed thatwomen, the poor, and the young will be given equal
rights, thereby indirectly preventing the occurrenceof activities that cause negative impacts.

2.3 Participation of stakeholders

2.3.4 Promotion of stakeholder
participation
Plan, progress, and results- To encourage the participation of women,
payment contracts are concluded on an individual
basis rather than a household basis.

2.4 Consideration of biodiversity
2.4.1 Identification and monitoring of
information on organisms andecosystems in the target area
Plan, progress, and results

2.3.1 Development of understanding of
among stakeholders- Prior to the commencement of the project,Plan, progress, and results

3
assessed. A Shannon Index was used to assess- Some community members have been employedecosystems, specifically miombo forests, savanna

and trained as community technicians. Guidance on

riparian forests, and secondary forests.

3

44

visit the project sites to see how carbon credits areinventory studies were conducted, where tree
species were identified and ecosystems wereAn index used to quantitatively evaluate species diversity

- In 2009 and 2010, inventory studies werecharcoal making, and collection of fuel wood.

conducted using FAO funding. For 15 fixed sampling- Farmland development incorporates activities thatplots, growth rate, tree species composition, fire

enable a shift to settled farming. For example, due

regimes, and other criteria were measured.

to the absence of livestock in the project sites, it is- All study results are available on the project

difficult to collect and process agricultural residues

website (www.miombo.org) and the website of thein one place as part of farming. Therefore, in the

University of Edinburgh.

project areas, agricultural residues have been
plowed into farmland to fertilize the soil.

Challenges, improvements and future plans- Sustainable production of charcoal at the project- The monitoring items currently proposed are assites has been promoted; however, it has resulted infollows:

a decrease in cash income. Therefore, alternative

Impacts on organismsmeans for livelihood improvement (e.g., lumbering,

Fragmentation and degradation of the

farming of guinea fowls) have been provided tolandscape (determined by satellite image

community members to supplement their income

analysis)and support the realization of sustainable charcoal

Tree species composition and vegetation

making.

types- As for fuel wood collection, agroforestry at the(incollaboration

withEduardoMondlane University)

project sites is promoted to establish a sustainable

Agroforestry and fire regimes (evaluated bytransect surveys for birds)

supply system, thereby controlling logging outside
the project area.

Impacts on water resources- Also, in collaboration with the World Wildlife Fund

Rainfall(WWF), environmental education programs have

Water level of irrigation wells

been offered for the communities



Mortality rate before and after planting (atnurseries and on farmland)

Envirotrade (2010) Sofala Community Carbon

Impacts on soilOrganic

carbonandReferences

nitrogenconcentrations in soil

2.5 Addressing the risk of reversals
Plan, progress, and results- Because payment based on carbon credits is risky,
values have been added to the credit price by using
the Plan Vivo Standards.

Project,

Project

DesignDocument(PDD)

According to Climate, Community & Biodiversity
Standard (CCB) and Plan Vivo Standards.
FAO (2014) Forests and the forestry sector,
Mozambique
http://www.fao.org/forestry/country/57478/en/
moz/ (accessed 2014-02-24)
FAO (2010) Global Forest Resources Assessment
2010. FAO, Rome, Italy.

- A business group has been established to serve

Ministry for Coordination of Environmental Affairs

the communities in an effort to diversify income(2013) Readiness Preparation Proposal (R-PP) forsources, ensuring sustainability.

Country: Mozambique Date of revision: January

Improvements and future plans

2013.

- The falling of carbon credit prices is the biggestrisk.

2.6 Addressing displacement

Rainforest Alliance (2010) Climate, Community &Biodiversity

Standard(CCB)

Validation

Assessment Report for: Sofala Community
Carbon Project in Mozambique.
Rainforest Alliance (2010) Plan Vivo Standard

Plan, progress, and results

Validation/Verification Audit Report for: Sofala- Assumed leakages are farmland development,

Community Carbon Project in Mozambique.

45

REDD+ Safeguard approaches 2014
Copyright © 2014 REDD+ Safeguard Research Consortium. All Rights Reserved.

REDD+ Safeguard Research Consortium:
Forestry and Forest Products Research Institute, Japan (FFPRI)Japan International Forest Promotion & Cooperation Center (JIFPRO)
Mitsubishi UFJ Rearch and Consulting Co., Ltd.
Japan Overseas Forestry Consultants Association (JOFCA)

For more information, contact:
REDD+ Safeguard Research Consortium Secretariat
REDD Research and Development Center, FFPRI
1 Matsunosato,Tsukuba, Ibaraki,305-8687 Japan
Tel: +81 29 829 8365
Fax: +81 29 829 8366
Email: redd-rd-center@ffpri.affrc.go.jp
www.ffpri.affrc.go.jp/redd-rdc/en/index.html

REDD+ Safeguard approaches 2014