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EffectIve ImplementatIon of safeguards Is essentIal for achIevIng lastIng results and creatIng the
enablIng envIronment necessary to attract and sustaIn longterm fInance.

Progress on safeguards ImplementatIon Is beIng undermIned by 1) a lack of leadershIp at InternatIonal
level by the UNFCCC, and 2) a lack of coordInatIon among donors to delIver a unIfIed approach to
safeguards ImplementatIon. PartIes to the UNFCCC are faIlIng to value safeguards equally wIth other
methodologIcal Issues.

The UNFCCC must provIde the polIcy leadershIp necessary to solve these major problems and, through
enhanced polItIcal wIll and InternatIonal cooperatIon, develop clear, unambIguous and robust guIdance
on safeguards ImplementatIon and InformatIon systems.

Transparent and partIcIpatory natIonal systems to Implement, monItor and regularly report on FE00+
safeguards are nonnegotIable, fundamental requIrements for scalIng up and sustaInIng fInance.
0emonstratIng that rIsks have been mItIgated through relIable evIdence that socIal, envIronmental and
governance safeguards have been applIed throughout FE00+ readIness and ImplementatIon Is
ImperatIve for Investor confIdence.

The most cost effIcIent method to provIde relIable data on safeguards ImplementatIon Is through
communItybased monItorIng developed through a partIcIpatory process. |ultIstakeholder revIew of
reports Is essentIal to Increase trust In the data and InformatIon.

FE00+ fInance must be framed by a human rIghtsbased approach In whIch countrIes comply wIth theIr
Cancun Agreement oblIgatIons. Access to resultsbased fInance should be dependent on countrIes
IncludIng In theIr FE00+ framework human rIghts IndIcators, full and effectIve partIcIpatIon of
IndIgenous peoples and local communItIes, In partIcular the rIght to FPC, and a grIevance redress
mechanIsm, and ensurIng complIance wIth UN0FP and LD ConventIon 169. The fInance mechanIsm
should facIlItate the dIrect transfer of payments for resultsbased actIons to IndIgenous peoples and
forest dependent communItIes.

Access to results based payments should be condItIonal upon promotIng noncarbon benefIts, In addItIon
to complIance wIth the safeguards.

The draft decIsIon prepared by the S8STA at Its J8th meetIng In 8onn on the tImIng and frequency of
presentIng summarIes of InformatIon on how safeguards are beIng addressed and respected Is weak,
unclear and wholly Inadequate.

The UNFCCC can and must redeem Itself at CDP19 In Warsaw and provIde clear polIcy guIdance on the
lInks between safeguards and resultsbased fInance.

Any decIsIon on FE00+ fInance must make It clear that before accessIng resultsbased phase 3 finance
PartIes should have provIded at least one comprehensIve summary of InformatIon, revIewed by multI
stakeholders at natIonal level, demonstratIng that robust, partIcIpatory and transparent natIonal
frameworks for safeguards ImplementatIon and the provIsIon of InformatIon are In place. They must
also demonstrate that safeguards have been applIed throughout readIness and ImplementatIon and are
fully addressed and respected.



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The FE00+ safeguards
1
are fundamental for achIevIng results. WIthout them FE00+ wIll fail to slow, halt and
reverse forest cover and carbon loss.
2
The safeguards Improve forest governance, promote the full and effectIve
partIcIpatIon of IndIgenous peoples and local communItIes and respect for theIr rIghts, and protect bIodIversIty to
ensure ecosystem resIlIence and permanence of emIssIons reductIonsD They are core mnmum requIrements that
exIst to ensure that FE00+ does no harm (I.e. to mItIgate agaInst the potentIal negatIve consequences of FE00+ on
lIvelIhoods and bIodIversIty) and achIeves some posItIve benefIts. This distinguishes them from noncarbon benefits
(NC8s), whIch go beyond safeguards to provIde addItIonal benefIts and ensure that emIssIon reductIons are more
permanent and sustaInable over tIme.
J



1
DutlIned In 0ecIsIon 1/CP.16, AppendIx .
2
0ecIsIon 1/CP.16.
J
For recommendatIons on and dIscussIon of NC8s, see FSWG Briefing Paper, Moving REDD+ Beyond Carbon: NonCarbon Benefits at CoP19 and Beyond,
also produced for the UNFCCC Fesults8ased FInance Workshop, 8onn, 2122 August 201J.


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Safeguards must be supported by and Integrated Into FE00+ fInance. The polIcy and legal reforms necessary to ensure
safeguards are Implemented fully and effectIvely need to be catalyzed. Safeguards are not only an oblIgatIon establIshed by
the Cancun Agreements, they are processes for the development and ImplementatIon of mechanIsms to prevent negatIve
effects, defend and respect the rIghts of IndIgenous peoples and local communItIes, and strengthen the posItIve socIal and
envIronmental effects of FE00+. PublIc fInance through bIlateral and multIlateral channels Is supportIng these processes
In several countrIes. The processes are In dIfferent stages of development and will not necessarily end with the readiness
phase; they are dynamic and will evolve and change over time as reforms are undertaken. TheIr effectIveness In ensurIng
safeguards ImplementatIon wIll ultImately determIne the success of resultsbased fInance In achIevIng lastIng emIssIons
reductIons.

However, progress on FE00+ safeguards Is beIng hIndered. Two Issues stand out as major ImpedIments to theIr
ImplementatIon:
1. The faIlure of PartIes to value safeguards equally wIth other methodologIcal Issues and provIde the polIcy leadershIp
necessary for the UNFCCC to develop clear, unambIguous and robust guIdance on ImplementatIon and InformatIon systems
(dIscussed further below); and

2. The lack of coordInatIon among multIlateral and bIlateral agencIes to delIver a unIfIed approach to safeguards
ImplementatIon. ThIs Issue Is partIcularly evIdent In countrIes where multIple donors are engaged In overlappIng InItIatIves
but are not talking to each other.

WIth polItIcal wIll and enhanced InternatIonal cooperatIon, the UNFCCC could go a long way to solvIng these two major
problems.

-<;?G84@B >A;=;H4 94:4;95 <; @47A=C74 4IA94;H4 <> 5=>4?6=@95 AB:74B4;8=8A<;

Safeguards ImplementatIon Is essentIal to create the enablIng envIronment necessary to attract and sustaIn longterm
fInance. FE00+ fInance must leverage and consequently result In the ImplementatIon of the safeguards In desIgnIng and
ImplementIng FE00+ actIvItIes. t must operate wIthIn a transparent InternatIonal and natIonal framework capable of
assessIng rIsk, puttIng In place socIal, envIronmental and governance safeguards to mItIgate that rIsk, and relIably
demonstratIng ongoIng complIance wIth the safeguards through partIcIpatory systems for monItorIng and reportIng. f not,
the rIsks wIll sImply be too hIgh for Investors.

Currently, the prIvate sector does not have confIdence that InvestIng Its money In FE00+ wIll actually reduce emIssIons.
EvIdence of safeguards ImplementatIon Is Important to provIde the prIvate sector wIth the securIty It needs. At a recent UN
FE00 symposIum In ndonesIa, good governance was emphasIzed as crItIcal for prIvate sector engagement In FE00+.
8usInesses expressed theIr need for evIdence of effectIve forest governance before they would Invest.
4
A prIvate sector
panelIst poInted out that The threct o] the prvcte sector not yettny enycyed s yettny byyer cnd byyer.
5


The FE00+ Safeguards WorkIng Croup (FSWC) belIeves the most cost effIcIent method to provIde relIable evIdence of
safeguards ImplementatIon Is through communItybased monItorIng systems developed through a partIcIpatory process.
6

PromIsIng natIonal frameworks for Safeguards nformatIon Systems (SS) are beIng developed through InclusIve multI
stakeholder processes such as the PFSA In ndonesIa
7
and the FE00+ SES (SocIal and EnvIronmental Standards) InItIatIve.
Through thIs InItIatIve several countrIes
8
are defInIng IndIcators and assessIng the socIal and envIronmental performances of
theIr FE00+ program agaInst prIncIples and crIterIa developed through broad and InclusIve InternatIonal consultatIon.
9

SIgnIfIcantly, the guIdelInes for usIng the FE00+ SES Incorporate multIstakeholder revIew of the draft assessment report,
10

whIch Is essentIal to Increase confIdence In the relIabIlIty of the InformatIon.

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The Cancun Agreements explIcItly recognIze that UNFCCC PartIes are oblIgated to fully respect human rIghts, IncludIng the
rIghts of IndIgenous peoples, In all clImate changerelated decIsIons and actIons. Thus FE00+ fInance must be framed by a
human rIghtsbased approach and access to resultsbased fInance should be dependent on countrIes puttIng In place the
elements necessary to achIeve thIs. These essentIal elements Include:
The development of humanrIghts IndIcators to be taken Into account when assessIng results of FE00+ actIvItIes and
accessIng resultsbased payments. These should Include the recognItIon of and respect for the rIghts and tradItIonal
knowledge of IndIgenous peoples and local communItIes as provIded for In the Cancun FE00+ Agreement.

The full and effectIve partIcIpatIon of IndIgenous peoples and local communItIes, In partIcular the rIght to Free, PrIor
and nformed Consent (FPC) of IndIgenous peoples as enshrIned In the UN 0eclaratIon on the FIghts of ndIgenous
Peoples (UN0FP), In all the processes, programs and actIons at all levels IncludIng systems for monItorIng, assessment

4
mogen 8adgeryParker, Good governance is critical to engage the private sector in REDD+, CIFOR Forests News, 16 July 2013, reporting on Clobal
SymposIum on FE00+ In a Creen Economy, 1920 June 201J.
5
bId, quotIng ChrIs Webb, PrIcewaterhouseCoopers.
6
See case study on Nepal In FSWG briefing paper for SBSTA 38, NonCarbon Benefits in REDD+: providing incentives and addressing methodological issues
(extracted from 8est Prcctces n 6overncnce cnd 8odversty Sc]eyucrds ]or RE00+: \cluny nctoncl cnd ]eldbcsed Experences to cctclyze syneryy between
the 0NFCCC cnd C80, PolIcy 8rIef 2012, PhIlIppIne ClImate Change CommIssIon and SwIss ConfederatIon, wIth ImplementIng partners Ateneo School of
Covernment and Helvetas SwIss ntercooperatIon). http://www.scrIbd.com/doc/114698098/8estPractIcesInCovernanceand8IodIversItySafeguardsforFE00
Plus.
7
Principles, Criteria and Indicators Initiative Indonesia; PRISAI also means shield. See FE00+ ndonesIa, PublIshed by the FE00+ Taskforce, 0ecember 2012.
8
States of Acre and Amazonas In 8razIl, ProvInces of Central and East KalImantaIn In ndonesIa, Ecuador, Nepal, Cuatemala, |exIco, LIberIa, San |artIn In Peru.
9
http://www.reddstandards.org/
10
CuIdelInes for the use of FE00+ SocIal and EnvIronmental Standards at country level, 0raft 7ersIon 2, 5
th
AprIl 2012 revIsed 20
th
August 2012.



and evaluatIon of FE00+ ImplementatIon. These systems should be communItybased and developed through a fully
partIcIpatory process.

ComplIance wIth InternatIonal human rIghts Instruments, partIcularly the UN0FP and the nternatIonal Labour
DrganIzatIon (LD) ConventIon 169 In relevant countrIes.

CrIevance Fedress |echanIsms, establIshed wIth the full and effectIve partIcIpatIon of IndIgenous peoples and local
communItIes at all levels that are accessIble, gender sensItIve and frIendly to IndIgenous peoples and local
communItIes.

Forests represent a myrIad of envIronmental, cultural and spIrItual values for IndIgenous peoples and local communItIes. The
safeguards reflect these In part, whIle noncarbon benefIts encompass the full spectrum of socIal, envIronmental and
governance benefIts related to FE00+ actIvItIes.
11
Access to results based payments should be condItIonal upon promotIng
these noncarbon benefIts, In addItIon to the safeguards. The fInancIng mechanIsm should support and sustaIn the
enhancement of noncarbon benefIts that are essentIal to achIevIng Integrated sustaInable development, IncludIng poverty
allevIatIon and should facIlItate the dIrect transfer of payments for resultsbased actIons to IndIgenous peoples and forest
dependent communItIes. 0Irect payments IncentIvIzIng NC8s as well as carbon benefIts, are already beIng pIloted through
government InItIatIves In 8razIl and Peru.
12
|obIle technology makes It possIble both to transfer payments to remote areas
and to monItor the results.

M<K 8J4 )!&000 J=5 >=A749 <; 5=>4?6=@95

n 0urban, the UNFCCC reaffIrmed that In order to obtaIn resultsbased fInance for FE00+, countrIes should have a system In
place for provIdIng InformatIon on how safeguards are addressed and respected throughout the ImplementatIon of FE00+
actIvItIes a Safeguards nformatIon System or SS.
1J
However, S8STA developed only mInImal guIdance on the system whIch
has sIgnIfIcant gaps
14
The only ray of lIght In an otherwIse dIsappoIntIng outcome was an agreement that S8STA would
consider the need for further guidance to ensure trcnspcrency, consstency, comprehensveness and e]]ectveness when
InformIng on how all safeguards are addressed and respected and, if appropriate, to consider additional guidance.
15
ThIs
remaIns an outstandIng agenda Item. Although many PartIes advocated that InformatIon should be provIded through bIennIal
update reports (8UFs), opposItIon led to a decIsIon that a summary of information should be provided only periodically and
be included in national communications. or communication channels agreed by the Conference of the Parties [COP].
16
A
decIsIon on tImIng and frequency of the fIrst and subsequent summarIes was deferred.

n June 201J, at Its J8
th
meetIng In 8onn, S8STA fInally developed a draft decIsIon on the tImIng and frequency of the
provIsIon of InformatIon on safeguards. The outcome, however, was profoundly dIsappoIntIng. WhIle an earlIer versIon of
draft text provIded for addItIonal voluntary reportIng on safeguards through 8uFs,
17
It was gutted at the eleventh hour,
effectIvely addIng no addItIonal guIdance for PartIes. The fInal draft of the decIsIon reIterates what was already decIded In
0urban and In effect allows PartIes to provIde the fIrst summary, necessary to demonstrate that safeguards have been applIed
throughout readIness and ImplementatIon and are fully addressed and respected, ct cny tme cnd throuyh cny chcnnel!

The draft decIsIon only added that the summary could also be provided, on a voluntary basis, via the Web Platform on the
UNFCCC website.
18
No date or clear formal reportIng channel was specIfIed for the fIrst summary. The only detaIl gIven was
that countrIes should begIn provIdIng it in their national communication or communication channel, including via the Web
Platform of the UNFCCCafter the start of the implementation of [REDD+] activities, taking into account that posting on the
Platform Is voluntary.
19
Subsequently, the frequency of presentations of the summary. should be consistent with the
provisions for submissions of national communications from Parties not included in Annex I.and, on a voluntary basis via the
Web Platform on the UNFCCC website.
20
ThIs ImplIes a fouryear reportIng cycle wIth the addItIonal but voluntary optIon of
postIng an update on the websIte, but the language Is far from clear.








11
See FSWG Briefing Paper, Moving REDD+ Beyond Carbon: Carbon Benefits at CoP19 and Beyond, also produced for the UNFCCC Fesults8ased FInance
Workshop, 8onn, 2122 August 201J.
12
http://notIcIas.terra.com.co/cIencIa/IndIgenasamazonIcosrecIbenIncentIvosparacuIdarelbosqueen
peru,61f02aa7dc04fJ107gnCL02000000dc6eb0aFCF0.html; http://www.brasIlsemmIserIa.gov.br/InclusaoprodutIva/bolsaverde
1J
n 0ecIsIon 2/CP.17 para 64 PartIes recall that to obtaIn and receIve resultsbased fInance developIng country PartIes should have the elements referred to In
0ecIsIon 1/CP.16 paragraph 71, whIch Include a system for provIdIng InformatIon on how safeguards are addressed and respected.
14
Decision 12/CP.17; see REDD+ Safeguards Working Group Briefing Paper for SBSTA 36, Additional Guidance on REDD+ Safeguards I nformation Systems for an
analysIs of the gaps In S8STA guIdance on the SS. http://www.scrIbd.com/doc/11J7J6J14/AddItIonalCuIdanceonFE00SS.
15
bId, para 6.
16
0ecIsIon 12/CP.17.
17
0raft text on S8STA J8 agenda Item 4, |ethodologIcal guIdance for actIvItIes relatIng to reducIng emIssIons from deforestatIon and forest degradatIon and the
role of conservatIon, sustaInable management of forests and enhancement of forest carbon stocks In developIng countrIes, 7ersIon 1 of 10 June 201J at 14:00 hrs,
Annex .
18
FCCC/S8STA/201J/L.12/Add 2, para J.
19
Ibid, para 4. The draft states 0ecdes that developing country Parties should start providing the summary of information.in their national communication or
communIcatIon channel, IncludIng vIa the Web Platform of the UNFCCC, takIng Into account paragraph J above [I.e. thIs channel can also be used on a voluntary
basis], after the start of implementation of activities
20
bId.



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CDP19 In Warsaw presents a chance for the PartIes to the UNFCCC to provIde clear polIcy guIdance on
safeguards. t Is tIme to focus on theIr Importance for resultsbased fInance. The FSWC consIders that
countrIes should only be able to access resultsbased phase 3 finance if they have:

1. 0eveloped robust, partIcIpatory and transparent natIonal frameworks for safeguards ImplementatIon and
the provIsIon of InformatIon, natIonally and InternatIonally, to demonstrate that safeguards are beIng
addressed and respected;

2. ComplIed wIth theIr Cancun Agreement oblIgatIons on safeguards and Incorporated an overarchIng human
rIghtsbased approach, promotIng noncarbon benefIts as well as safeguards.

J. ProvIded InformatIon demonstratIng that countrIes have the systems In place to ensure that those
ImplementIng FE00+ actIvItIes have assessed, planned, Implemented, monItored, and (If necessary)
responded to any arIsIng challenges In relatIon to each of the UNFCCC FE00+ safeguards as well as others
defIned through natIonal processes; and,

4. FelIably demonstrated through at least one comprehensIve summary of InformatIon, revIewed by multI
stakeholders at natIonal level, that the necessary robust, partIcIpatory and transparent frameworks are In
place for safeguards ImplementatIon and InformatIon provIsIon, and that safeguards have been applIed
throughout readIness and ImplementatIon and are fully addressed and respected.
21







AsIa ndIgenous Peoples Pact (APP) AsIan ndIgenous Women's Network (AWN) Ateneo School of Covernment (ASoC)
Center for nternatIonal EnvIronmental Law (CEL) Centro |exIcano de 0erecho AmbIental (CE|0A) ClImate JustIce Programme (CJP)
0avId Shepherd WIldlIfe FoundatIon (0SWF) FederatIon of CommunIty Forestry Users, Nepal (FECDFUN) Forests of the World
Creenpeace Hu|a (AssocIatIon for CommunIty and Ecology8ased Law Feform) ndIgenous LIvelIhoods Enhancement Partners (LEPA)
The Drangutan Project (TDP) Naturvernforbundet (FrIends of the Earth Norway) Nepal FederatIon of ndIgenous NatIonalItIes (NEFN)
NCD CoalItIon for EnvIronment (NCDCE) Pro Natura (FrIends of the Earth SwItzerland) FaInforest FoundatIon Norway (FFN)
Tebtebba (ndIgenous Peoples' nternatIonal Centre for PolIcy Fesearch and EducatIon) Wetlands nternatIonal




21
FSWC, FE00+ FInance and Safeguards: 8rIefIng Paper: nformal AddItIonal SessIons of the Ad Hoc WorkIng Croups UN Framework ConventIon
on ClImate Change, 8angkok, J0 August 5 September 2012. http://www.scrIbd.com/doc/11J7J6J17/8rIefIngPaperonFE00FInanceand
Safeguards.


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Plecse contcct RE00SW6@ychoo.com ]or questons, comments cnd suyyestons.
These wll be re]erred to relevcnt workny yroup members.

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