EnABLE SOCIAL INCLUSION FRAMEWORK FOR RESULTS-BASED CLIMATE FINANCE INITIATIVES June 2025 The World Bank 1818 H Street, NW Washington, DC 20433, USA www.worldbank.org EnABLE SOCIAL INCLUSION FRAMEWORK FOR RESULTS-BASED CLIMATE FINANCE INITIATIVES Enhancing Access to Benefits while Lowering Emissions Climate Finance Mobilization Unit, World Bank This document was prepared by the EnABLE Secretariat with support from the Center for International Forestry Research and World Agroforestry (CIFOR-ICRAF). June 2025 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives ABOUT EnABLE CONTENTS Enhancing Access to Benefits while Lowering Emissions (EnABLE) is a global knowledge, operations, and technical Lists of Tables, Figures, and Boxes.................................................................................................................................................................................. 2 assistance program established in 2020 as a multidonor trust fund to promote social inclusion in the World Bank’s results-based climate finance programs. EnABLE’s core constituencies are Indigenous Peoples, traditional local .................................................................................................................................................................................................................................. 3 Acronyms. communities, and other disadvantaged and vulnerable groups, such as women and girls, children and youth, people living in poverty or with disabilities, and others, specific to individual country contexts. Glossary of Key Concepts and Terms............................................................................................................................................................................ 4 Executive Summary.............................................................................................................................................................................................................. 7 ABOUT CIFOR-ICRAF Context...................................................................................................................................................................................................................................... 11 Results-Based Climate Finance and Social Inclusion ......................................................................................................................................... 13 The Center for International Forestry Research and World Agroforestry (CIFOR-ICRAF) works at the nexus of five Background........................................................................................................................................................................................................ 13 interconnected areas where trees can make a difference: biodiversity, climate, value chains, food, and equity. Trees connect land and climate, farms and forests, economies and resilience, and people and planet. CIFOR-ICRAF connects .......................................................................................................................................................................................................... 15 Challenges. science with action, creating solutions from the ground up through inclusive partnerships, transdisciplinary research, and demand-driven innovation. Indigenous Peoples and Traditional Local Communities................................................................................................................. 16 Women................................................................................................................................................................................................................. 16 ACKNOWLEDGMENTS Key Areas for Social Inclusion in Results-Based Climate Finance Focusing on Nature-Based Solutions ......................................17 ......................................................................................................................................... 18 Area 1: Land and Resource Tenure Security. The EnABLE Social Inclusion Framework for Results-Based Climate Finance Initiatives was produced and funded by EnABLE .............................................................................................................. 26 Area 2: Governance, Participation, and Decision Making. with support from the Forest Carbon Partnership Facility (FCPF), both of which are multidonor trust funds within the World Bank’s Climate Change Finance Mobilization Management Unit (SCCFM) under its Planet Vice Presidency. The Area 3: Distribution of Benefits and Costs .......................................................................................................................................... 31 framework was developed by the EnABLE team—led by its fund manager Asyl Undeland, with keys inputs from Andrea Pape-Christiansen—in collaboration with a team from CIFOR-ICRAF—led by Anne Larson, principal scientist and team Area 4: Capacities, Knowledge, and Skills............................................................................................................................................. 37 leader for Governance, Equity, and Wellbeing, and comprising Kristen Evans, Iliana Monterroso, Kai Mausch, Pham Thu Thuy, James Reed, Ade Tamara, Arild Angelsen, Nining Liswanti, and Juan Pablo Sarmiento Barletti. Targeting and Measuring Social Inclusion...................................................................................................................................................................41 The EnABLE Secretariat gratefully acknowledges Mary Jane Banks, who masterfully edited the document and guided EnABLE’s Scale of Social Inclusion............................................................................................................................................................41 it toward publication, and Alybek Ismailov, who skillfully provided the final design and layout. EnABLE’s Social Inclusion Barometer.................................................................................................................................................... 43 ..................................................................................................................................................................................................... 45 Concluding Comments. References.............................................................................................................................................................................................................................. 46 1 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives LISTS OF TABLES, FIGURES, AND BOXES ACRONYMS Tables 1. Areas with recognized community land rights in 10 Carbon Fund countries..................................................................................... 14 BSP(s) benefit sharing plan(s) GHGs greenhouse gas emissions 2. Area 1: Land and resource tenure security for social inclusion in results-based climate finance initiatives.......................... 19 CFM community forest management IPs Indigenous Peoples 3. Area 2: Governance, participation, and decision making for social inclusion CIFOR- Center for International Forestry LCs local communities in results-based climate finance initiatives..................................................................................................................................................... 25 ICRAF Research and World Agroforestry 4. Area 3: Distribution of benefits and costs for social inclusion in results-based climate finance initiatives.......................... 31 NDCs Nationally Determined Contributions COP Conference of the Parties [UNFCCC] 5. Area 4: Capacities, knowledge, and skills for social inclusion in results-based climate finance initiatives........................... 35 NGO(s) nongovermental organization(s) CSO(s) civil society organization(s) 6. Social inclusion goals under EnABLE’s Scale of Social Inclusion............................................................................................................. 37 NTFPs nontimber forest products DGM Dedicated Grant Mechanism PES Payments for Environmental Services Figures EnABLE Enhancing Access to Benefits while 1. Challenges to participation by Indigenous Peoples and traditional local communities in results-based climate Lowering Emissions [World Bank] RBCF results-based climate finance finance initiatives.......................................................................................................................................................................................................... 11 ERP(s) emission reductions program(s) REDD+ Reducing Emissions from Deforestation 2. Four key areas for enhancing social inclusion in results-based climate finance initiatives.......................................................... 13 and forest Degradation, plus the ERPD(s) Emission Reductions Program sustainable management of forests, and 3. Types of noncarbon benefits expected to be generated by emission reductions programs in the Document(s) the conservation and enhancement of ...................................................................... 27 15 Carbon Fund countries of the World Bank’s Forest Carbon Partnership Facility. forest carbon stocks ..................................................................................................................... 40 4. Example of applying EnABLE’s Social Inclusion Barometer. FCPF Forest Carbon Partnership Facility [World Bank] SESAs strategic environmental and social assessments FGRM feedback and grievance redress Boxes mechanisms SISAP Social Inclusion Strategy and Action Plan [EnABLE] 1. EnABLE’s social inclusion framework in the context of its Social Inclusion Strategy and Action Plan (SISAP).................... 7 FPIC free, prior, and informed consent 2. EnABLE’s constituencies............................................................................................................................................................................................ 8 UNFCCC United Nations Framework Convention GAP(s) gender action plan(s) on Climate Change ............. 16 3. Impact of land and resource tenure on participation by EnABLE constituencies in emission reductions programs. 4. Reference material for assessing land tenure in results-based climate finance initiatives......................................................... 20 5. Good practices for addressing land tenure constraints in results-based climate finance initiatives....................................... 21 6. Barriers to women’s participation and decision making in community forest management.....................................................24 7. Good practices for women’s inclusion from the Dedicated Grant Mechanism in Peru.................................................................. 30 8. Lessons learned from the Social Forestry Program of the Dedicated Grant Mechanism in Indonesia: Benefits for women.................................................................................................................................................................................................... 32 9. Further guidance on social inclusion targeting............................................................................................................................................... 38 2 3 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives GLOSSARY OF KEY CONCEPTS AND TERMS EnABLE’s Scale of Social Inclusion A scale indicating progress toward social inclusion targets under climate initiatives, such as emission reductions programs; the scale begins at a baseline (Inclusion Neutral), then proceeds along the following continuum of increasingly ambitious goals: (1) Integrative- level approaches, intended to enhance constituencies’ participation in climate finance Baseline A clear picture of a situation prior to the implementation of an intervention initiatives; (2) Promotive-level approaches, designed to ensure constituencies benefit, for example, through greater knowledge and decision-making power, improved livelihoods, Benefit sharing Monetary or nonmonetary benefits resulting from reduced carbon emissions, shared and reduced poverty; and (3) Transformative-level approaches, which focus on reforming according to nationally agreed benefit sharing plans under emission reductions programs rules, structures, and power dynamics to create a foundation for fair processes and (see also benefit sharing plan) outcomes Benefit sharing plan A document elaborating arrangements for the allocation, distribution, and use of Gender A set of social, behavioral, and cultural attributes and expectations associated with being payments resulting from verified carbon emission reductions, usually also defining male or female (World Bank 2015) and describing how people identify with and refer to the processes for stakeholder consultations, implementation, allocation, and monitoring characteristics of women and men; this includes norms, practices, roles, and relationships, which have implications for women’s and men’s participation and decision making within Cancun Agreements The Cancun Agreements are a set of significant decisions by the international community society and, hence, the sets of rights and types of assets they are able to access (CGIAR to collectively and comprehensively address the long-term challenge of climate change 2021) (see also gender equality and gender equity) and to take concrete action to hasten the global response Gender equality How gender issues determine the way in which women and men relate to each other and Carbon benefits Monetary or nonmonetary goods, services, or other benefits stemming from or funded to power differences between them (World Bank 2015) with the proceeds of results-based climate finance initiatives, such as emission reductions programs (see also nonmonetary carbon benefits and noncarbon benefits) Gender equity The process of treating women and men fairly based on their respective needs, which can include specific measures to compensate for historical and structural disadvantages Carbon Fund countries The 15 Carbon Fund countries under the Forest Carbon Partnership Facility (FCPF), 14 (CGIAR 2021) of which formed the initial focus of EnABLE’s activities: Costa Rica, Côte d’Ivoire, the Democratic Republic of Congo, the Republic of Congo, the Dominican Republic, Fiji, Ghana, Indicators Information selected to measure and monitor intended changes in response to an Guatemala, Indonesia, the Lao People’s Democratic Republic, Madagascar, Mozambique, intervention either directly or via a proxy, which is very useful given that, in practice, Nepal, and Viet Nam determining accurate indicators is rare—either because the needed information is not available or approaches to measure the relevant information have not been implemented Collective action/ Coordinated action taken by a formal or informal group of people or organization to collective bargaining achieve a common goal Indigenous Peoples Individuals and collectives with distinct identities and aspirations who are often disadvantaged by traditional models of development (World Bank 2016) because they Dedicated Grant An innovative program under Climate Investment Funds intended to facilitate the effective are often among the most economically marginalized and vulnerable segments of the Mechanism participation of Indigenous Peoples and traditional local communities in the design and population and their economic, social, and legal status frequently limits their capacity to implementation of activities that reduce deforestation and forest degradation at local, defend their rights to, and interests in, land, territories, and natural and cultural resources; national, and global levels this creates barriers to their equitable access to project benefits—for example, in cases where they are not adequately consulted about the design or implementation of projects EnABLE constituencies EnABLE’s core constituencies comprise Indigenous Peoples, traditional local communities, that would profoundly affect their lives or communities, or when benefits are not devised and other marginalized or vulnerable groups—such as women and girls, children and or delivered in a culturally appropriate form youth, and people living in poverty or with disabilities—within the jurisdictions of the World Bank’s results-based climate finance programs (see also Indigenous Peoples and traditional Nationally Determined Countries’ self-defined national climate pledges under the Paris Agreement, detailing what local communities) Contributions they will do to help meet the goals of limiting the global average temperature rise to 1.5°C, adapting to climate impacts, and ensuring sufficient finance to support these efforts EnABLE’s Social Inclusion A methodological tool that utilizes the 4 strategic areas and 16 related aspects comprising Barometer EnABLE’s Social Inclusion Framework to present a visual depiction of the status of social Noncarbon benefits Benefits specific to each country’s agreements, such as improved local livelihoods, health, inclusion, along with progress toward intended goals water security, or nutrition; more transparent and effective governance structures; enhanced land tenure security; reduced exposure to the risk of disasters; and enhanced/ protected biodiversity and other ecosystem services 4 5 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Nonmonetary benefits Benefits from reduced carbon emissions under results-based climate finance initiatives, such as improved land or resource tenure security, enhanced understanding of and EXECUTIVE SUMMARY access to benefits, enhanced livelihood capacity and opportunities, and greater levels of empowerment The EnABLE Social Inclusion Framework for Results-Based Climate Finance Initiatives was devised as a key input into the Social Inclusion Strategy and Action Plan of the Enhancing Access to Benefits while Lowering Emissions (EnABLE) trust fund. The Quantitative indicators Indicators designed to capture a numerical or percentage change in a chosen framework draws on research undertaken by the scientific community through studies financed by the Forest Carbon Partnership characteristic or factor Facility, as well as interviews with practitioners and stakeholders around the world, including civil society organizations (CSOs), representatives of Indigenous Peoples (IPs) and traditional local communities (LCs), and World Bank project teams. Qualitative indicators A narrative assessment allowing specific, nuanced information to be identified about complex changes over time; such indicators are especially suited measuring highly The framework is primarily intended to function as a resource for World Bank and other practitioners involved in relevant changes in social inclusion that are not quantifiable or otherwise observable preparing, implementing, monitoring, and evaluating EnABLE programming, particularly in terms (1) of establishing a common understanding of social inclusion in the context of results-based climate finance (RBCF) and carbon crediting, Results-based climate Compensation for the achievement of agreed goals specified under climate initiatives, and (2) developing context-specific operating approaches and strategies. As such, the framework is used by the EnABLE finance including verified carbon emission reductions Secretariat and its development partners to identify priority areas and activities for resource allocation and to ascertain whether, to what extent, and how progress toward social inclusion is occurring. The framework can also be applied more Safeguards Policies and measures within climate initiatives intended to manage and avert the generally to carbon crediting initiatives beyond EnABLE and World Bank operations. potential risks and negative impacts of climate action on forest governance, the natural environment, and society while simultaneously enhancing the positive impacts Relevant experience with RBCF, and especially with emission reductions programs (ERPs), suggests the following: Social inclusion Facilitating the engagement, inclusion, and empowerment of marginalized, disadvantaged, 1. Climate change impacts are disproportionately severe for groups that are already excluded, especially IPs, LCs, and vulnerable constituencies, specifically in this case, in the context of accessing women, and young people, even though these same people often contribute substantially to climate change monetary and nonmonetary benefits associated with the World Bank’s results-based mitigation, such as through ecosystem and forest management and resource preservation. climate finance initiatives 2. Lack of inclusion can exacerbate existing inequalities, promote unsustainable land and natural resource use, and fuel conflicts. Social inclusion targeting An EnABLE methodology for assessing and determining strategies and actions to 3. The efficacy and impact of RBCF and permanence of emission reductions significantly depend on meaningful promote social inclusion in results-based climate finance initiatives engagement by affected stakeholders. Tenure security Security that an individual’s, household’s, or community’s rights to land and resources— 4. Enhanced social inclusion increases the equity and utility of RBCF programs, thereby reducing the risk of their such as water and forest products—will be recognized and protected over time; this is capture by vested interests and generating significant development outcomes for communities and societies. particularly relevant to results-based climate finance initiatives because secure tenure and 5. Locally designed social inclusion programs bolster RBCF actions to directly reach and benefit the intended recipients. rights to land and resources are often a prerequisite for accessing benefits 6. Enhanced social inclusion in ERPs ensures the necessary community buy-in for their success, and the longer-term Traditional knowledge Knowledge, heritage, and practices that define an Indigenous or local group’s worldview, sustainability of climate mitigation results. culture, identity, values, and well-being and is often also integral to their livelihoods Innovative delivery systems involving local actors need to be explored through investments in climate adaptation and Traditional local Collectives of individuals and families who share many similarities with Indigenous Peoples mitigation, and through capacity support for meaningful participation in investment decisions. By giving equal consideration communities and who (1) self-identify and are recognized by others as a distinct Indigenous social and to stakeholders’ perspectives, practices, and knowledge, State actors and development partners will facilitate the cultural group; (2) are collectively attached to distinct geographical habitats, ancestral transformation of community members from mere beneficiaries to empowered rights-holders and positive changemakers. territories, or areas of seasonal use or occupation, including the natural resources inherent to these areas; (3) have distinct cultural, economic, social, or political (“customary”) Challenges to Social Inclusion in Results-Based institutions separate from mainstream society or culture; and (4) communicate in a distinct language or dialect (these groups have different names across different countries Climate Finance Initiatives and regions, such as “Indigenous ethnic minorities,” “aboriginals,” “hill tribes,” “vulnerable and Although EnABLE’s work focuses on its core constituencies—forest-dependent IPs and LCs, including women and girls, marginalized groups,” “minority nationalities,” “scheduled tribes,” “first nations,” or “tribal children and youth, and people living in poverty or with disabilities—the approaches and strategies described and advocated groups”) (World Bank 2016) under this framework also apply to broader disadvantaged and vulnerable social groups. Nevertheless, challenges to social inclusion differ considerably across countries and communities and therefore require individually tailored solutions. Importantly, people and communities can be negatively affected not only by climate change but also by measures taken to avert and mitigate its impacts. EnABLE’s constituencies are especially vulnerable under both of these categories. 6 7 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Key Areas for Social Inclusion in Results-Based Climate Area 2: Governance, Participation, and Decision Making Finance Focusing on Nature-Based Solutions Governance, participation, and decision-making structures refer to the institutions within ERP processes and related decision making that engage CSOs, private sector agents, and communities comprising EnABLE’s constituencies in all To address barriers and pursue opportunities to enhance social inclusion in RBCF, four key areas of focus were identified based aspects and stages of initiatives. This also includes the representation and direct participation of men and women from (1) on experience with FCPF’s Readiness Fund in preparing REDD+ strategies and action plans, strategic environmental and disadvantaged and marginalized groups in decision-making bodies, consultations, and partnerships, which are often social assessments, environmental and social management frameworks, ERP documents, and gender action plans and (2) influenced by other factors, such as the knowledge, skills, and capacities of those groups. on a review of academic studies, interviews, and additional data sources (see figure below). Each of these areas has four key aspects that encompass challenges and strategies, and offer approaches for addressing them. Broad and inclusive governance structures and decision-making processes that engage stakeholders in designing, establishing, and implementing programs will ensure their buy-in and support the effectiveness and efficiency of RBCF Four key areas for enhancing social inclusion in results-based climate finance initiatives initiatives. Benefit sharing arrangements function better when they are developed, implemented, and monitored through a process that communities consider legitimate and that engages them in designing, establishing, and implementing initiatives. Across countries—and even within them—the diversity of IPs’ and LCs’ traditional governance systems is enormous. Failing to consider these differences appropriately may lessen the inclusiveness and effectiveness of emission reductions measures and even create or exacerbate conflict. The four key aspects targeted under Area 2 of the framework are (1) the ability to exercise rights, (2) active engagement, (3) transparency and accountability, and (4) respect for and consideration of Indigenous and local worldviews and value systems. Area 3: Distribution of Benefits and Costs RBCF benefits are generally classified as carbon and noncarbon benefits that can either be monetary or nonmonetary. FCPF defines monetary carbon benefits as cash payments to beneficiaries under an Emission Reductions Payment Agreement. Nonmonetary or in-kind carbon benefits are goods and services directly related to the implementation and operation of an ERP that can be objectively monitored and serve to provide recipients with direct incentives to participate in the implementation of the ERP. Noncarbon benefits are defined as other benefits produced by or associated with implementing and operating an ERP. In practice, they are mostly collective benefits. For benefits to fairly compensate past emission reduction costs and provide incentives for ongoing reductions, all stakeholders—and especially EnABLE’s constituencies—should engage in the design, implementation, and monitoring of benefit sharing arrangements. The four key aspects targeted under Area 3 of the framework are (1) a clear, fair, and agreed-upon structure of actors and shared benefits, (2) equitable and transparent mechanisms for accessing benefits, (3) engagement of constituencies in design and implementation, and (4) accurate assessment of and compensation for the real costs of impacts. Area 1: Land and Resource Tenure Security Area 4: Capacities, Knowledge, and Skills Experts suggest that IPs and LCs hold community-based tenure rights to roughly 50 percent of the global land mass, but their tenure has limited legal recognition. Forest lands managed by IPs and LCs are largely under collective and customary Increasing agency and equity among IPs, LCs, women, and other marginalized groups requires strengthening their land tenure regimes that may or may not be recognized legally, traditionally, or in RBCF initiatives. This lack of recognition capacity, knowledge, and skills. IPs also seek training in negotiating agreements, managing finances, and community- exacerbates threats from rising demand for land and other key natural resources and increases the vulnerability of IPs level monitoring and evaluation. In addition to targeting disadvantaged and marginalized groups and their formal and and LCs to such threats and associated pressures. informal organizations, reciprocal capacity building should also target implementers, CSOs, and governments to build their understanding of IPs’ worldviews; their traditional livelihoods and life plans; and their customary laws, practices, and At the same time, land tenure insecurity and legal ambiguity on land and resource rights can be key drivers of governance systems. In turn, this will contribute to further understanding of IP approaches to safeguards, standards, and deforestation while also impeding afforestation. Recognition and security of IPs’ and LCs’ land tenure are crucial to FCIP while also promoting trust, collaboration, and collective learning. their ability to access ERP payments and benefit sharing arrangements. Such rights are also crucial for strengthening Indigenous and community governance systems. The four key aspects targeted under Area 4 of the framework are (1) responsive capacity and skills development, (2) improved capacity of state and other key actors to comprehend Indigenous and local worldviews and customs, The four key aspects targeted under Area 1 of the framework are (1) recognized tenure rights/regimes, (2) secure land (3) empowered Indigenous and local capacity to engage in and benefit from initiatives, and (4) integration of local rights, (3) secure resource rights, and (4) effective mechanisms for resolving tenure disputes. and traditional knowledge. 8 9 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Targeting and Measuring Social Inclusion The overall objective of targeting and measuring social inclusion is to allow EnABLE practitioners to understand different CONTEXT levels of social inclusion and how it changes over time in response to interventions. Targeting social inclusion and gender equality with a defined baseline highlights critical gaps and bottlenecks and assists in identifying measures to reach This social inclusion framework for results-based climate finance (RBCF) initiatives—including those under REDD+ (Reducing EnABLE’s social inclusion goals. The EnABLE Scale of Social Inclusion was designed to capture the complexity of the issues Emissions from Deforestation and forest Degradation, plus the sustainable management of forests, and the conservation and involved, assist with setting goals, and provide a framework for monitoring change. The scale of inclusion is a fundamental enhancement of forest carbon stocks)—was devised as a key input into the Social Inclusion Strategy and Action Plan (SISAP) aspect of EnABLE’s approach to social inclusion while also being a central mechanism for social inclusion targeting. of the Enhancing Access to Benefits while Lowering Emissions (EnABLE) trust fund (Box 1). The framework draws on research undertaken by the scientific community through studies financed by the Forest Carbon Partnership Facility (FCPF), as well as The EnABLE scale starts at Inclusion Neutral. Social inclusion is not a consideration at this baseline level, but is interviews with practitioners and stakeholders around the world, including civil society organizations (CSOs), representatives of incorporated into the scale along a gradient of three levels that characterize proposed actions: (1) integrative-level Indigenous Peoples (IPs) and traditional local communities (LCs), and World Bank project teams. approaches to enhance participation by constituencies in RBCF activities; (2) promotive-level approaches to ensure that constituencies benefit from such processes through improved livelihoods, reduced poverty, improved knowledge of REDD+, The framework is primarily intended to function as a resource for World Bank and other practitioners involved in or increased decision-making power; and (3) transformative-level approaches that focus on reforming rules, structures, and preparing, implementing, monitoring, and evaluating EnABLE programming, particularly in terms of (1) establishing power dynamics in order to create the foundation for fair processes and outcomes. a common understanding of social inclusion in the context of RBCF and (2) developing context-specific operating approaches and strategies. As such, the framework is used by the EnABLE Secretariat and its development partners to EnABLE’s programming is intended to be based on the scale of inclusion, with goals set within each of the four identify priority areas and activities for resource allocation and to ascertain whether, to what extent, and how progress foundational areas outlined. While aiming high, programming is designed with the understanding that every country’s toward social inclusion is occurring. starting point is different, and improvement at any level is progress. The companion practitioners’ guide, Good Practices for Social Inclusion Targeting Interventions, presents step-by-step guidance to support practitioners, government partners, Although EnABLE’s work focuses on its core constituencies (Box 2), the approaches and strategies described and CSOs, and other key stakeholders in designing effective interventions for social inclusion in RBCF initiatives, including advocated in this framework also apply to broader disadvantaged and vulnerable social groups, given that challenges those financed by EnABLE and the World Bank. to social inclusion differ considerably across countries and communities and, thus, require individually tailored solutions. It should be noted that people and communities can be negatively affected not only by climate change but also by ***** measures taken to avert and mitigate its impacts (UNFCCC 2015). EnABLE’s constituencies are especially vulnerable under both of these categories. In summary, much work needs to be done to empower EnABLE’s constituencies with the capacity and technical support to allow them to participate meaningfully in and lead climate action. Equally important is addressing the barriers that hinder social inclusion while also enhancing the enabling environment. With the support of the targeted strategies presented in this framework, EnABLE teams, constituencies, implementers, and partners can facilitate the engagement of those who are and have been on the front line of natural resource conservation and protection, ultimately expanding their Box 1. EnABLE’s social inclusion framework in the context of its Social Inclusion access to benefits and mitigation outcomes. Strategy and Action Plan (SISAP) EnABLE’s SISAP defines what social inclusion means in the context of EnABLE, explains why social inclusion is essential in RBCF initiatives, and indicates how social inclusion can be enhanced and measured in EnABLE–supported programs. The SISAP includes a five-year business plan (2025–2030) focusing on the emission reductions programs of the Forest Carbon Partnership Facility’s 15 Carbon Fund countries and Pillar 1—Natural Climate Solutions—of the World Bank’s recently established umbrella trust fund, Scaling Climate Actions while Lowering Emissions (SCALE). As a core input into the SISAP, the framework is structured around four areas for action, each founded on the need to strengthen social resilience to climate extremes and natural hazards while promoting and expanding participation in climate decision making and initiatives by EnABLE’s constituencies. The framework and SISAP are based on principles articulated in EnABLE’s General Approach Framework and Operational Guidelines (World Bank 2021b) and Results Framework (World Bank 2021a). These are all considered living documents that will be updated and expanded as needed in light of experience. Source: EnABLE, World Bank. 10 11 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Box 2. EnABLE’s constituencies RESULTS-BASED CLIMATE FINANCE EnABLE’s core constituencies are Indigenous Peoples; traditional local communities; and other marginalized, disadvantaged, or vulnerable groups—such as women and girls, children and youth, and people living in poverty AND SOCIAL INCLUSION or with disabilities—within the jurisdictions of the World Bank’s results-based climate finance programs. See the Glossary of Key Concepts and Terms for more information. Background The impacts of climate change are already affecting Source: EnABLE, World Bank. people’s lives and livelihoods, especially in places where Reducing greenhouse gas (GHG) emissions is essential, poverty, weak infrastructure, or fragile ecosystems make not only for tackling climate change but also as a communities more vulnerable. Development programs powerful means of unlocking results-based financing to must therefore consider not only how to reduce emissions support sustainable development. When countries invest but also how to protect people from any unintended in low-carbon projects (for example, solar energy) or impacts of climate mitigation efforts, such as shifts pursue reforms (such as phasing out inefficient subsidies), in land use or access to resources. This is reflected in emissions are reduced compared with “business-as-usual” international frameworks: the Paris Agreement recognizes pathways. Verified emission reductions can generate that countries may be affected not only by climate change revenue through results-based payments or sales to itself but also by the actions taken in response (UNFCCC buyers seeking to meet their climate goals. This finance 2015). Reports by the Intergovernmental Panel on Climate can help countries invest in their own development Change (IPCC) have also highlighted the importance of priorities—whether expanding energy access, supporting designing responses that account for social vulnerability rural livelihoods, or protecting forests—while also and equity (IPCC 2023). contributing to global climate goals. Emission reductions may be sold or retained to help countries meet their Social inclusion in climate finance means more Nationally Determined Contributions (NDCs) under the than just participation—it means recognizing and Paris Agreement (UNFCCC 2015). addressing barriers and creating the conditions for everyone to take part in and benefit from emission The World Bank’s RBCF initiatives support countries in reductions programs (ERPs). This includes making taking this action by offering payments for verified emission sure that benefit sharing arrangements are designed reductions while also requiring these benefits to be shared transparently and through meaningful consultation so fairly. This creates a strong incentive for effectiveness and that all groups can access benefits. efficiency while also promoting social inclusion. The World Bank integrates this approach through This approach also reflects long-standing global its Environmental and Social Framework (World commitments to equity and participation in climate Bank 2016), and through country-led benefit sharing action. Under the UN Framework Convention on Climate arrangements in RBCF programs. These mechanisms Change (UNFCCC), countries have agreed that climate help make climate finance more inclusive and equitable, mitigation efforts should respect the rights of IPs and supporting development goals while driving real, lasting LCs, promote gender equality, and deliver complementary emission reductions. social and environmental benefits alongside emission reductions (UNFCCC 2011, Decision 1/CP.16). Still, barriers Relevant experience with RBCF, and especially with ERPs, remain. Disadvantaged groups—such as women, IPs, and suggests the following: other marginalized communities—often play vital roles in managing natural resources but can face structural 1. Climate change impacts are disproportionately severe obstacles that limit their ability to participate in climate for groups that are already excluded, especially IPs, LCs, programs. These challenges can include laws, social women, and young people, even though these same norms, and lack of access to decision-making processes. people often contribute substantially to climate change mitigation, such as through ecosystem and forest management and resource preservation. 12 13 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives 2. Lack of inclusion can exacerbate existing inequalities (particularly for marginalized communities and groups), Given significantly increased flows of RBCF, initial experiences of carbon finance initiatives strongly In this regard, it is important to take into account outcomes from the Global Dialogue “Enabling Indigenous Peoples and Challenges promote unsustainable land and natural resource use, suggest the need for complementary support for ERPs, Local Communities to Engage in and Benefit from Results- Addressing social inclusion in RBCF involves historical and fuel conflicts. such as through EnABLE, to promote social inclusion. Based Climate Finance,” held in San José, Costa Rica, and structural factors encompassing demographic, Furthermore, these programs need to be more closely in November 2023. In the outcome statement from the social, and economic characteristics, including age, race, 3. The efficacy and impact of RBCF and permanence of integrated into communities to enhance synergies among dialogue, the participating representatives of IPs and LCs ethnicity, gender, and class, among others. Legal systems, emission reductions significantly depend on meaningful ERP stakeholders and to facilitate their direct access to call for “commitment to a human rights–based approach to administrative procedures, cultural practices and norms, engagement by affected stakeholders. climate finance. Innovative delivery systems involving all climate financing mechanisms, including on REDD+ and historical disadvantages, and social institutions can also local actors also need to be explored, either through other carbon crediting initiatives, allowing us to fulfill our role constitute barriers that preclude certain groups from 4. Enhanced social inclusion increases the equity and utility of investments in climate adaptation and mitigation or of full partners, leaders, and owners” (World Bank 2024, 20). participating in and benefiting from RBCF processes. This RBCF programs, thereby reducing the risk of their capture through capacity support for meaningful participation They also call for greater scope for open dialogue. Strategic reality presents specific challenges to promoting social by vested interests and generating significant development in investment decisions. RBCF proposals therefore need pathways for moving forward have been incorporated from inclusion in RBCF (Figure 1). outcomes for communities and societies. to be founded on a social inclusion framework shifting the statement into the sections that follow. away from “blueprints for change” toward promoting 5. Locally designed social inclusion programs bolster RBCF genuine partnerships with marginalized stakeholders. By Figure 1. Challenges to participation by Indigenous Peoples and local communities actions—in particular through ERPs—to directly reach and giving equal consideration to stakeholders’ perspectives, in results-based climate finance initiatives benefit the intended recipients. practices, and knowledge, State actors and development partners will facilitate the transformation of community 6. Enhanced social inclusion in ERPs ensures the necessary members from mere beneficiaries to empowered rights- community buy-in for their success, and the longer-term holders and positive changemakers. Weak and undeveloped policy sustainability of climate mitigation results. and legal frameworks to protect the land and carbon rights of Indigenous Peoples, local communities, and other vulnerable groups Lack of knowledge and The need for up-front information of results-based investment and resources to payments for emission Challenges to reduce greenhouse gases reductions Participation by Indigenous Peoples and Local Communities in The need for additional Results-Based resources and unique approaches Climate Finance The time required for results to given that Indigenous Peoples and be realized and the external local communities live in remote Initiatives factors affecting the results, areas and often speak different such as fires, droughts, and languages and dialects floods The need for strong infrastructure and capacities to measure and verify greenhouse gas emissions both in terms of baseline levels and progress over time Source: EnABLE, World Bank. 14 15 Indigenous Peoples and Traditional Local Communities KEY AREAS FOR SOCIAL INCLUSION Forest-dependent IPs and LCs—accounting for about a IN RESULTS-BASED CLIMATE FINANCE quarter of the 1.6 billion people that live in and around forests—continue to face obstacles to their participation FOCUSING ON NATURE-BASED SOLUTIONS in decisions affecting their lives and livelihoods, as well as in the distribution of benefits from RBCF initiatives implemented in their territories. This problem is To address barriers and pursue opportunities to enhance frameworks (ESMFs), emission reduction program particularly important because these IPs and traditional social inclusion in RBCF, four key areas of focus were documents (ERPDs), and gender action plans (GAPs) LCs hold or claim traditional territories of up to 50 identified based (1) on experience with FCPF’s Readiness and (2) on a review of academic studies, interviews, percent of the land area in 42 surveyed countries, which Fund in preparing REDD+ strategies and action plans, and additional data sources. Each of these areas is in turn comprise about 50 percent of the world’s land strategic environmental and social assessments discussed in turn in the sections that follow (Figure 2). surface. Furthermore, almost a quarter of the carbon (SESAs), environmental and social management stored in the world’s subtropical and tropical forests is in collectively managed territories with great potential for climate change mitigation. Despite their environmental Figure 2. Four key areas for enhancing social inclusion in results-based contributions, forest-dependent IPs and traditional LCs suffer many of the effects of climate change while climate finance initiatives having done little to contribute to the problem. Women Although gender equality and climate action are indispensably linked—with women’s empowerment and rights being key components of building climate resilience—women risk exclusion from RBCF at multiple points in the process. For example, they may be denied membership and representation in decision making and governance bodies and, even if they are not denied access, they may be excluded from meaningful participation and decision making. Likewise, they may be excluded from climate actions or benefit payments. At the same time, gender inequalities—and other social conditions, such as age, marital status, or ethnicity— reproduce patterns that intersect with gender. It is important to assess how these different dimensions operate in specific country contexts and across different areas for social inclusion. The intersectionality of gender is especially important: in traditional, male-dominated societies, female members of EnABLE’s constituencies commonly face additional barriers that require specific analysis and targeting, including barriers to access, membership, and engagement. Source: EnABLE, World Bank. 16 17 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Area 1: Land and Resource Tenure Security deforestation in 9 of 15 FCPF ERPs). Recognition and Recognizing and Securing Community Rights. While security of IPs’ and LCs’ land tenure are crucial to their many countries have made important efforts to recognize ability to access ERP payments and benefit sharing IPs’ and LCs’ land rights, many have not. In addition, many arrangements, and as previously discussed, this is countries do not recognize any individual’s or community’s Experts suggest that IPs and LCs hold community-based Forest lands managed by IPs and LCs are largely under especially the case for women, who are even less likely rights in state forest areas, even if IPs or LCs have lived tenure rights to roughly 50 percent of the global land collective and customary land tenure regimes that may to hold secure land and resource rights. Such rights are there for generations. In countries that have made mass (Alden Wily 2011), but their tenure has limited legal or may not be recognized legally, traditionally, or in crucial for strengthening Indigenous and community progress in recognizing rights, the formalization process recognition (RRI 2020). For instance, in Indonesia while RBCF initiatives. This lack of recognition exacerbates governance systems (which is addressed under Area 2). has often been extremely slow and bureaucratic (Notess local communities hold 22.5 percent of the total land threats from rising demand for land and other key and others 2021). In Indonesia, for example, the goal of area, their rights are recognized on only 0.4 percent, or 0.3 natural resources; it also increases the vulnerability of Impact of Land and Resource Tenure in land titling projects is to record rather than secure rights million hectares (ha). The share of community lands not IPs and LCs to such threats and associated pressures. Social Inclusion Interventions to land. recognized for 10 FCPF Carbon Fund countries included in At the same time, land tenure insecurity and legal a Rights and Resources Initiative study (RRI 2020) ranges ambiguity on resource and land rights can be key drivers Given IPs’ and LCs’ connection to nature, secure land Unfortunately, even the recognition and formalization of from 1.5 percent in Chile to 86.7 percent in the Democratic of deforestation while also impeding afforestation and resource tenure are fundamental to their identities, rights do not necessarily result in greater tenure security. Republic of Congo (Table 1). (land tenure insecurity was identified as a key driver of livelihoods, and cultural and religious traditions. Tenure In some cases, communities trust their customary security often defines the roles IPs and LCs can play institutions more than they do the state. In other cases, in climate action, as well as their ability to access communities believe that a formal title would make the RBCF. Engaging in RBCF initiatives can also generate land easier rather than harder to steal. Formalization Table 1. Areas with recognized community land rights in 10 Carbon Fund countries noncarbon benefits related to (1) harmonizing customary may also come with restrictions on rights, such as access Area where IP, LC, and Area where IP, LC, and statutory resource tenure, (2) ensuring transparent to forest resources, which are often subject to strict AD rights are legally and AD rights are Forest areas in and accountable local forest management by traditional regulation. For instance, in Fiji, beneficiaries must have recognized not legally recognized FCPF countries authorities and government agencies, and (3) avoiding legal and confirmed rights to lease and license carbon, as Forest area elite capture (Box 3). well as unencumbered legal land rights; this has required Share of where IP, LC, establishing carbon rights regulations to allow this Country’s total land and AD rights requirement to function. total land area held Share of Share of Total are legally area by IPs, LCs, Area total land Area total land forest area recognized Country (million ha) and ADs (%) (million ha) area (%) (million ha) area (%) (million ha) (million ha) Chile 74.4 4.6 2.3 3.1 1.1 1.5 17.7 0.9 Congo, Dem. Rep. of 226.7 87.2 1.2 0.5 196.6 86.7 152.6 1.2 Congo, Rep. of 34.2 86.2 0.4 1.3 29 84.9 22.3 0 Costa Rica 5.1 22.1 0.3 6.4 0.8 15.7 2.4 0.3 Guatemala 10.7 29.8 1.8 16.6 1.4 13.3 3.7 1.6 Indonesia 181.2 22.5 0.8 0.4 40 22.1 91 0.8 Lao People’s Dem. Rep. 23.1 21.8 0 0.1 5 21.7 18.8 0 Madagascar 58.2 64.8 NA NA 37.7 64.8 12.5 NA Mozambique 78.6 38.3 20.1 25.5 10 12.7 37.9 NA Nepal 14.3 46.7 2.1 14.4 4.6 32.3 6.6 1.9 Source: RRI 2020 (extract from Table 2). Notes: EnABLE’s intial programming focused on 14 Carbon Fund countries under the World Bank’s Forest Carbon Partnership Facility (FCPF); the RRI study only included 10 of these countries. IPs = Indigenous Peoples; LCs = local communities; AD = afro-descendent (communities); NA = data were not available; and ha = hectares. 18 19 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Box 3. Impact of land and resource tenure on participation by EnABLE Tenure relations and their implications are, thus, instance, only the name of the household head appears constituencies in emission reductions programs highly context specific, and have multiple dimensions. on a land title, and ordinarily that is the husband/ For instance, lack of clarity on rights encompasses father—except in cases of women-only households (1) lack of formally recognized rights, (2) lack of the or where local practices are encouraged to promote In many countries, emission reduction rights are linked to land rights, so lack of formal collective/customary land legal documents required to demonstrate those rights discussions on rights-holding issues (RRI 2021b). In tenure can limit EnABLE constituencies’ engagement in initiatives. This includes their ability to register credits and (full title, use rights, land tax receipts, and so on), Indonesia, the ERPD indicates that the conservative receive payments, among other noncarbon and nonmonetary benefits. Proof of land ownership/rights is a criterion and (3) overlapping claims to or disputes over land. attitudes of local land office and field staff have for receiving benefits from REDD+ programs in Costa Rica, Guatemala, and Chile, for example. This challenge is particularly acute for IPs in general, discouraged women from applying to register land often because communities lack formal tenure rights titles. In Chile, women can legally obtain rights to use Importantly, lack of tenure rights can restrict participation in governance—and hence decision-making processes. In and hence the ability to demonstrate claims. In Chile, land and property, but they are mostly dependent some countries, membership in decision-making forums (networks, institutions, and so on) is based on recognition IPs are seen as facing a “double land tenure barrier” on men for ownership rights because they must have of formal land ownership or rights. Nonmembers, such as pastoralists and women without land rights, may have to participating in their ERP and obtaining benefit independent income and be sufficiently informed to the right to use a resource but not to participate in related decision making and governance. Relatedly, secure sharing plan (BSP) benefits because they must be able make decisions about land use. Even if women meet land tenure is an enabling condition for the autonomy of internal governance institutions where regimes governing to demonstrate their rights to land at the community these criteria, constraints remain regarding their ability conservation are controlled by rights-holders. level and then again as individual community to make decisions on how to spend their income. members. Stronger land and resource tenure can facilitate engagement by forest-dependent communities and hence make ERP Inadequate legal frameworks are key constraints to initiatives addressing deforestation and forest degradation more effective and sustainable. Secure land and resource Securing Women’s Land and Resource Rights. inclusive tenure security. In Ghana, the constitution tenure also provides communities with incentives to invest in climate-smart land and resource use practices that The situation is even more challenging for women endorses gender equality, but the legislative build their resilience and ability to adapt to the negative impacts of climate change. because their rights are often tied to their male framework does not take customary inequalities into relatives (husbands, fathers, and so on), and for account. Women’s rights are considered secondary Clear and secure land tenure is critical for averting conflicts among stakeholders, which can be disruptive and in some Indigenous women, rights are also tied to their status to the primary rights of their male relatives, so in cases even violent. as members of their communities. For women and cases of divorce, widowhood, and inheritance, women other marginalized groups, even in cases where rights remain vulnerable to losing any existing rights they REDD+ initiatives have components that can either help or hinder the inclusion of EnABLE constituencies. The FCPF are recognized and or regularized (meaning made may have had. For migrant women, this situation acts (2020) internal learning review noted that many IPs and LCs expected that REDD+ would advance the land tenure legal), they do not necessarily include adequate as a dual constraint because, on the one hand, they agenda as a noncarbon benefit. The key barriers to inclusion stemming from land and resource tenure relate to the representation in decision-making processes. lack rights to land through their family lineage, and on following issues: Furthermore while reforms have improved the the other, owners are reluctant to lease land to them recognition of rights, discussions of who constitutes (World Bank 2021c). In Viet Nam, common property » Lack of commitment in institutional and legal frameworks to recognize and formalize land rights, especially in rights-holders have been inadequate. In private/ is not legally recognized, yet women who have limited forested landscapes individual land rights, women may not always have land rights rely heavily on common property to meet » Lack of awareness of, and unclear, expensive, or cumbersome formalization procedures their name on the titles, even if property is jointly held. their livelihood needs. In the Lao People’s Democratic In communal tenure regimes, rights may be based on Republic (LAO PDR), the 2019 Land Law removed » Lack of enforcement of constituents’ land and resource rights “household representation” via the household head, requirements to register matrimonial property in the effectively omitting women. Community “outsiders”— names of both spouses. The marital property regimes » Prevalence of discriminatory social norms and practices such as migrants and newly married women who have in many countries are based on European laws that » Pressure/encroachment on land and resources, and conflicting and unresolved claims moved to a new community—may not receive rights limit community property in marriage to property to land and resources. For instance, in Ghana while acquired during the marriage, excluding inherited or » Lack of trust in governments on issues of tenure security by constituents land ownership is not a prerequisite for accessing ERP gifted land. Land that women do inherit is sometimes benefits (only the landowner’s permission is needed), titled in the names of their husbands because, based » Challenges to the overall governance of customary institutions, which often require capacity building and migrant women face particular challenges because on gender norms, they are considered to be in a resourcing to function properly, especially if they have been subjected to manipulation by outside actors and interests. they do not have a family lineage on the land, and better position to participate in land administration landowners are reluctant to lease land to them. procedures (World Bank 2021c). Source: EnABLE, World Bank. Women’s challenges to securing land and resource Resolving Conflicts and Disputes over Land and tenure are multidimensional and context-dependent. In Resource Tenure. Tenure conflicts, unsecured IP particular, they include discriminatory customary laws, and collective land rights, and onerous formalization inheritance practices, procedural barriers, cultural processes are common challenges in REDD+ countries. norms, and household dynamics. In Viet Nam, for In Fiji, land lease arrangements are a key constraint 20 21 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Conducting Baseline Assessments. It is important norms and practices related to constituencies’ ability to assess EnABLE constituencies’ current legal and de to access and manage land and resource rights. These facto rights and access to land and forest resources, assessments should be incorporated into SESAs and existing statutory and customary legal frameworks, other social impact assessments conducted during the obstacles in land rights regularization processes, and preparation of RBCF initiatives. Table 2. Area 1: Land and resource tenure security for social inclusion in results-based climate finance initiatives Area 1 aspects Examples of challenges for social inclusion 1.1 Recognized tenure rights/regimes. Tenure » Proof of land ownership is often a criterion for accessing and regimes and processes associated with land and receiving benefits from RBCF initiatives. Linking property resource rights, including documentation, are ownership to carbon rights can inhibit access to ERPs and recognized and considered their potential benefits, particularly for IPs, LCs, and women. » IPs and LCs may face additional hurdles if they require their rights to be recognized by both government and IP/LC authorities. 1.2 Secure land rights. Secure and recognized » Despite legal protections, women still face major barriers to access, use, and decision-making rights to land accessing, owning, and inheriting land in many countries. In are addressed and considered some countries, Women’s rights are considered secondary to the rights of their primary male relatives. In cases of divorce or the death of their spouses or fathers, women may lose the rights to their land and homes, and even become homeless. » Data on formal and informal land right are often incomplete—for example, data covering the extent to which women have formal property rights. 1.3 Secure resource rights. Secure and » In many countries, legal uncertainty persists about carbon recognized access, use, and decision-making rights; for example, Indonesia makes no distinction between rights to resources (trees, carbon, and so on) are carbon rights, forest tenure, and land tenure. addressed and considered 1.4 Effective mechanisms for resolving tenure » Conflicts over land can exacerbate the exclusion of women disputes. Approaches to land and resource tenure from land rights, especially in the case of Indigenous women. to sustainable agricultural land use and can cause disputes are properly addressed and considered conflicts and disputes. And unclear tenure security Strategies and Actions to Address Land has constrained livelihood opportunities and increased and Resource Tenure Security in Social Source: EnABLE, World Bank. hunger and food insecurity in Fiji, causing conflict Inclusion Interventions Note: RBCF = results-based climate finance; ERPs = emission reductions programs; IPs = Indigenous Peoples; LCs = local communities. between villages and private companies. In Guatemala, conflicts over land are one of the country’s oldest Four key aspects generally underpin constituencies’ structural problems. Women are excluded from land level of inclusion or exclusion in RBCF initiatives rights (which are required to receive benefits), and this based on Area 1: Land and Resource Tenure situation is further exacerbated for Indigenous women. Security (Table 2). 22 23 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives existing tenure regimes, including customary norms and to identify alternative mechanisms for recognizing forest practices. This would also include an understanding of the management rights in cases where formally documented different ways rights are documented (such as through full land rights are nonexistent. titles, use permits, tax receipts, and so on) Specific Strategies and Actions 2. Understanding EnABLE constituencies’ relationship to land and forest resource rights in the context of specific RBCF Strategies to address the security of land and resource and benefit sharing schemes, including the potential risks of tenure could be incorporated into underlying investments exclusion and opportunities for inclusion targeting emission reductions or benefit sharing arrangements. They could be supported through EnABLE 3. Reviewing country-level approaches and projects that address to enhance entitlements and promote rights-based land tenure, including EnABLE constituencies’ property rights, access with clear mechanisms for enforcement. The main given that recognition of legal tenure is a common starting strategies and actions designed to enhance land tenure point for determining the distribution of RBCF benefits security in country-specific conditions and realities have been identified and are recommended based on a review A review of FCPF analytics confirms that understanding of countries’ ERPs, BSPs, and good practices from various the specific sources of land tenure insecurity for different experiences captured in studies financed by FCPF (Box 5). groups, including women and youth, is essential for selecting appropriately tailored approaches to tackle them. See the companion guide for practitioners, Good Practices For instance, lack of title is often mentioned as one of the for Social Inclusion Targeting Interventions, which proposes most important sources of tenure insecurity, often followed strategies to address land and resource tenure security in by overlapping claims and lack of clear boundaries— RBCF initiatives, including REDD+. The key strategies relate factors that could lead to conflict over rights to the land in to supporting governments’ efforts to develop, implement, question. This analysis needs to explain how the status of and enforce land tenure policies, legislative documents, land tenure affects potential beneficiaries’ ability to access and other processes and procedures. These efforts also ERPs and BSPs so that specific measures can be identified require support for and an understanding of customary to address these barriers. The FCPF learning review (FCPF institutional arrangements and decision-making procedures, 2020) shows that many IPs and LCs expected that REDD+ including community mapping and documentation of The FCPF’s Carbon Fund countries offer general and would advance the land tenure agenda as a noncarbon customary territories, land use, and forest conditions, as Box 4. Reference material for country-specific overviews of challenges to, gaps in, benefit. Because land tenure security is not a primary well as securing community access to forests. assessing land tenure in results-based and opportunities for inclusion related to collective and purpose of ERPs or EnABLE programming, efforts need climate finance customary land and resource tenure (Box 4). Analysis of synthesis reports on collective land tenure studies and » Opportunity Assessment to Strengthen Collective deep dive studies on the associated gender considerations Box 5. Good practices for addressing land tenure constraints in results-based Land Tenure Rights in FCPF Countries: Synthesis in these countries (for example, World Bank 2021c and climate finance initiatives Report 2022) have the potential to provide a more nuanced (World Bank 2021d) picture of the issues and of the intersection of gender and land tenure in RBCF initiatives. All of these assessments Costa Rica. INDER has been working on a system of gender-responsive land titling with the National Forestry » Gender Equity in Land and Forest Tenure in REDD+ would be most useful if conducted in partnership with Financing Fund (FONAFIFO) and the Rural Development Institute to solve tenure constraints, allowing more direct Programming: Synthesis Report relevant IP, LC, and women’s organizations. payments to reach women in the forest environment. (World Bank 2021c) » Behavioral Sciences Approach to Empowering This kind of assessment could focus on the following: Ghana. Opportunities to increase direct benefits for rights-holders in Ghana’s Benefit Sharing Plan (including Women in Forest Landscape: Diagnostics Toolkit individual farmers and families occupying customary lands) encompass investments and financial mechanisms (1) (Castaneda Nunez and others 2022) 1. Assessing EnABLE constituents’ existing rights to land and to secure farm leases and physical farm capital; (2) to facilitate a robust extension service capable of supporting forest resources—including both formal legal rights and farmers in implementing best practices related to climate-safe agroforestry, and (3) to support the rehabilitation and » LandWise Law Library de facto rights exercised in practice—in order to develop a renovation of farms in order to increase productivity and resilience (RRI 2021a). (RRI, n.d.) clear understanding of (a) their access to, management of, and ability to benefit from these resources, and (b) existing Source: EnABLE, World Bank. legal and institutional frameworks and how they shape 24 25 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Area 2: Governance, Participation, and Decision Making 6. Policies on safeguards cannot protect communities 4. Discriminatory statutory social norms and practices that without addressing underlying power inequities, including constrain constituencies’ ability to engage in governance issues related to gender. 5. The negative time and cost implications associated with Barriers to Inclusion. Examples of barriers related to participation, which are often prohibitive governance, participation, and decision making that Impact of Governance, Participation, governance systems of territories and communities” affect constituencies include the following (see Box 6 6. Power imbalances that hinder dialogue, participation, and and Decision Making in Social Inclusion (World Bank 2024, 21). By recognizing rights and for a discussion of barriers facing women in community negotiation with other stakeholders bottom-up inclusion approaches, RBCF initiatives could forest management): Interventions include investments at the most local level, address Strategies and Actions to Address Governance, participation, and decision-making structures barriers to the inclusion of Indigenous women and youth, 1. Legal and procedural limits on access to decision-making Governance, Participation, and Decision refer to the institutions within ERP processes and related and ensure equitable benefit sharing. spaces, such as those that base eligibility to participate in decision making that engage CSOs, private sector agents, meetings on holding formal land rights or membership in Making in Social Inclusion Interventions and communities comprising EnABLE’s constituencies in Stakeholder Engagement and Empowerment. The forest management groups all aspects and stages of initiatives. This also includes the success and sustainability of every initiative—especially Four key aspects generally underpin constituencies’ representation and direct participation of men and women the results-based ones—depend on key stakeholders’ 2. Lack of clear policies, guidelines, and mechanisms, or their level of inclusion or exclusion in RBCF initiatives based from disadvantaged and marginalized groups in decision- levels of engagement and decision-making power at implementation, to facilitate participation and engagement on Area 2 (Table 3). making bodies, consultations, and partnerships, which are all stages. For the following key reasons, an enabling often influenced by other factors, such as the knowledge, environment is essential, as are specific mechanisms 3. Lack of alignment between statutory and traditional/ skills, and capacities of those groups. through which stakeholders can engage: Indigenous systems of governance and decision- making processes Broad and inclusive governance structures and decision- 1. The interests of important stakeholders might not be making processes that engage stakeholders in designing, considered in REDD+/RBCF processes, so they need to establishing, and implementing programs will ensure be incorporated into governance and decision-making their buy-in and support the effectiveness and efficiency spaces and processes to ensure these groups are not of RBCF initiatives. Benefit sharing arrangements neglected or negatively affected. function better when they are developed, implemented, and monitored through a process that communities 2. Lack of engagement limits support and buy-in from consider legitimate and that engages them in designing, IPs and LCs, which undermines the effectiveness and establishing, and implementing initiatives. Across sustainability of RBCF initiatives. countries—and even within them—the diversity of IPs’ and LCs’ traditional governance systems is enormous. Failing 3. Without the active engagement of IPs, LCs, and other to consider these differences appropriately may lessen marginalized and vulnerable groups, their traditional the inclusiveness and effectiveness of emission reduction knowledge, values, skills, and practices will be overlooked measures and even create or exacerbate conflict. in emission reduction measures, benefit sharing arrangements, and other RBCF interventions, putting the From the point of view of IPs and LCs (World Bank effectiveness and sustainability of these activities at risk. 2024), the priority should be not only to recognize institutional diversity and facilitate their participation 4. Poor governance and non-inclusive decision making from the design stages of initiatives but also to empower can affect the rights and power of marginalized groups their existing Indigenous and community governance to influence the distribution of benefits from RBCF systems—while also taking care not to perpetuate initiatives, thereby restricting their access. gender-biased systems. IPs and LCs suggest that the most strategic pathway is to recognize, respect, and 5. Inclusive governance and meaningful engagement of IPs, LCs, empower their self-governance systems to enable and other vulnerable groups could enhance the empowerment direct access to climate finance: “. . . REDD+ and carbon of their representative organizations and their engagement in crediting initiatives must be developed, implemented, dialogue with government on a broad array of issues. monitored, and reported in continuous consultation and negotiation with legitimate representatives and 26 27 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Box 6. Barriers to women’s participation and decision making in community Table 3. Area 2: Governance, participation, and decision making for social forest management inclusion in results-based climate finance initiatives Area 2 aspects Examples of challenges for social inclusion Community forest management (CFM) is an important approach to reducing emissions and channeling the benefits derived from RBCF initiatives. Nevertheless, inadequately designed CFM decision-making processes can exclude women, further 2.1 Ability to exercise rights. Approaches and » Constituencies are often prevented from understanding their burden their workload, and even restrict their access to benefits. As previously discussed, land ownership requirements often processes that ensure access to information rights and benefits because information is not available in determine, and typically limit, whether or not women are able to engage in CFM decision-making processes, as is noted in and awareness of rights to engage in, exercise their local languages and is often highly technical. Nepal’s Gender Action Plan (GAP) and studies on the World Bank’s Dedicated Grant Mechanism (DGM) (Canpolat and others leadership in, and benefit from RBCF initiatives » Membership in community groups/institutions where 2021). However, the challenges to women’s participation in CFM are broader. Analysis of gender transformative change decisions are made is often based on land ownership or in DGM processes provides profiles of the constraints facing female leaders in national steering committees and climate formal recognition as rights-holders. Even if constituents actions, along with their related success stories. For example, in Peru, although women were invited to express their opinions, have the right to use a resource, they can still be excluded they reportedly remained silent for fear of being reprimanded by their husbands. In Nepal, even in cases where quotas were from participating in governance (for example, nomadic set for women’s participation, women still felt that their voices were disregarded in discussions. Gender blindness in the pastoralists or women without land rights). design of activities and interventions can also fail to account for women’s interests, needs, and concerns, risking further marginalization. In Viet Nam (and likely in other countries), language barriers and the use of technical jargon restrict the 2.2 Active engagement. Rules of representation » The physical remoteness of many constituencies combined participation of ethnic minority women in local planning and decision making that may strongly affect their livelihoods. and participation in, and ownership of, governance with lack of road networks, electricity, and formal education and decision-making structures, including rules, present significant barriers to their ability to participate in Internal comparative analysis by the EnABLE Secretariat identified lack of women in leadership—and lack of and processes, and accountability mechanisms decision making. pathways for emerging leaders—across multiple scales. At the national level, women are absent in leadership (for example, FPIC and FGRM) » Safeguards, FPIC, and FGRM are often underfunded and positions in REDD+ working groups (for example, in Brazil, Cameroon, Indonesia, Peru, Tanzania, and Viet Nam). incompletely executed; IPs and LCs also lack ownership over In many customary land tenure systems, community-level governance bodies with land use authority comprise these processes. traditional leaders and household heads, the majority of whom are men. » Gender norms restrict women’s participation, as do time Whether and how women participate is often determined at the household level, so understanding household constraints based on women’s domestic, childcare, and decision-making dynamics is key for designing and implementing effective ERP activities. For instance, in Fiji, agriculture-related responsibilities. meeting or program invitations are mostly sent to men, who decide whether or not to share them with their spouses. In Madagascar, men reportedly encourage their wives to participate in resource-related community groups if they 2.3 Transparency and accountability. Access » Lack of fiscal accountability and transparency in complex perceive the potential to improve their household income (World Bank 2021c). In contrast, in Nepal and Lao PDR, it is to and ownership of information and decision bureaucratic processes, including fiscal transfers of benefits common for men to attend meetings and for women’s input to be neither requested nor considered. making, including transparency of governance from national to local levels, are common issues. at all levels and the ability to hold others Gender-based violence further restricts women’s engagement in decision making and forest-related activities. The DGM study accountable (Canpolat and others 2022a) documented how women experienced abuse by their husbands at home in response to their 2.4 Respect for and consideration of » Incorporating local knowledge and practices is crucial to participation in community discussions. Although the issue of gender-based violence is rarely mentioned in the documents Indigenous and local worldviews and value the success of initiatives, but the limited participation of IPs reviewed, strong evidence indicates that harassment and violence are key deterrents to women’s mobility, as well as their systems. Designing initiatives with respect for and LCs based on top-down processes constitutes a major willingness and ability to engage in environmental governance and climate actions (Castañeda Carney and others 2020). and understanding of IPs’ and LCs’ customs, constraint. perspectives, priorities, and decision-making Source: EnABLE, World Bank. structures » Absence of gender-disaggregated data and gender-sensitive monitoring inhibits understanding of how women contribute to and benefit from sustainable forest objectives. Strategies to address governance, participation, and decision affordable, transparent, and legitimate governance and » Safeguards, FPIC, and FGRM systems fail to incorporate local making in RBCF initiatives should include clear guidance decision-making structures—would support meaningful perspectives and worldviews. on how constituencies can participate and be represented engagement and sustainable impact. For instance, in ERP initiatives and related decision-making processes. incorporating feedback and grievance mechanisms for fair and Source: EnABLE, World Bank. These strategies could use local languages and culturally effective dispute resolution would strengthen the governance Notes: IPs = Indigenous Peoples; LCs = local communities; ERP = emission reductions program; FPIC = free, prior, and informed consent; appropriate approaches to increase constituencies’ awareness of ERP initiatives. (Detailed strategies and methodologies FGRM = feedback and grievance redress mechanisms; RBCF = results-based climate finance. and knowledge of RBCF initiatives, and how they can engage are presented in the companion guide for practitioners, Good in them. Moreover, aligning initiatives with the needs and Practices for Social Inclusion Targeting Interventions.) interests of constituencies—while also facilitating appropriate, 28 29 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Area 3: Distribution of Benefits and Costs RBCF benefits are generally classified as carbon and ERP. In practice, they are mostly collective benefits and noncarbon benefits that can either be monetary or can be categorized as (1) economic—for example, reducing nonmonetary. FCPF defines monetary carbon benefits poverty and improving livelihoods, promoting climate- as cash payments to beneficiaries under an Emission smart technologies and practices that raise productivity Reductions Payment Agreement (ERPA). Nonmonetary while reducing emissions, and diversifying income and or in-kind carbon benefits are goods and services directly employment opportunities; (2) environmental benefits—for related to the implementation and operation of an ERP example, conserving biodiversity, increasing soil fertility, that can be objectively monitored and serve to provide and preventing soil erosion; (3) benefits related to forest recipients with direct incentives to participate in the and resource management—such as improving landscape implementation of the ERP. Examples include technical and watershed management; (4) benefits related to assistance; capacity building; and inputs or investments, increasing land tenure security; (5) social benefits— such as seedlings, equipment, buildings, and so on. for example, improving health and education, and strengthening communities’ social capital; and (6) benefits Noncarbon benefits are defined as other benefits produced related to increasing gender equality (Figure 3). by or associated with implementing and operating an Figure 3. Types of noncarbon benefits expected to be generated by emission reductions RBCF governance structures should include actionable and constituencies’ existing life plans, addressing discriminatory programs in the 15 Carbon Fund countries of the World Bank’s Forest Carbon context-specific guidelines on legitimate, authoritative, and norms and practices that restrict the full membership of Partnership Facility accountable mechanisms, strategies, and processes through certain groups, and bolstering communication and leadership which different social groups can engage in benefit sharing. skills within these groups. In some cases, it will be necessary Types of noncarbon benefits mentioned These should address discriminatory norms and practices to develop or revise procedural norms for managing decision- in benefit sharing plans that prevent certain groups from being considered as full making spaces and structures, including rules determining members of decision-making structures. legitimate membership. In other cases, it may be beneficial to 60 consider quotas to ensure inclusive representation, including 57 Activities intended to strengthen governance, participation, developing representatives’ ability to engage by providing 50 and decision-making institutions could also focus on building a support network, coaching and mentoring, and multiple constituencies’ power and ability to transform underlying potential pathways to leadership positions. 40 conditions that limit their influence on institutions and processes. This could be done by employing representatives of Central to strengthening governance is transparency at all 30 33 constituencies in the initiatives (for example, IP experts, women, levels, enhancing constituencies’ abilities to exercise oversight 27 youth, and people with disabilities) and incorporating provisions and hold others accountable. This includes their participation in 20 19 18 targeting these groups, as in the case of the DGM in Indonesia. initiatives’ monitoring systems, approaches, and data collection, 10 14 14 14 In that country, the project’s gender advisor recommended a including information on social inclusion and safeguard systems. 12 9 10 8 subproject guideline not only stressing women’s participation 5 6 0 but also taking into account the “intersectionality of women’s The World Bank’s safeguard policies and Environmental experience, encouraging where possible that subprojects and Social Framework (World Bank 2016) are key Economic Environmental Forest and Land tenure Social Gender Other include widowed, low caste and other marginalized women, instruments designed to ensure stakeholder engagement resource security equality management with specific emphasis on the inclusion of Indigenous women” and IP and LC representation. In addition, a collaborative (Canpolat and others 2022b, 10). assessment of existing IP and LC governance structures would identify opportunities to align RBCF initiatives with Number of countries mentioning benefit Number of times benefit is mentioned Representation of marginalized and disadvantaged groups customary governance structures, thereby strengthening could be promoted through collective action (that is, building local buy-in and ownership, and harmonizing development Source: EnABLE, World Bank. coalitions among key partners and networks), engaging with objectives with community needs and objectives. 30 31 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Discussions about benefit sharing follow different rationales Financing Fund (FONAFIFO) will be allocated to establish the important than economic compensation. Although often not 3. For governments, benefit sharing provides a framework depending on the topics emphasized, such as legal rights, Inclusive Sustainable Development Fund, and 5 percent of evident, these costs need to be taken into account. CIFOR for embedding social equity, human development, emission reductions, stewardship, cost compensation, the net payment will be allocated to the National System of research findings (Luttrell and others 2013; Brockhaus and and sustainability objectives into investments and for facilitation, and propoor approaches (Luttrell and others Conservation Areas (SINAC) for the Green Business Fund. others 2014; CIFOR 2014; Wong and others 2019) show that maximizing development outcomes. 2013). The focus and extent of social inclusion will differ many national REDD+ stakeholders highlight the significant across marginalized groups with variable impacts on the It is important to recognize that emission reductions and costs required to implement benefit sharing mechanisms. These 4. Benefit sharing is important for “doing no harm” distribution of benefits and costs. For instance, benefit sharing benefits from their implementation come with costs, which costs include raising awareness, building capacity, channeling (mitigating social risk) and going beyond by aiming arrangements emphasizing stewardship (carbon stock–based include direct financial outlays for negotiating, implementing, funds, and arranging contracts. Donors and NGOs experienced toward “doing better” (generating additional development payments) and pro-poor rationales (equality) are likely to managing, monitoring, verifying, and enforcing RBCF in implementing REDD+ initiatives also noted that operating outcomes) both in the public and the private sectors. favor social inclusion. Similarly, a rationale emphasizing legal schemes (implementation and transaction costs), as well costs were high with low returns; they cited this factor as a rights as a guide for benefit sharing arrangements is likely to as the forgone revenues from alternative forest or land use major barrier to continuing or scaling up REDD+ schemes. 5. For local communities, benefit sharing can provide work against inclusiveness because local communities, and (opportunity costs). The first set of costs will mainly be borne empowerment and agency, strengthen institutions, particularly marginalized groups, tend to lack formalized rights by initiatives’ implementers (the government, NGO, or private As indicated by the name “benefit sharing,” the focus of build capacities, expand opportunities, ensure access to to land and forests. As an example, 2 of the FCPF Carbon company) while the opportunity costs will be borne by a more BSPs is often more on benefits. “Cost sharing” receives resources, and improve local infrastructure and services. Fund countries, Costa Rica and the Democratic Republic of diffuse set of actors within communities, including those far less attention. This focus may overlook the very Congo (DRC), have allocated funding for IPs and LCs in their whose livelihoods will be impinged upon by the associated real and often hidden costs involved, including the The main barriers for social inclusion in RBCF initiatives BSPs—in DRC’s case, without any performance requirements. policies and activities. While an ideal RBCF scheme should opportunity costs of forest conservation—that is, the related to benefits and costs include the following challenges: Moreover, DRC has allocated a guaranteed minimum of 2 fully compensate opportunity costs for all stakeholders, in income lost through the decision not to convert forest percent of benefits to IPs and LCs in nonmonetary form practice such targeting is difficult to achieve. Relatedly, most landscapes to pasture or cropland, or from reduced 1. Costs can be imposed on communities, especially IPs, through community-led projects developed and implemented BSPs focus on benefits but tend to overlook the actual costs harvesting of forest and nontimber forest products LCs, and women, when access to natural resources are by local nongovernmental organizations (NGOs). In Costa Rica, associated with implementing the initiatives. In addition, data (NTFPs). While the basic idea of results-based payments restricted or when existing restrictions are expanded Indigenous communities with recognized land titles can receive on the costs of initiatives are not always available. and PES is to compensate stakeholders for such under REDD+ initiatives. monetary benefits through payments for environmental opportunity costs, payments are often too low to cover services (PES) programs and Contracts for the Reduction of The costs referred to are not only economic but also social— the real costs or are made to groups of forest users that 2. Unrepresented interests and unmet needs of constituencies Forest Emissions (CREF). In addition, to address the needs such as the potential cost of losing Indigenous traditional may exclude individual forest users. could create conflict among stakeholders that causes of communities excluded due to lack of clear tenure, 10 practices. In many cases, social incentives, such as community certain groups to disengage from the RBCF initiative. percent of the net payment received by the National Forestry sanctioning or social norms, can be equally or even more Impact of the Distribution of Benefits and Costs in Social Inclusion 3. As carbon rights are often linked with land rights in national legislation, those without secure land rights could be Interventions excluded from ERPs and be ineligible to benefit from them. For benefits to fairly compensate past emission reduction 4. In many countries statutory and traditional/Indigenous costs and provide incentives for ongoing reductions, all systems of governance and decision making are stakeholders—and especially EnABLE’s constituencies— disconnected, which could lead to confusion and conflict. should engage in the design, implementation, and monitoring of benefit sharing arrangements. Key reasons 5. Statutory social norms and practices that discriminate include the following: against certain groups constrain the ability of those groups to engage in governance. 1. The exclusion of communities and vulnerable groups from RBCF benefits could undermine the sustainability of 6. The time and monetary costs of inclusion are not emission reductions and create a perverse incentive for considered and or properly supported. high-emitting behavior. An issue that emerged from the EnABLE Secretariat’s internal 2. Providing incentives through payments and benefits is comparative analysis and other studies (such as A2F 2021) necessary to build support for initiatives, demonstrate their is the fundamental importance of fuelwood to the livelihoods legitimacy, and incentivize further emission reductions with of women in Indigenous and local communities. Concerns related additional payments to build buy-in and perceived regarding access to forest resources were noted in seven legitimacy of programs among diverse stakeholders. countries: Chile, Costa Rica, Côte d’Ivoire, Fiji, Ghana, Lao PDR, and Mozambique. Across these countries, women—particularly 32 33 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Box 7. Good practices for women’s responsible for making household consumer decisions but are Table 4. Area 3: Distribution of benefits and costs for social inclusion in results- inclusion from the Dedicated Grant underrepresented in land-use planning and decision making, based climate finance initiatives as well as being undervalued in the forestry sector overall Mechanism in Peru (A2F 2021). The study also confirmed the key role of fuelwood Area 3 aspects Examples of challenges for social inclusion in women’s livelihoods in Ghana, primarily as collectors and The World Bank’s Dedicated Grant Mechanism (DGM) charcoal producers (A2F 2021). In Chile, firewood was selected 3.1 A clear, fair, and agreed-upon structure » People who do not have formal ownership rights or who face initiative in Peru aimed to have 50 percent of projects as the focus of value chain analysis based on its potential as a of actors and shared benefits. The definition obstacles regarding formal access to land, including poor people led by women. This level of engagement required locally produced, fossil fuel–free alternative and because illegal of the extent and types of benefits recognized and women, can potentially be excluded from the ERP benefits. strategies specifically targeting women, including extraction is one of the main drivers of forest degradation (the (whether carbon or noncarbon and for whom), and prioritizing them as grantees if they had land tenure promotion of sustainable firewood use is expected to improve the clear and fair definition of the beneficiaries » Gender dynamics can influence whether women and men or access, and proactively reaching them by helping practices). Nevertheless, barriers to women’s representation in by gender and constituency for (monetary and share equally in the impacts and benefits of RBCF initiatives. them complete grant-related forms. Methodologies the timber and energy sectors persist (Box 7). nonmonetary) carbon benefits and for noncarbon Women often bear a greater share of the impacts while also for selecting projects allocated higher scores to benefits receiving a lesser share of the benefits. subprojects that addressed gender, included women’s Globally, women actively engage in fuelwood and NTFP participation, benefited women, or were run by collection, contributing to food and income security. For 3.2 Equitable and transparent mechanisms » Efficient mechanisms for disbursing funds are crucial to women. The designated budget for 25 subprojects led these reasons, their extensive knowledge needs to be for accessing benefits. The benefit sharing ensuring that benefits reach their intended targets; often these by women in Peru was US$500,000. A gender advisor properly incorporated into decision making on land use and mechanism and corresponding procedures, such do not exist and hence have to be designed and implemented, also took part in the preparation and selection of activities related to RBCF initiatives. Introducing women as mechanisms for channeling funds, and their which requires investments in capacity and infrastructure. subproject proposals to ensure the inclusion of gender- to alternative energy-efficient technologies (for example, alignment with local priorities and circumstances » In contrast with the above point, creating new structures for sensitive approaches (Canpolat and others 2022a). improved stoves) could reduce deforestation pressure while distributing benefits, as opposed to strengthening existing ones, avoiding the need to impose more restrictions on women’s can undermine IPs’ and LCs’ existing structures of self-governance. those from poor and marginalized minority groups—are access to NTFPs. However, the introduction of alternative typically responsible for and spend substantial time gathering livelihood strategies must take the enabling contextual 3.3 Engagement of constituencies in design » Many RBCF activities are designed by institutional and and transporting fuelwood and collecting and processing conditions into account. Women’s active participation and implementation. Context-appropriate government actors outside project areas, and input from NTFPs from community forests or private lands. Women also in determining forest management measures can be engagement at various levels, from local constituencies can be rushed or occur after the fact; truly manage trees around the household (especially fruit trees), enhanced—for instance, by requiring equal or more culturally ownership to co-ownership, including direct collaborative processes across landscapes require time (typically which contributes to their family’s food security and nutrition, appropriate (gender-disaggregated) representation in access to carbon finance and scaling investment two years) and the investment of significant resources. and potentially generates income through the sale of NTFPs. discussion forums, and by delivering training to both men to communities » Many countries have not clarified how land tenure intersects and women to empower them to address gender norms. with carbon rights, and while independent carbon standards NTFPs are generally very important, but their value is often may require some recognition of customary land tenure, no not formally recorded or is inadequately considered in benefit Strategies and Actions to Address the standards currently require recognition of IP and LC carbon sharing arrangements. As a result, these crucial forest Distribution of Benefits and Costs rights (Hamrick, Myers, and Soewito 2023). products have received inadequate attention, and strategies to address restricted access under RBCF initiatives have not Four key aspects generally determine the level of inclusion 3.4 Accurate assessment of and » IPs and LCs are often considered to be beneficiaries of RBCF been prioritized because of gender gaps. This situation has or exclusion in RBCF initiatives based on Area 3 (Table 4). compensation for the real costs of impacts. initiatives rather than partners, creators, or owners; typically, negative implications for household food security, women’s Assessment and compensation for real costs, they have little direct input into the design of carbon finance time use and workloads, and women’s ability to engage To ensure that IPs, LCs, and other EnABLE constituencies including opportunity costs, transaction costs, or mechanisms or engagement with investors. in RBCF activities. It also increases the risk of conflict and are able to access benefits derived from RBCF activities, other hidden costs (to constituencies) linked to implementation, loss of access to land, increased » Traditional divisions of labor (with women undertaking exacerbates the socioeconomic vulnerabilities of already practical and robust methodologies and procedures need to labor, and changing livelihoods, for all and for childcare, domestic tasks, nontimber forest production and marginalized groups. This is likely also true for other forest be developed to document and assess their contributions specific groups within villages firewood collection, and agriculture-related tasks) mean that resources that women disproportionately depend on, including to forest conservation in RBCF schemes and to promote women’s contributions, despite being significant, are typically charcoal production and wood materials for housing. government policies and legislation that explicitly recognize informal and unpaid (unrecognized). Similarly, women’s their rights to carbon. Implementers of ERPs should ensure roles as caregivers are not considered. RBCF initiatives RBCF initiatives that introduce restrictions on forest reserves, that mechanisms for accessing benefits are clear, feasible, can overburden women’s existing workloads while those limiting access to fuelwood and NTFPs, are therefore a major and fair, which may require the establishment of dedicated workloads also limit their ability to access benefits. concern for women and run the risk of negatively affecting funds/allocations to projects run by recipient IPs. Payment household welfare. Analysis of low-carbon value chains in criteria and directions should address community actors’ Source: EnABLE, World Bank. Mozambique noted that women were the primary collectors of main priorities, and implementation should be built on Notes: ERP = emission reductions program; IPs = Indigenous Peoples; LC = local communities; RBCF = results-based climate finance. biomass fuels for cooking (A2F 2021). Women are typically also strong community participation. 34 35 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives When designing ERPs, practitioners need to ensure that Strategies to address benefit and cost distribution in RBCF Area 4: Capacities, Knowledge, and Skills payment criteria and systems and processes for channeling initiatives should begin from an understanding of how funds reflect communities’ main priorities and that agreed benefit sharing arrangements have been designed, what procedures for community participation are applied across types of benefits are expected, who can access them, all stages of initiatives. Since governments mainly drive and how and who among EnABLE’s constituencies could Increasing agency and equity among women, IPs, LCs, Impact of Knowledge, Skills, and emission reduction initiatives and play a strong role at the experience difficulties in participating and accessing such and other marginalized groups requires strengthening outset, responsibility should be progressively transferred to benefits. In addition, it is important to identify whether the their capacity, knowledge, and skills. IPs also seek training Capacity Building in Social Inclusion communities as their capacity to engage in and manage timing, duration, and consistency of benefits align with in negotiating agreements, managing finances, and Interventions initiatives improves. With increasing focus on the integrity the sustainability of proposed goals. The understanding community-level monitoring and evaluation. In addition of emission reductions and carbon credits, the meaningful should include assessing the opportunity costs, including to targeting disadvantaged and marginalized groups Promoting and supporting learning is necessary to build participation of all stakeholders—especially marginalized hidden costs, of the emission reduction actions, such and their formal and informal organizations, reciprocal understanding and trust and to advance partnerships and vulnerable groups—is crucial. as limitations on local forest use mainly for subsistence capacity building should also target implementers, CSOs, among stakeholders. Lack of information and knowledge consumption, which is often not considered or included in and governments to build their understanding of IPs’ about RBCF initiatives inhibits participation by IPs, Carbon markets and finance instruments—including incentive, official income or livelihoods statistics (restricting access worldviews; their traditional livelihoods and life plans; and LCs, and other vulnerable groups, and especially the payment, and reward structures—need to incorporate to such forest use is part of the opportunity costs of their customary laws, practices, and governance systems. women within these groups. Disseminating information measures to address barriers that constrain EnABLE’s conservation and needs to be included under both a “cost In turn, this will contribute to further understanding of IP and promoting learning can encourage participation by constituencies from engaging in decision-making processes. compensation” and a “pro-poor” rationale). approaches to safeguards, standards, and FPIC while also creating spaces for sharing experiences and knowledge Such processes need to begin with an analysis of gender and promoting trust, collaboration, and collective learning. and by overcoming barriers that deter women and other inclusion to provide an understanding of the specific contexts, For gender equality considerations, it is important needs, and interests of all stakeholders. Such strategies might to understand inequalities in a local context, and an include earmarking a share of RBCF funds for initiatives or assessment should include the review of the occurrence of projects that promote social inclusion or that implement gender-based violence in the forestry and land-use sector GAPs. Supporting initiatives at the onset that strengthen to understand how RBCF activities may be affecting both. governance capacities to generate GHG emission reductions It is also important to factor in the benefits and costs of and allocating resources to clearly define and secure the household care economy and design strategies that constituencies’ rights to resources are necessary preconditions address the constraints identified (Box 8). to ensure that IPs, LCs, and vulnerable groups can engage meaningfully in and benefit from carbon markets. Box 8. Lessons learned from the Social Forestry Program of the Dedicated Grant Mechanism Indonesia: Benefits for women The DGM Indonesia Social Forestry Program has had an impact not only on household income but also on gender relations within households. As a result of the income-generating projects targeted toward women, men within households became more supportive toward their spouses, helping them process forest products and acknowledging the important roles women play in improving livelihoods within their communities and households. Men would help with cleaning and childcare while decision making on household issues would be made together. Women reported that they were more likely to discuss their opinions with their husbands. The Social Forestry program—and the training that it brought—also empowered women by creating opportunities for them to organize and share knowledge. They were encouraged to form a chat group to share and discuss forest products or planting. Strengthening women’s collective action was not an initial goal of the project, but it was an outcome. The program provides an example of how strategies can generate outcomes across dimensions. Source: Canpolat and others 2022b. 36 37 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives vulnerable and disadvantaged groups from contributing. This may stem from women’s reluctance to contribute in the Table 5. Area 4: Capacities, knowledge, and skills for social inclusion in results- Raising awareness and strengthening capacities and skills presence of men; men’s perception that it is not important for based climate finance initiatives on RBCF operations also reduce the risk of elite capture women to be informed; or that the information and training due to power, knowledge, information, and resource are targeted to male household heads and hence exclude Entry point aspects Examples of challenges for social inclusion imbalances. It is also crucial that the traditional ecological female household heads. In Indonesia, for instance, support for knowledge and practices of Indigenous and traditional extension services and training is often only provided to men, 4.1 Responsive capacity and skills development. » In many countries, higher illiteracy rates among IPs, local communities be preserved and promoted as valued while in Nepal, women are usually not informed about forest- An approach to capacity building that responds LCs, and women affect their participation in decision- inputs into climate adaptation and mitigation initiatives related training programs. In Ghana, despite equal provision of to diverse local priorities and needs, and embraces making programs. that strengthen climate resilience while ensuring that agricultural inputs for men and women, an imbalance remains mechanisms for inclusive learning, such as participatory monitoring » Women often disproportionately lack access to information resources are not overharvested. in access to technical assistance and training. and knowledge about natural resource management, credit, loans, initiatives, and interventions. Barriers to social inclusion in RBCF initiatives related to Traditional gender norms may also constrain certain lack of knowledge, skills, and capacity include the following groups from accessing information or participating in 4.2 Improved capacity of state and other key » Capacity building is often one-way and top-down, types of challenges: training activities. Social norms that define domestic actors to comprehend Indigenous and local ignoring gaps in capacity among government actors and duties and childcare as women’s responsibilities further worldviews and customs. The capacity, tools, and implementing partners. 1. The complex and technical aspects of RBCF (and REDD+) impede women’s participation in training, especially when skills necessary to understand and engage with constituencies’ needs, including training to sensitize » Government actors and relevant partners often lack could inhibit engagement by EnABLE constituencies or training is scheduled at inconvenient times for women state actors regarding engaging with IPs and LCs understanding and support for IPs’ and LCs’ worldviews, life hinder their ability to participate effectively. based on their other commitments. Even if training is and how to collaboratively develop and implement plans, traditional governance systems, and customary laws “open” to both men and women, they are unlikely to safeguards and FPIC and practices. 2. Lack of culturally appropriate channels of communication be effective in imparting knowledge and skills unless and training in local languages or utilizing visual media underlying challenges—such as childcare responsibilities; » Capacity and resource gaps impede collaborative present a significant barrier to constituencies’ ability to timing, location, and safety considerations; and gender- implementation of safeguards and FPIC with IPs and LCs. develop knowledge, skills, and capacities. based cultural norms—are addressed. 4.3 Empowered Indigenous and local capacity to » Women’s lack of exposure to public speaking, particularly 3. Lack of awareness about, understanding of, or trust in For knowledge dissemination and training to be effective, engage in and benefit from initiatives. Enhanced in mixed gender settings, often acts as a cultural barrier to the potential to benefit from RBCF initiatives can deter it needs to be clear and relevant, incorporate visual media, community governance and negotiating capacity, engagement. target constituencies from participating. and be provided in local dialects or using an interpreter. including access to financial mechanisms and governance as well as capacities for changing » IPs and LCs are not considered equal partners in RBCF and More specific training with themes tailored to the needs are not supported with the necessary skills and resources 4. Lack of understanding and consideration of cross-cultural of specific groups—for instance, leadership training for livelihoods to directly engage and negotiate with carbon finance differences and diverse knowledge and value systems can women—have been helpful in overcoming sociopolitical partners. present significant barriers (mismatches between Indigenous barriers, as was shown in the DGM subprojects in Ghana and technical/academic knowledge are common). (Canpolat and others 2021). 4.4 Integration of local and traditional » Project interventions often do not take into account knowledge. An approach that respects, recognizes, traditional knowledge and practices of vulnerable groups, It is necessary to address knowledge gaps and the lack Strategies and Actions to Address and integrates local and traditional knowledge especially women, which potentially limits these groups’ is recognized and meaningfully incorporated access to forest resources. of specialized skills and capacities at both national and Capacities, Knowledge, and Skills in into RBCF processes, from the design stage to local levels. At the national level, it is critical to develop the capacities of implementing agencies and other Social Inclusion Interventions implementation and monitoring » Gendered perspectives need further integration into existing information systems, especially those involving forests stakeholders to mainstream gender and social inclusion Four key aspects generally determine the level of inclusion and forest resources, because women often hold more issues, including safeguards, and to appoint staff or exclusion in RBCF initiatives based on Area 4 (Table 5). knowledge of nontimber forest products than do men. members specializing in gender issues within ministries of environment, forestry agencies, and REDD+ agencies, as Transformative strategies related to knowledge Source: EnABLE, World Bank. well as for different stakeholders. and capacity development identify discourse and Notes: ERP = emission reductions program; IPs = Indigenous Peoples; LCs = local communities; RBCF = results-based climate finance; narratives that undermine potential constituencies’ FPIC = free, prior, and informed consent. At the local level, developing skills and awareness on technical full engagement in RBCF initiatives; moreover, issues and ensuring training activities are organized in local such strategies strive to change these narratives languages are important factors to encourage the inclusion by engaging all stakeholders and collaboratively of women. Women’s access to knowledge and information reimagining social and institutional attitudes, may be limited in certain contexts by the dominance of men structures, and biases. Capacity development promotes in discussions of technical issues (Canpolat and others 2022a). collaboration and collective learning, and targets 38 39 agents of change, including marginalized groups, CSOs, and government. Strategies are tailored to incorporate TARGETING AND MEASURING the types of information being disseminated as well as recognition of different forms of knowledge (including SOCIAL INCLUSION Indigenous knowledge) and how such knowledge affects RBCF interventions. In order to assess the broader impact of EnABLE’s purpose is to establish common ground among EnABLE’s Strategies that aim to improve knowledge, capacities, and programming, a baseline needs to be determined to diverse country programs by defining key concepts and skills should be based on social assessments, including facilitate the targeting of social inclusion and gender shared approaches to facilitate information sharing and gap and needs assessments. They should clarify the type equality actions in different contexts, along with the learning across countries and regions. of information to be disseminated, and the channels tracking of goals and achievements. The overall objective and formats to be used. They should also recognize of targeting and measuring social inclusion is to allow EnABLE’s Scale of Social the different forms of knowledge various social groups offer based on how they use forest resources. Proposed EnABLE practitioners to understand different levels of social inclusion and how it changes over time in response Inclusion strategies and actions depend on the local context but to interventions. Targeting social inclusion and gender The EnABLE Scale of Social Inclusion was designed to could include the following: equality with a defined baseline highlights critical gaps and capture the complexity of the issues involved, assist with bottlenecks and assists in identifying measures to reach setting goals, and provide a framework for monitoring 1. Developing national and subnational institutional EnABLE’s social inclusion goals. change. The scale of inclusion is a fundamental aspect of capacity by establishing formal structures, including EnABLE’s approach to social inclusion as well as a central gender policies, strategies, terms of reference, and EnABLE’s Social Inclusion Targeting Methodology links mechanism for social inclusion targeting (Table 6). budgets that clearly define human and financial resources to the EnABLE Results Framework and provides a set of country-level indicators intended to contribute to EnABLE’s The EnABLE scale starts at Inclusion Neutral, which 2. Conducting capacity needs assessments (during development objective indicators while also providing a indicates that an intervention or activity employs various stakeholder or gender analyses), including identifying framework indicating potential barriers to inclusion. The safeguard instruments and approaches aligned with the knowledge gaps and needs for capacity building among the groups involved (CGIAR 2023)1 Table 6. Social inclusion goals under EnABLE’s Scale of Social Inclusion 3. Ensuring that enabling environments support developing RISK MITIGATION REACH BENEFIT EMPOWER women’s advocacy and organizational capacities and skills, 0. Inclusion 1. Integrative-level 2. Promotive-level 3. Transformative-level and strengthening collaboration with women’s organizations neutral approaches approaches approaches in arranging training and meetings with local women ERPs and interventions ERPs and interventions ERPs and interventions EnABLE constituencies align with the World Bank’s reach EnABLE promote opportunities, are empowered with the 4. Ensuring that training is gender-sensitive by scheduling (2016) Environmental and constituencies, focusing on abilities, and spaces for ability and resources to events at locations and times that are convenient for women Social Framework and enhanced participation. EnABLE constituencies, transform unjust and employ safeguards to including their decision unequal relations and 5. Ensuring that approaches to learning build knowledge mitigate and manage risks making, which in turn structures into actions management systems and structures at different levels, accordingly. increases their access that lead to fair and with clear audiences, strategies, mechanisms, and resources to carbon finance equitable outcomes in in place to promote collaboration and collective learning mechanisms through ERP processes, and the their access to emission transformation of those 6. Developing skills among implementers to ensure they reduction measures, discriminative relations and can engage effectively with constituencies in reciprocal payments, rewards, and structures. learning with understanding and appreciation of IPs’ and investments (benefits). LCs’ worldviews, values, and unique knowledge Source: EnABLE, World Bank. Notes: The scale is adapted from the reach, benefit, empower, transform framework of Quisumbing and others (2022), drawing on approaches focusing on social inclusion (World Bank 2013), justice (Fraser 2009), transformative change (Atmadja and others 2021), safeguards (Arhin 2014; Lofts and others 1 Tools for gender analysis are available at 2021), benefit sharing mechanisms (Wong and others 2016), and participation (Agarwal 2001; Cornwall 2008). ERP = emission reductions program. https://gender.cgiar.org/tools-methods-manuals. 40 41 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives World Bank’s Environmental and Social Framework (World Bank 2016), standards, and safeguard policies to mitigate designing effective interventions for social inclusion in RBCF initiatives, including those financed by EnABLE and the The additional information provided in the companion guide focuses on the following issues: EnABLE’s Social Inclusion and manage risks. Social inclusion is not a consideration World Bank (Box 9). Barometer at this baseline level, however. It is incorporated into the 1. The key constraints to achieving social inclusion scale along a gradient of three levels that characterize Social inclusion targeting can be used for the following A further tool, EnABLE’s Social Inclusion Barometer, proposed actions: (1) integrative-level approaches to enhance purposes: 2. The most binding constraints to reaching intended draws on the four strategic areas and 16 related aspects participation by constituencies in RBCF activities; (2) program targets and the priorities that could result previously discussed to provide a visual representation of promotive-level approaches to ensure that constituencies 1. To assess a country’s social inclusion context prior to an the starting point for social inclusion, as well as progress benefit from such processes through improved livelihoods, RBCF initiative 3. How change is likely to occur, and how EnABLE can toward intended goals. This facilitates fit-for-purpose reduced poverty, improved knowledge of REDD+, or contribute to that change adaptations based on quantitative indicators that increased decision-making power; and (3) transformative- 2. To generate inputs for EnABLE’s country proposals by measure whether strategies and actions are in place or level approaches that focus on reforming rules, structures, guiding the selection of actions 4. The strategies needed to generate change in progress. The barometer also provides an indication of and power dynamics to create the foundation for fair gaps, and hence areas that need strengthening. processes and outcomes. EnABLE’s goals are to facilitate 3. To enhance the design of EnABLE’s programming by 5. Realistic goals and targets social inclusion among its constituencies at the highest level providing a framework for analysis This method can be used by practitioners, EnABLE’s possible; levels 2 and 3 are therefore emphasized depending 6. Components that need to be monitored to assess country teams, and key stakeholders to assess progress on the specific context, available resources, and other 4. To evaluate RBCF documentation to understand whether, progress and facilitate learning toward social inclusion goals in ERPs. This can be done factors. EnABLE’s programming is intended to be based on how, and to what extent social inclusion is being addressed using document reviews, participatory evaluations, or a the scale of inclusion, with goals set within each of the four 7. Whether targets are sufficiently ambitious combination of both. As an example, an assessment of foundational areas outlined in this document. EnABLE’s 5. To monitor and evaluate improvements in social inclusion results for Guatemala indicates important progress across programs are encouraged to aim high but recognize that and learn from past lessons of implementation all four domains of social inclusion despite the country’s every country’s starting point is different, and improvement existing constraints and challenges (Figure 4). The results at any level is progress. The companion practitioners’ guide, 6. To compare progress toward achieving social inclusion therefore support the government’s existing strategies Good Practices for Social Inclusion Targeting Interventions, goals over time and across countries while also allowing future priorities to be identified to presents step-by-step guidance to support practitioners, strengthen progress even further. government partners, CSOs, and other key stakeholders in Box 9. Further guidance on social inclusion targeting The companion guide Good Practices for Social Inclusion Targeting Interventions presents a methodology intended to support World Bank project teams, government partners, CSOs, and other key stakeholders in designing effective social inclusion activities for EnABLE–funded programs. The methodology provides step-by-step guidance through a three-stage iterative, learning-centered approach: (1) identifying and analyzing constraints to social inclusion in RBCF operations, (2) designing strategies and actions to address the constraints EnABLE constituencies face in accessing ERP benefits, and (3) selecting indicators and approaches to monitor progress toward greater levels of inclusion and benefit sharing. The methodology includes practical examples of relevant actions and indicators that can be assessed, prioritized, and selected. In addition, social inclusion targeting tables provide analytical frameworks for understanding key aspects of the four areas for social inclusion and identifying goals, strategies, actions, and indicators along a Scale of Social Inclusion. This tool synthesizes country-level social inclusion actions, strategies, and indicators applicable to many contexts in the 15 Carbon Fund countries. Source: EnABLE, World Bank. 42 43 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives Figure 4. Example of applying EnABLE’s Social Inclusion Barometer CONCLUDING COMMENTS Effective tenure dispute mechanism Ability to exercise rights Secure resource rights Active engagement Advancing and enhancing social inclusion in climate is addressing the barriers that hinder social inclusion while finance initiatives is critical (1) to ensure the also enhancing the enabling environment. engagement of those who are and have been on the front line of natural resource conservation and To this end, the goal of the framework presented in this Transparency and protection, and (2) to facilitate their access to benefits. document and its companion guide is to provide EnABLE Secure land rights accountability Much work needs to be done to empower EnABLE’s teams, constituencies, implementers, and partners with constituencies with the capacity and technical support a shared understanding of social inclusion in the context to allow them to fully and meaningfully participate in of RBCF and, importantly, how to effectively assess, Recognized and lead climate action. Equally important target, and facilitate it. tenure rights and Incorporation of regimes Indigenous value systems Agreed structure Responsive of actors and capacity benefits development Equitable Comprehension of mechanisms for Indigenous world views accessing benefits and culture Engagement in design Empowered Indigenous and and implementation local community capacities Compensation for Integration of traditional real costs knowledge Risk Mitigation Reach No, little to no progress, not in place Neutral level Integrative-level of inclusion approach to inclusion Somewhat, some progress, not fully in place Benefit Empower Yes, implemented, in place Promotive-level Transformative-level approach to inclusion approach to inclusion Source: EnABLE, World Bank. Note: This example is based on an assessment of Guatemala’s emission reductions program and presents a scorecard approach, involving periodic assessments of progress toward goals along the scale of inclusion. 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PHOTO CREDITS Cover Pixabay Page 27 World Bank Page 12 World Bank Page 30 World Bank Page 14 Unsplash Page 32 World Bank Page 16 Unsplash Page 37 Unsplash Page 19 World Bank Page 40 Unsplash Page 22 CIFOR-ICRAF/World Bank Page 43 Pexels Page 24 Unsplash Page 45 World Bank 48 49 EnABLE Social Inclusion Framework for Results-Based Climate Finanace Initiatives 50 GOOD PRACTICES FOR SOCIAL INCLUSION TARGETING INTERVENTIONS Companion Guide to the EnABLE Social Inclusion Framework for Results-Based Climate Finance Initiatives June 2025 The World Bank 1818 H Street, NW Washington, DC 20433, USA www.worldbank.org 2 3 GOOD PRACTICES FOR SOCIAL INCLUSION TARGETING INTERVENTIONS Companion Guide to the EnABLE Social Inclusion Framework for Results-Based Climate Finance Initiatives Enhancing Access to Benefits while Lowering Emissions Climate Finance Mobilization Unit, World Bank This document was prepared by the EnABLE Secretariat with support from the Center for International Forestry Research and World Agroforestry (CIFOR-ICRAF). June 2025 Good Practices for Social Inclusion Targeting Interventions ABOUT EnABLE CONTENTS Enhancing Access to Benefits while Lowering Emissions (EnABLE) is a global knowledge, operations, and technical Lists of Tables, Figures, and Boxes............................................................................................................................................... 2 assistance program established in 2020 as a multidonor trust fund to promote social inclusion in the World Bank’s results-based climate finance programs. EnABLE’s core constituencies are Indigenous Peoples, traditional local ............................................................................................................................................................................................... 3 Acronyms. communities, and other disadvantaged and vulnerable groups, such as women and girls, children and youth, people living in poverty or with disabilities, and others, specific to individual country contexts. Glossary of Key Concepts and Terms......................................................................................................................................... 4 Context.................................................................................................................................................................................................... 7 ABOUT CIFOR-ICRAF Social Inclusion Targeting................................................................................................................................................................. 8 Stage 1: Analysis . ................................................................................................................................................................. 9 The Center for International Forestry Research and World Agroforestry (CIFOR-ICRAF) works at the nexus of five interconnected areas where trees can make a difference: Biodiversity, Climate, Value chains, Food, and Equity. Trees ................................................................................................................................... 10 Stage 2: Strategies and Actions. connect land and climate, farms and forests, economies and resilience, and people and planet. CIFOR-ICRAF connects science with action, creating solutions from the ground up through inclusive partnerships, transdisciplinary research, and Stage 3: Monitoring............................................................................................................................................................. 11 demand-driven innovation. ................................................................................................................... 12 EnABLE's Social Inclusion Targeting Strategies. ACKNOWLEDGMENTS ..................................................................................................................................................................... 34 Sharing and Learning. ........................................................................................................................ 34 Approaches to Sharing and Learning. EnABLE’s Social Inclusion Barometer........................................................................................................................ 34 Good Practices for Social Inclusion Targeting Interventions was produced and funded by EnABLE with support from the Forest Carbon Partnership Facility (FCPF), both of which are multidonor trust funds within the World Bank’s Climate Change ................................................................................................................................................................... 34 Sample Results. Finance Mobilization Management Unit (SCCFM) under its Planet Vice Presidency. The framework was developed by the EnABLE team—led by its fund manager Asyl Undeland, with keys inputs from Andrea Pape-Christiansen—in collaboration Considerations to Inform the Selection of Indicators.......................................................................................... 34 with a team from CIFOR-ICRAF—led by Anne Larson, principal scientist and team leader for Governance, Equity, and Wellbeing, and comprising Kristen Evans, Iliana Monterroso, Kai Mausch, Pham Thu Thuy, James Reed, Ade Tamara, Arild Collecting and Analyzing Data....................................................................................................................................... 37 Angelsen, Nining Liswanti, and Juan Pablo Sarmiento Barletti. Participatory Monitoring................................................................................................................................................. 38 The EnABLE Secretariat gratefully acknowledges Mary Jane Banks, who masterfully edited the document and guided it toward publication, and Alybek Ismailov, who skillfully provided the final design and layout. ......................................................................................................................................................................................... 39 Case Study. Country Context................................................................................................................................................................. 39 Overview of Results-Based Climate Finance Activities in Guatemala......................................................... 39 ..................................................................... 40 Target Groups/Beneficiaries in FCPF Social Inclusion Activities. Assessment of Guatemala’s Benefit Sharing Plan.................................................................................................41 ......................................................................................................................................41 Synthesis of Relevant Findings. References........................................................................................................................................................................................... 43 1 Good Practices for Social Inclusion Targeting Interventions LISTS OF TABLES, FIGURES, AND BOXES ACRONYMS Tables BSP(s) benefit sharing plan(s) MCEES Mechanism for Compensation of 1. Goals, actions, and indicators for Area 1 by aspect...................................................................................................................................... 12 Ecosystem and Environmental Services CSO(s) civil society organization(s) (Guatemala) ..................................................................................................................................... 18 2. Goals, actions, and indicators for Area 2 by aspect. DGM Dedicated Grant Mechanism NGO(s) nongovernmental organization(s) .....................................................................................................................................24 3. Goals, actions, and indicators for Area 3 by aspect. EnABLE Enhancing Access to Benefits while PES payments for environmental services .................................................................................................................................... 30 4. Goals, actions, and indicators for Area 4 by aspect. Lowering Emissions [World Bank] PINPEP Forest Incentives Program for 5. Example of results for a specific constraint using EnABLE’s Social Inclusion Targeting Strategies........................................ 36 ERP(s) emission reductions program(s) Smallholders (Guatemala) FCPF Forest Carbon Partnership Facility RBCF results-based climate finance [World Bank] REDD+ Reducing Emissions from Deforestation Figures GAP(s) gender action plan(s) and Forest Degradation, plus the sustainable management of forests, and 1. The three stages of social inclusion targeting................................................................................................................................................... 8 HIA Hotspot Intervention Area the conservation and enhancement of forest carbon stocks 2. Example of applying EnABLE’s Social Inclusion Barometer. ..................................................................................................................... 35 IPs Indigenous Peoples SESAs strategic environmental and social LCs local communities assessments Boxes SIGAP Guatemalan Protected Areas System 1. What makes a good quantitative indicator?................................................................................................................................................... 37 2. What makes a good gender indicator?.............................................................................................................................................................. 37 3. Participatory monitoring approaches................................................................................................................................................................ 38 2 3 Good Practices for Social Inclusion Targeting Interventions GLOSSARY OF KEY CONCEPTS AND TERMS EnABLE’s Social Inclusion Scale A scale indicating progress toward social inclusion targets under climate initiatives, such as emission reductions programs; the scale begins at a baseline (Inclusion Neutral), then proceeds along the following continuum of increasingly ambitious goals: (1) Integrative- level approaches, intended to enhance constituencies’ participation in climate finance Baseline A clear picture of a situation prior to the implementation of an intervention initiatives; (2) Promotive-level approaches, designed to ensure constituencies benefit, for example, through greater knowledge and decision-making power, improved livelihoods, Benefit sharing Monetary or nonmonetary benefits resulting from reduced carbon emissions, shared and reduced poverty; and (3) Transformative-level approaches, which focus on reforming according to nationally agreed benefit sharing plans under emission reductions programs rules, structures, and power dynamics to create a foundation for fair processes and (see also benefit sharing plan) outcomes Benefit sharing plan A document elaborating arrangements for the allocation, distribution, and use of Gender A set of social, behavioral, and cultural attributes and expectations associated with being payments resulting from verified carbon emission reductions, usually also defining male or female (World Bank 2015) and describing how people identify with and refer to the processes for stakeholder consultations, implementation, allocation, and monitoring characteristics of women and men; this includes norms, practices, roles, and relationships, which have implications for women’s and men’s participation and decision making within Cancun Agreements The Cancun Agreements are a set of significant decisions by the international community society and, hence, the sets of rights and types of assets they are able to access (CGIAR to collectively and comprehensively address the long-term challenge of climate change 2021) (see also gender equality and gender equity) and to take concrete action to hasten the global response Gender equality How gender issues determine the way in which women and men relate to each other and Carbon benefits Monetary or nonmonetary goods, services, or other benefits stemming from or funded to power differences between them (World Bank 2015) with the proceeds of results-based climate finance initiatives, such as emission reductions programs (see also nonmonetary carbon benefits and noncarbon benefits) Gender equity The process of treating women and men fairly based on their respective needs, which can include specific measures to compensate for historical and structural disadvantages Carbon Fund countries The 15 Carbon Fund countries under the Forest Carbon Partnership Facility (FCFP), 14 (CGIAR 2021) of which formed the initial focus of EnABLE’s activities: Costa Rica, Côte d’Ivoire, the Democratic Republic of Congo, the Republic of Congo, the Dominican Republic, Fiji, Ghana, Indicators Information selected to measure and monitor intended changes in response to an Guatemala, Indonesia, the Lao Peoples Democratic Republic, Madagascar, Mozambique, intervention either directly or via a proxy, which is very useful given that, in practice, Nepal, and Viet Nam determining accurate indicators is rare—either because the needed information is not available or approaches to measure the relevant information have not been implemented Collective action/ Coordinated action taken by a formal or informal group of people or organization to collective bargaining achieve a common goal Indigenous Peoples Individuals and collectives with distinct identities and aspirations who are often disadvantaged by traditional models of development (World Bank 2016) because they Dedicated Grant An innovative program under Climate Investment Funds intended to facilitate the effective are often among the most economically marginalized and vulnerable segments of the Mechanism participation of Indigenous Peoples and traditional local communities in the design and population and their economic, social, and legal status frequently limits their capacity to implementation of activities that reduce deforestation and forest degradation at local, defend their rights to, and interests in, land, territories, and natural and cultural resources; national, and global levels this creates barriers to their equitable access to project benefits—for example, in cases where they are not adequately consulted about the design or implementation of projects EnABLE constituencies EnABLE’s core constituencies comprise Indigenous Peoples, traditional local communities, that would profoundly affect their lives or communities, or when benefits are not devised and other marginalized or vulnerable groups—such as women and girls, children and or delivered in a culturally appropriate form youth, and people living in poverty or with disabilities—within the jurisdictions of the World Bank’s results-based climate finance programs (see also Indigenous Peoples and traditional Nationally Determined Countries’ self-defined national climate pledges under the Paris Agreement, detailing what local communities) Contributions they will do to help meet the goals of limiting the global average temperature rise to 1.5°C, adapting to climate impacts, and ensuring sufficient finance to support these efforts EnABLE’s Social Inclusion A methodological tool that utilizes the 4 strategic areas and 16 related aspects comprising Barometer EnABLE’s Social Inclusion Framework to present a visual depiction of the status social Noncarbon benefits Benefits specific to each country’s agreements, such as improved local livelihoods, health, inclusion, along with progress toward intended goals water security, or nutrition; more transparent and effective governance structures; enhanced land tenure security; reduced exposure to the risk of disasters; and enhanced/ protected biodiversity and other ecosystem services 4 5 Good Practices for Social Inclusion Targeting Interventions Nonmonetary benefits Benefits from reduced carbon emissions under results-based climate finance initiatives, such as improved land or resource tenure security, enhanced understanding of and CONTEXT access to benefits, enhanced livelihood capacity and opportunities, and greater levels of empowerment This companion guide to the EnABLE Social Inclusion Framework, will equip practitioners with a set of priorities Quantitative indicators Indicators designed to capture a numerical or percentage change in a chosen Framework for Results-Based Climate Finance Initiatives and access points to inform and strengthen the design characteristic or factor presents good practices and tools for social inclusion of EnABLE's proposals and the implementation of its targeting. The guide is intended to assist World Bank programming. The guide can also be used by non-EnABLE Qualitative indicators A narrative assessment allowing specific, nuanced information to be identified about teams, government partners, civil society organizations partner organizations engaged in designing inclusive complex changes over time; such indicators are especially suited measuring highly (CSOs), and other stakeholders in designing effective social emission reduction and carbon crediting projects and by relevant changes in social inclusion that are not quantifiable or otherwise observable inclusion programming financed by Enhancing Access other ERPs at the project and jurisdictional levels. The to Benefits while Lowering Emissions (EnABLE). The overall goal is for EnABLE–financed activities to facilitate Results-based climate Compensation for the achievement of agreed goals specified under climate initiatives, guidance includes a step-by-step methodology on (1) how constituencies’ ability to participate in and benefit from finance including verified carbon emission reductions to identify and analyze constraints to social inclusion in RBCF interventions, ultimately making those interventions results-based climate finance (RBCF) or carbon crediting more equitable and more socially and gender inclusive. Safeguards Policies and measures within climate initiatives intended to manage and avert the initiatives around land use, agriculture, and aquaculture; It should be noted that this guide focuses on Indigenous potential risks and negative impacts of climate action on forest governance, the natural (2) how to design targeted strategies and actions to Peoples (IPs), traditional local communities (LCs), and environment, and society while simultaneously enhancing the positive impacts address those constraints; and (3) how to select indicators women, but the approaches presented also provide and approaches to monitor progress toward the goal of insights of relevance to other EnABLE constituencies— Social inclusion Facilitating the engagement, inclusion, and empowerment of marginalized, disadvantaged, greater inclusion in emission reductions programs (ERPs) youth, excluded caste groups, poor people, and people and vulnerable constituencies, specifically in this case, in the context of accessing and related benefit sharing mechanisms. Finally, practical with disabilities—with the caveat that the conditions monetary and nonmonetary benefits associated with the World Bank’s results-based examples of relevant actions and indicators are provided and factors affecting these and other disadvantaged climate finance initiatives for practitioners to assess, prioritize, and select from, and vulnerable groups are unique and require additional depending on their specific circumstances. analysis. Above all, this document is intended as a tool of Social inclusion targeting An EnABLE methodology for assessing and determining strategies and actions to learning and reflection to support the success of EnABLE– promote social inclusion in results-based climate finance initiatives Using this guidance and methodology, together with a financed interventions. It is a living document that will be conceptual understanding of EnABLE’s Social Inclusion updated as relevant over time. Tenure security Security that an individual’s, household’s, or community’s rights to land and resources— such as water and forest products—will be recognized and protected over time; this is particularly relevant to results-based climate finance initiatives because secure tenure and rights to land and resources are often a prerequisite for accessing benefits Traditional knowledge Knowledge, heritage, and practices that define an Indigenous or local group’s worldview, culture, identity, values, and well-being and is often also integral to their livelihoods Traditional local Collectives of individuals and families who share many similarities with Indigenous peoples communities and who (1) self-identify and are recognized by others as a distinct Indigenous social and cultural group; (2) are collectively attached to distinct geographical habitats, ancestral territories, or areas of seasonal use or occupation, including the natural resources inherent to these areas; (3) have distinct cultural, economic, social, or political (“customary”) institutions separate from mainstream society or culture; and (4) communicate in a distinct language or dialect (these groups have different names across different countries and regions, such as “Indigenous ethnic minorities,” “aboriginals,” “hill tribes,” “vulnerable and marginalized groups,” “minority nationalities,” “scheduled tribes,” “first nations,” or “tribal groups”) (World Bank 2016) 6 7 Good Practices for Social Inclusion Targeting Interventions SOCIAL INCLUSION TARGETING Stage 1: Analysis Developing targeted and effective strategies and actions benefiting from RBCF processes. Solutions should focus on contextual conditions that constrain disadvantaged groups’ requires a clear understanding of the constraints to engagement in RBCF processes. This information may social inclusion, who is affected by them, and how. Stage already be available in the RBCF documents as well as in Under EnABLE’s framework, social inclusion targeting Ideally, the social inclusion targeting should be completed 1 facilitates this understanding through an analysis of studies commissioned by the World Bank. is implemented in three stages using an iterative, during the planning phase of an initiative, but it was the specific context of the country in question, its ERP, learning-centered approach that addresses each intentionally designed to be applicable even after planning and the constituencies being targeted. This stage is Individuals and groups do not usually choose to exclude country’s unique circumstances and the level and focus has been largely completed, as is the case with the Forest necessarily performed by practitioners in collaboration themselves. Legal frameworks, cultural norms and practices, of EnABLE’s programming (Figure 1). For simplicity, Carbon Partnership Facility (FCPF) Carbon Fund countries. with constituencies and key stakeholders prior to the historical disadvantages, social actors, institutions, and these three stages are depicted sequentially, but in The Social Inclusion Targeting Strategies (Tables 1 through design of programming. The analysis could be conducted administrative procedures can all create barriers or even practice countries are likely to work across the various 4) include strategies/actions specifically applicable during under the framework of strategic environmental and actively exclude groups from participating in and benefiting stages either simultaneously or nonsequentially. The planning or implementation and some that are applicable social assessments (SESAs) at the readiness stage. Key from RBCF processes. Exclusion may also occur due to value of this targeting methodology is that it provides throughout the process. Practitioners should map their informants might include leaders of farmers’ groups, unequal power relations that determine who can participate a common, logical framework while also allowing the approaches to the key areas where actions will have the gender specialists within government institutions, or field or voice concerns, potentially leaving some groups out of necessary level of flexibility for adaptation to different greatest impact—for instance, in the design phase of the teams with implementing CSOs. A focus group discussion decision-making processes. Analysis requires identifying who contexts. ERP, during consultations for the benefit sharing plan with stakeholders can validate findings and deepen can or will be included or excluded—or could be unintentionally (BSP), or during the implementation of the benefit sharing understanding. It may also be helpful to include other excluded—from the designed programming and its potential mechanism. members of target and nontarget constituencies to ensure benefits, as well as which barriers and constraints to that all perspectives are voiced and heard, especially in engagement are or could be in place for each group. settings where power dynamics may be a factor. It is possible that including one group might come at Figure 1. The three stages of social inclusion targeting Identify Constituencies and the expense of another, which will likely require digging Who Could Be Excluded deeper to understand subgroups and their intersectional identities and relationships. For instance, among women, Exclusion can be based on gender, class, race, ethnicity, key characteristics might be their age, marital status, Stage 2: Stage 1: Stage 3: sexual identity, disability, age, or other characteristics ethnicity, and whether or not they have formalized land Strategies and rights or are registered farmers. If, for example, eligibility to Analysis Monitoring related to identities and socioeconomic status. The Actions potential constraints to social inclusion, and their participate in an ERP requires land tenure rights or being causes, are discussed in detail in the EnABLE Social a formally registered farmer, that could unintentionally • Assess the country Inclusion Framework document. A review of key country exclude women and youth, and often Indigenous and • Identify indicators on the traditional local communities. context and ERP documents—including the ERP and REDD+ program approaches • Identify the level of scale of inclusion documents, BSPs, SESAs, safeguard instruments, gender ambition for change on the • Include indicators from • Recognize the constraints scale of inclusion, including the EnABLE Results action plans (GAPs), and FCPF and other ERP–related Other examples include whether or not women or youth to social inclusion for the related goals Framework documents—will provide context-specific analyses of the belong to various users’ associations, are members specific constituencies of village councils, hold rights to forest resources, are • Design strategies and • Identify data sources and constraints to social inclusion. In addition, interviews can • Prioritize the opportunities actions to meet the goals collection methods provide details beyond what is included in reports. considered household heads, and so on. Defining which for change demographic subgroup to focus on will be informed by • Collect and analyze data • Map to the corresponding Challenges to social inclusion can differ across countries, the analyses of barriers and constraints. It is important subdomain communities, and contexts, and thus require individually that these characteristics are clearly defined at the very tailored solutions. Enhancing social inclusion in RBCF, initial stage of the ERP and are refined progressively An iterative learning process and especially in land use–based ERPs means working to thereafter. This will allow for changes among those groups with multiple entry points identify and overcome barriers to participation to promote to be monitored, but this must also be balanced against equality, enrich activities, and ensure that all participants are the realities of existing data and what can realistically fairly recognized and rewarded for their efforts in reducing be collected. Importantly, the goal is not perfection but emissions and sustainably managing and using natural learning and determining what is feasible. Solutions Source: EnABLE, World Bank. resources. Legal systems, administrative procedures, cultural should focus on the contextual conditions that constrain Notes: The arrows illustrate how learning should feed back into the process as social inclusion data generate a more complete understanding norms and practices, historic disadvantages, and social disadvantaged groups from engaging in making decisions of the constraints involved, and understanding informs and improves program design and allows practitioners to advance on the scale of institutions may also constitute barriers to social inclusion— about, and benefiting from RBCF processes. inclusion across project and program cycles. ERP = emission reductions program. in effect excluding such groups from participating in and 8 9 Good Practices for Social Inclusion Targeting Interventions Determine Who to Include 1. Which constraints are the most realistic to address? Map Level of Change and Related Goals Stage 3: Monitoring on the Scale of Inclusion While a set of ERP stakeholders might already be defined, Identify Indicators on the Scale of Inclusion it may be appropriate to collect information on groups not 2. Which constraints—and possible opportunities—have The first step in Stage 2 is to determine the level of included in the program who could potentially be included the most buy-in or support? intended change on the scale of social inclusion for With the social inclusion constraints, goals, and actions or are relevant based on the risk of their unintended the selected constraints and opportunities—that is, defined, the next stage is to select indicators to track exclusion. For instance, in the case of Ghana, female 3. Which constraints need to be addressed first so they integrative-, promotive-, or transformative-level change. progress and outcomes. The indicators should correspond farmers who have not registered in the REDD+ program can can be built on by future programs? The Social Inclusion Targeting Strategies (Tables 1 through to their related actions—for example, was the planned be excluded from the BSP even if they reside in the Hotspot 4) specify goals across the three levels of the scale of female quota achieved? Did the intervention lead to an Intervention Area (HIA). A goal may therefore be to take Resource constraints, such as time and funding, should inclusion, enabling users to determine appropriate starting increase in IPs' participation, knowledge, or membership? action to register more women, thereby increasing their also be considered. It is likely that focusing on one or two points for interventions and intended results. Did the targeted intervention lead to improved capacities numbers as beneficiaries. In order to correctly assess the opportunities, and addressing them well, will be most and control over income for women? Once again the impact of EnABLE’s actions, these excluded groups need to effective rather than spreading resources too thinly, Social Inclusion Targeting Strategies present suggestions be included in the assessment. Follow-up monitoring may ultimately reducing their impact. Design Strategies and Actions to and examples of indicators related to goals and actions. reveal additional barriers preventing participation not only The approaches and indicators should be tailored to the Meet Goals by women but also by other unregistered farmers. Stage 2: Strategies and different sociocultural, economic, and geographic contexts to ensure their relevance and effectiveness. Note that this Map Constraints to Aspects Actions The next step is to identify targeted actions to address the constraints and move toward the prioritized goals. methodology will continue to be updated and expanded as EnABLE’s programming generates lessons learned. Note Once again, the Social Inclusion Targeting Strategies Once identified, the constraints can be mapped to the The analysis of constraints and the definition and also that the process of identifying and selecting indicators present a range of possible actions, some of which are aspects of social inclusion (see Tables 2 through 5 in the prioritization of opportunities undertaken in Stage 1 provide and setting targets can be done collaboratively with broadly applicable in all countries and contexts, and others EnABLE Social Inclusion Framework document for lists of the starting point for Stage 2, which involves mapping constituencies and stakeholders or be an expert-driven of which are context-specific (Tables 1 through 4). These the framework’s 4 areas and 16 aspects). the level of intended change and related goals (that is, process. These approaches are not mutually exclusive, actions should be properly planned and budgeted. outcomes/targets) on the EnABLE scale of inclusion and however, and most contexts will call for a combination of Prioritize Opportunities identifying the related actions to meet those goals (see both. Disagreements among the stakeholders will generate “Targeting and Measuring Social Inclusion” in the EnABLE opportunities for deeper discussion. See the case study on The list of constraints will likely be long, but understanding Social Inclusion Framework document). Guatemala’s ERP at the end of this document for a further them all will facilitate prioritization of the most promising and discussion of how to select indicators. feasible ones to address. This can be done through an iterative and inclusive process directed by the following questions: 10 11 12 EnABLE'S SOCIAL INCLUSION TARGETING STRATEGIES Good Practices for Social Inclusion Targeting Interventions Table 1. Goals, actions, and indicators for Area 1 by aspect INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 1: LAND AND RESOURCE TENURE SECURITY ASPECT 1.1 Recognized tenure rights/regimes. Tenure regimes and processes of land and resource rights (including documentation) are recognized and considered GOALS FOR ASPECT 1.1 » Substantive information about (multiple) options » Different tenure mechanisms (not limited to formal » Constituencies shape the nature of rights, access, for registering or securing tenure is made available documentation) are recognized and accepted as and benefits regarding land based on their own to all stakeholders, decision makers, and distinct sufficient proof of tenure to be eligible for ERP/BSP history, definitions, and customs; constituencies’ constituencies (including, for example, targeted actions/benefits rights to land and related resources on the information for women and youth) land (trees, carbon, and so on) are recognized, respected, and protected, especially in cases of dispute ACTIONS FOR ASPECT 1.1 » Establish mechanisms to increase awareness by » Ensure that the ERP/BSP actions recognize » Ensure that customary forms of tenure for stakeholders (that is, authorities, government officials, different mechanisms to prove land and resource constituencies are recognized in the initiative, landholders, and so on) of the options to register or tenure rights in addition to formal documentation even when they are not formalized by statute: secure tenure to engage in BSP/ERP actions: to access benefits: • Create mechanisms for recognizing, • Present a clear legal framework (for example, • Evaluate how land documentation processes respecting, and protecting other forms of on carbon rights) regarding who owns what, can be further simplified in a multistakeholder forest resource tenure (trees, coffee trees, and what rights and responsibilities are process to examine the complexities of cocoa trees, firewood, carbon) and engage attributed to different groups of actors the land registration process and make relevant stakeholders to participate in the assessments and recommendations mechanisms • Disseminate information on rights in local languages using visual media and local radio • Support clarification and regularization • Designate specific budgets to address issues procedures of land tenure and emission relating to forest tenure rights • Promote mixed-gender—but also women-only reduction rights, emphasizing Indigenous and men-only—spaces for dialogue to share • Provide appropriate support to strengthen territories, public lands, and areas under perspectives on how fair and equal rights and customary land governance institutions special land tenure regimes mechanisms would work • Support gender-responsive practices, such as • Provide gender-sensitive training on rights, ensuring that both husbands’ and wives’ names including choosing appropriate times for are listed on land documents and registered women, offering childcare facilities during training, and having visual materials • Encourage traditional authorities/landowners to recognize alternatives to formal land tenure • Sensitize traditional authorities/landowners and other key decision-making stakeholders on • Provide legal assistance to landholders in relevant provisions and processes solidifying tenure claims INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 1: LAND AND RESOURCE TENURE SECURITY INDICATORS FOR ASPECT 1.1 » The initiative defines a set of rights to resources on » # or % of constituency members who report tenure » Existence of new mechanisms to secure tenure the land that are prioritized in BSP/ERP actions security as a result of the initiative defined by constituencies » The initiative provides multiple possible means of » # of constituents confirming simplified land » # or % of constituents who affirm that their providing proof of tenure to resources on the land registration processes customary land rights and forest resource tenure (for example, use rights, jointly registered rights, have been protected, recognized, and respected collective resource permits and authorizations) to in the initiative engage in BSP/ERP actions » # or % of constituents affirming that their land rights » # of relevant stakeholders (by stakeholder group and forest resource tenure security have increased and constituency—for example, # of women, » # or % of constituents affirming that customary traditional authorities, and so on) aware of their land governance has improved options for registering or securing tenure CASE STUDY FOR ASPECT 1.1 Chile: A significant share of rural landowners experience improperly documented property titles. To address this, a measure was designed to enable producers to participate in developing instruments and programs that drive the ERP strategy. Measures include adjustments to current legislation and regulations and a targeted program for rectifying ownership titles. Owners receive free legal support to solve their land titling issues. 13 14 Good Practices for Social Inclusion Targeting Interventions INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 1: LAND AND RESOURCE TENURE SECURITY ASPECT 1.2 Secure land rights. Security of access, use, and decision-making rights, and who has those rights, are addressed and considered GOALS FOR ASPECT 1.2 » Access rights to land are granted to constituencies » Constituencies are able to derive tangible benefits » Constituencies assert and secure tenure claims and recognized by the BSP/ERP from the rights to land granted for land based on their own definitions, customs, and history; customary forms of land and resource tenure are recognized, respected, and protected even if they are not formalized by statute ACTIONS FOR ASPECT 1.2 » Ensure the initiative defines a set of access rights » Support efforts for constituencies to derive tangible » Create conditions for constituencies to be able to land that are prioritized in BSP/ERP actions and benefits from the rights granted as mechanisms to to shape the nature of land rights, access, and that constituencies are aware of: gain clarity and robustness of rights: benefits based on their own history, definitions, and customs: • Promote training to strengthen rights • Support capacity building to enable awareness, especially for women and IP women constituencies to advocate fair and equitable • Support the cocreation of new, constituent- access to benefits effectively defined mechanisms for defining rights, • Disseminate information on rights in local access, and benefits regarding land languages using visual media and local radio • Provide technical/legal support for constituencies to determine which benefits • Mandate leadership roles for constituencies • Provide gender-sensitive training on rights, they have the right to access in processes to ensure that their rights including choosing appropriate times for to land are recognized, respected, and women, offering childcare facilities during protected, especially in cases of disputes training, and having visual materials • Promote dialogue spaces to share • Promote mixed-gender—but also women-only perspectives on how fair and equal rights and and men-only—spaces for dialogue to share governance mechanisms would work perspectives on how fair and equal rights and mechanisms would work INDICATORS FOR ASPECT 1.2 » # of constituency members aware of their rights » # or % of constituency members with increased » Increased # or % of leadership positions filled by to land capacities to advocate secure land rights, participate constituents fully in related processes, and gain access to benefits » The initiative defines a set of rights to land that » # or % of constituency members affirming that are prioritized in BSP/ERP actions » # or % of constituency members receiving benefits their land tenure security has increased » Increased # of women who co-registered land » # of regular dialogue sessions on rights and governance mechanisms instituted and attended » Increased area of land registered jointly under by constituents husbands’ and wives’ names CASE STUDY FOR ASPECT 1.2 Guatemala: In order to recognize a diversity of land rights, the BSP includes provisions for landholders responsible for emission reductions to share benefits even if they lack legal ownership. A significant achievement for sustainable forest management by Indigenous and local communities in Guatemala was the renewal of nine concessions covering 353,453 ha to be managed by the Peten Forest Communities Association for 25 years, coupled with the approval of four new 30-year concessions covering 132,373 ha. INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 1: LAND AND RESOURCE TENURE SECURITY ASPECT 1.3 Secure resource rights (trees, carbon, and so on). Secure access, use, and resource-related decision-making rights, and who has those rights, are addressed and considered GOALS FOR ASPECT 1.3 » Access rights to resources on the land (trees, » Constituencies are able to derive tangible benefits » Constituencies assert and secure tenure claims carbon, and so on) are granted to constituencies from the rights granted to resources on the land regarding resources on the land (trees, carbon, and and recognized by the BSP/ERP so on) based on their own definitions, customs, and history; customary forms of resource tenure are recognized, respected, and protected even when they are not formalized statutorily ACTIONS FOR ASPECT 1.3 » Ensure the initiative defines a set of rights to » Support efforts for constituencies to derive » Provide mechanisms for constituencies to resources that are prioritized in BSP/ERP actions, tangible benefits from the rights granted: shape the nature of resource rights, access, and and that constituencies are aware of their rights to benefits based on their own history, definitions, • Support capacity building for constituencies resources: and customs: to be able to advocate their access to • Disseminate information on rights in local benefits effectively • Support the cocreation of new constituent- languages using visual media and local radio defined mechanisms for defining rights, • Provide technical/legal support for access, or benefits regarding resources • Provide gender-sensitive training on rights, constituencies in determining what benefits including choosing times tailored to women’s they have the right to access • Mandate leadership roles for constituencies preferences, offering childcare facilities during in processes that ensure their rights to training, and having visual materials resources are recognized, respected, and protected, especially in case of disputes • Promote mixed-gender—but also women- only and men-only—dialogue spaces to share • Promote dialogue spaces to share perspectives on how rights and mechanisms perspectives on how fair and equal rights and that are fair and equal would work governance mechanisms would work INDICATORS FOR ASPECT 1.3 » The initiative defines a set of rights to resources on » # or % of constituents with increased capacities to » # or % of constituents who affirm their resource the land that are prioritized in BSP/ERP actions advocate on their own behalf and fully participate tenure security has increased in processes to secure their resource rights and » # of constituents who are aware of their rights to » # of regular dialogue sessions on rights and access to benefits resources governance mechanisms instituted and attended » # or % of constituents who receive benefits by constituents CASE STUDY FOR ASPECT 1.3 Costa Rica: Under the Contract for the Reduction of Emissions from Forestry mechanism, private landowners sign agreements with the Costa Rican government for payments in exchange for emission reductions. The program has been revised to provide support to IPs and communities previously overlooked by the payments for environmental services (PES) program, potentially allowing the participation of up to 4,000 new beneficiaries who lack formalized land rights across approximately 430,000 ha of natural forests. 15 16 Good Practices for Social Inclusion Targeting Interventions INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 1: LAND AND RESOURCE TENURE SECURITY ASPECT 1.4 Effective mechanisms for resolving tenure disputes. Approaches to land and resource tenure disputes are properly addressed and considered GOALS FOR ASPECT 1.4 » Mechanisms exist in BSP/ERP documents to » Tenure dispute resolution mechanisms that ensure » Tenure dispute resolution bodies and approaches are address land and forest resource disputes, further engagement of constituencies are promoted designed to address land tenure disputes with and complaints, and claims overseen by members of relevant constituencies ACTIONS FOR ASPECT 1.4 » Ensure mechanisms exist in BSP/ERP documents » Provide a clear approach regarding what to do » Put mechanisms in place to ensure representation and processes to address disputes, complaints, when encountering tenure disputes, such that it of constituencies in bodies designing and and claims related to land and resource tenure ensures further engagement of constituencies: implementing dispute resolution mechanisms and issues: processes addressing land tenure disputes: • Provide capacity building to local • Identify existing dispute resolution communities to actively participate as • Mandate representation of constituencies in mechanisms in place in BSP/ERP documents members in dispute resolution processes leadership roles in tenure dispute resolution bodies • Increase awareness of communities on • Define clear procedures of dispute resolution existing dispute resolution mechanisms mechanisms processes that would be • Implement accountability mechanisms followed in the context of BSP/ERP processes for those in charge who promote the • Ensure that existing dispute resolution enforcement of rules mechanisms have a time-bound procedure • Establish dispute resolution monitoring and an accessible mechanism (for example, systems • Reform existing dispute resolution local mechanism or web-based if appropriate) mechanisms and institutions to enhance (1) • Designate an institution to handle dispute so stakeholders can submit and track involvement of local level institutions and resolution and to address the root causes; complaints and appeals as a way of nongovernmental organizations in dispute this could include the presence of NGO facilitating transparency resolution; (2) participation of constituency support for local tenure interventions and members in member and leadership positions • Engage constituencies in dispute resolution strategies to address problems of mistrust in dispute resolution institutions; and (3) monitoring systems to assess how dispute toward the government implement accountability mechanisms resolution actions are avoiding further risk • Provide capacity building to constituency and harm members to participate as members or leaders in dispute resolution institutions INDICATORS FOR ASPECT 1.4 • # of complaints and claims related to land » Resolution of land and resource tenure disputes is » % of constituency members serving as members of tenure issues received from constituencies clearly defined in scope of actions in BSP/ERP relevant bodies • Mechanism for addressing tenure disputes is » % of complaining parties affirming tenure conflict » % of constituency members serving in leadership mentioned in BSP/ERP documents resolution has increased roles of relevant tenure dispute bodies » % of constituencies reporting increased capacity in dispute resolution INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 1: LAND AND RESOURCE TENURE SECURITY CASE STUDY FOR ASPECT 1.4 Belize: The Indigenous Peoples’ Desk—established within the REDD+ government agency during FCPF’s REDD+ readiness stage to facilitate input, dialogue, insight, and feedback from various IP groups—focuses on disseminating information to inform, strengthen, and empower communities to ensure their voices are heard and their needs are addressed. Not only has this approach provided IPs with direct and timely access to information and decision-making processes, but it has also created an opportunity to institutionalize consultations within government programs. Source: EnABLE, World Bank. 17 18 Good Practices for Social Inclusion Targeting Interventions Table 2. Goals, actions, and indicators for Area 2 by aspect INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 2: GOVERNANCE, PARTICIPATION, AND DECISION MAKING ASPECT 2.1 Ability to exercise rights. Approaches and processes that ensure access to information and communications and awareness of rights to engage in, exercise leadership in, and benefit from RBCF initiatives. GOALS FOR ASPECT 2.1 » Information about rights reaches constituencies » Constituencies benefit from engagement in » Constituencies exercise, advocate, and lead on capacity-building activities/meetings on rights their rights ACTIONS FOR ASPECT 2.1 » Implement specific solutions and mechanisms » Adopt rules for how disadvantaged groups are » Put mechanisms in place that promote the to promote representation of constituencies in represented and for how their representatives enforcement of rules and increase constituencies’ capacity-building activities/meetings on rights: respond to their constituencies: exercise of and leadership on rights: • Disseminate information on rights in local • Clarify membership rules around which groups • Make mandatory the inclusion of languages using visual media and local radio are considered legitimate representatives in representatives of constituencies in decision- decision-making spaces making bodies • Promote mixed-gender—but also women-only and men-only—spaces for dialogue to share • Develop alternative requirements that make • Designate specific leadership positions for perspectives on how fair and equal rights and it easier/possible for constituents to be constituencies governance mechanisms would work members/representatives, and so on • Collaborate with existing formal women’s • Provide gender-sensitive training on rights, • Find/create spaces where women can voice organizations to organize trainings/ including choosing appropriate times for their opinions and have greater agency meetings with local women to develop their women, offering childcare facilities during organizational and advocacy capacities/skills training, and using visual materials and strengthen collective action • Build and support champions and agents of change, by providing coaching, mentoring, and a support network when the champions encounter resistance INDICATORS FOR APPECT 2.1 » % or # of capacity-building workshops designed to » Methodology or rules adopted that guarantee » # of constituency members (for example, take into account constituencies’ constraints constituencies can fully participate in decision Indigenous women) training other constituency making in all matters members about rights » # of rights-awareness activities (workshops, publicity events, information dissemination, and » New spaces created for women to voice their views » # of constituents in leadership positions satisfied trainings) with their ability to effect change » # of constituents trained on rights » # of women exercising advocacy and organizational skills INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 2: GOVERNANCE, PARTICIPATION, AND DECISION MAKING CASE STUDY FOR ASPECT 2.1 Ghana: EnABLE implemented capacity building workshops to ensure constituents understood their rights to benefits under the ERP. Various groups within the communities— including men, women, traditional authorities, migrants, and people with disabilities—were engaged and trained separately on emission reduction interventions and inclusive benefit sharing using face-to-face approaches, syndicated community radio, and focus group discussions. One of the strategies employed was engaging a popular Ghanaian musician Okyeame Kwame, who also serves as project ambassador, to create a song about the ERP and benefits to greatly expand outreach. ASPECT 2.2 Active engagement. Representation and participation in, and ownership of, governance and decision-making structures, including rules, processes, and accountability mechanisms (for example, free, prior, and informed consent [FPIC], and feedback and grievance redress mechanisms [FGRM]) GOALS FOR ASPECT 2.2 » Participation of constituencies in decision-making » Constituencies benefit from engagement in RBCF » Constituencies lead RBCF initiative processes structures increases initiative decision-making processes ACTIONS FOR ASPECT 2.2 » Take concrete steps to increase participation in » Encourage and promote constituencies’ active » Establish co-designed and mutually agreed decision-making structures: engagement: mechanisms to ensure that constituencies have leadership roles: • Ensure that participation happens throughout • Clarify procedural norms for managing the project’s life cycle, from design to inception decision-making spaces to support gender and • Adopt quotas for representation in key to implementation and final closeout IP equality decision-making bodies • Organize for gender inclusion by understanding • Create programs that give constituencies • Provide opportunities for multiple pathways to women’s needs and meet them using priority access to RBCF programs, such as leadership positions strategies to motivate their interest and setting aside gender-sensitive program credits • Build and support a pathway to leadership engagement; examples include meetings held specifically for women for women, including targeted support and in local languages, use of visual presentations/ • Revise operations manuals to create conditions mentoring to female members to ensure they materials and local radio, holding separate that ensure women can access benefits even if are effective and supported if they aspire to discussions with women, and making efforts to they do not have access to land leadership (Canpolat and others 2021) reach women at certain locations and times to have targeted discussions with them • Introduce membership and representation • Mandate representation of women in targets for constituencies leadership roles in grievance redress • Involve beneficiary groups in discussions, mechanism committees especially at community levels, and add their • Mandate representation of women on contributions to policy review documents grievance redress mechanism committees • Implement accountability mechanisms for those in charge that promote the • Send invitation letters/communications to enforcement of rules attend community meetings that specifically identify and invite beneficiary groups to meetings 19 20 Good Practices for Social Inclusion Targeting Interventions INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 2: GOVERNANCE, PARTICIPATION, AND DECISION MAKING • Establish local level gender-responsive • Establish a time-bound dispute resolution grievance redress mechanisms so that procedure and a web-based mechanism women and men have confidence in a locally so stakeholders can submit and track accountable system for filing complaints complaints and appeals as a way of facilitating relating to climate interventions transparency • Ensure that grievance redress mechanisms • Engage constituencies in monitoring grievance respond to the needs of the victims of gender- redress mechanisms to assess how such based violence, are victim-centered, and mechanisms are avoiding further risk and harm ensure no further harm (especially to women) • Designate an institution to handle conflict • Support traditional methods for local and dispute resolution and to address the stakeholders use in mediating and solving root causes; this could include the presence of disputes; disputes can often be managed more nongovernmental organization–support for local effectively through traditional or customary tenure interventions and strategies to address dispute resolution mechanisms when courts problems of mistrust toward the government have limited capacity to process claims or are unable to enforce their orders • Conduct dispute resolution processes through regular meetings INDICATORS FOR ASPECT 2.2 » # of yearly processes organized to increase » % or increased % of representatives from » # of constituency members who perceive their participation of constituencies in decision making constituencies’ organizations in the program’s “voice” is stronger than in the past on RBCF programming and public decision making decision making and implementation entities » # of constituency members in governance/ related to forests and protected areas » % of managerial and technical positions related to leadership positions who report being able to » % or # of constituency members involved in project the ERP occupied by constituencies at decision- influence decisions/agenda activities and meetings during the program design and making levels (for example, national, provincial, » # of constituency members who benefited from implementation district, or village-level entities) leadership training » # of meetings with appropriate facilities and conditions » # of constituency members reporting their » % of constituency members in leadership roles for supporting constituency needs (for example, childcare) interests, opinions, and needs were respected, resolving grievances arising from RBCF activities heard, given fair weight, and included in decisions » # of complaints and claims received from related to grievances » # of grievance cases resolved constituencies » # of inclusive solutions to grievances resulting » Existence of accountability/grievance redress from open and balanced negotiations among mechanisms that promote the enforcement of rules stakeholders that reflect their different interests, » # of constituency members participating in grievance opinions, and needs redress mechanisms CASE STUDY AND ADDITIONAL NOTES FOR ASPECT 2.2 Ghana: In the Dedicated Grant Mechanism, community-level grievance redress committees were established to address complaints. The community itself formed the committees, and women’s representation was required. Effort was made to publicize the committees’ work, including widely advertising who the committee members were so that community members knew who to contact with complaints. While nongovernmental organizations also had representation on the committees, the committees primarily INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 2: GOVERNANCE, PARTICIPATION, AND DECISION MAKING comprised community members. Most of the complaints were resolved at the community level because the committee members were empowered to find local solutions to their challenges (Canpolat and others 2022a). Additional notes: Decisions made by majority rule can marginalize women and IPs; alternatives should be considered, including veto power and guaranteeing that women and IPs influence agenda setting. In the DGM, IP and LC women rose successfully through male-dominated community social and governance structures to leadership positions on national steering committees. Indigenous and non-Indigenous women—some with greater education, and others with certain material advantages—were also invited to represent IPs and LCs on the committees (Canpolat and others 2022b). ASPECT 2.3 Transparency and accountability. Access to and ownership of information and decision making, including transparency in governance at all levels and the ability to hold others accountable. GOALS FOR ASPECT 2.3 » The ability of constituencies to participate in » Constituencies have spaces to participate in » Constituencies access and own data on the design, generating and accessing all relevant information, decision making around the program and benefit implementation, and evaluation stages of the including monitoring systems addressing social from free access, transparency, and timely delivery RBCF initiative fully and effectively, and lead the inclusion and safeguards, increases of all relevant data and information information-sharing processes; the design and development of monitoring strategies, systems, and data-collection processes is based on constituencies’ priorities, knowledge, and interests ACTIONS FOR ASPECT 2.3 » Before undertaking or permitting any programs, adopt » Put mechanisms in place to increase » Adopt policies and rules to empower clear and meaningful procedures for consultation to constituencies’ abilities and rights to access constituencies to fully access and lead ensure they are conducted in an appropriate manner: information about the initiative, decision information-sharing around the program: making and necessary data, from design to • Support an information-sharing digital platform/ • Adopt quotas for representation in key implementation: mechanism to communicate information on the decision-making bodies initiative to constituencies, including information • Promote multistakeholder platforms for • Incorporate clear accountability mechanisms, on social inclusion and safeguards constituencies to engage in analysis of data, such as regular reporting of gender-responsive decision making, and design on the initiative • Disseminate information in local languages using policy implementation, results, and processes visual media and local radio • Promote mixed-gender, but also women-only • Designate gender-based violence focal points and men-only, spaces for dialogue to share • Use technology to promote accountability, in key decision-making bodies information and perspectives on the initiative such as mobile phones to track money, register • Develop monitoring systems and data beneficiaries, reconcile transfers, and document • Strengthen constituencies’ capacities to collection that reflect constituencies’ priorities, impacts for monitoring and evaluation understand the data and engage in the knowledge, and interests monitoring systems • Ensure that the initiative’s monitoring • Create a monitoring committee co-led by systems, approaches, and data address • Co-create a data collection protocol so constituencies for sharing and disseminating social inclusion and safeguards, and that that data are always disaggregated by data, as well as analysis and interpretation constituencies can access them constituency (gender, age, and so on) 21 22 Good Practices for Social Inclusion Targeting Interventions INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 2: GOVERNANCE, PARTICIPATION, AND DECISION MAKING • Support an information-sharing digital platform/ • Engage and train constituencies in monitoring • Develop monitoring systems that better mechanism to communicate information on the activities to develop local capacity in assess how actions are transforming initiative to constituencies, including information monitoring and oversight structural barriers, especially to avoid further on social inclusion and safeguards exacerbating risks of violence for women • Generate baseline data on men’s and women’s • Ensure that constituency members receive land rights, as well as their perception of • Devise monitoring systems that focus on regular reports from the monitoring systems land ownership (for example, regarding joint/ outcomes, not only on outputs inheritance property) in order to measure impacts to constituencies INDICATORS FOR ASPECT 2.3 » The initiative provides an information-sharing » # of community forest platforms (for IPs, LCs, » % of leaders in information-sharing processes who platform that is accessible through multiple channels or women) that were strengthened during RBCF are constituency members (online, WhatsApp, radio, info centers, and so on) implementation » # of co-designed indicators rolled out » Resources are allocated for the translation of » # of constituency members that report they » Gender-based violence focal point designated (Y/N) training materials to cater to constituencies’ needs were provided timely and relevant information to contribute to decisions » Co-led monitoring committee established (Y/N) » # of constituency members reporting they can access all relevant information because it was » # of ideas or concerns submitted by constituency » # or % of constituency members involved in the provided in the local language and in a culturally members design, development, and operation of monitoring appropriate way systems and data collection » # of constituency members trained as focal » # and types of media, meetings, and publicity points on RBCF information, including social » # or % of constituency members in RBCF-related disseminated to information centers that provide inclusion/safeguards leadership positions on information-sharing accessible information to interested parties, committee/platform » # of constituency members trained (or with including in local languages increased capacities) in monitoring processes and » Monitoring systems, approaches, and data data collection addressing social inclusion and safeguards exist » Evidence for providing clear, timely, and culturally and have a clear institutional base appropriate information to the constituencies » # of reports sent to constituency members about RBCF program activities » Platform or mechanism exists for constituencies » Up-to-date information on RBCF, social inclusion, to access the monitoring systems, engage in the and safeguards is provided/accessible in an easily approaches, or access data accessible through understood format to all constituents multiple channels (online, WhatsApp, radio, info centers, and so on) » # of outreach and information-sharing activities » % of information translated into local languages (including migrants’ dialects) INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 2: GOVERNANCE, PARTICIPATION, AND DECISION MAKING CASE STUDY FOR ASPECT 2.3 Guatemala: Utz Che’, the local CSO implementing EnABLE activities, has worked with local communities to form social audit committees tasked with accessing and reviewing relevant public information. Two of the committees contacted the country’s National Forest Institute to request documentation on access to and distribution of resources under Guatemala’s ERP. The institute responded in both cases, enabling the committees to confirm that payments for forest protection were lower than payments under other schemes, such as those for forests generating energy. ASPECT 2.4 Respect for and consideration of Indigenous and local worldviews and value systems. Designing initiatives with respect for and understanding of IPs’ and LCs’ customs, perspectives, priorities and decision-making structures GOALS FOR ASPECT 2.4 » Local values, practices, and knowledge are » Constituencies benefit from the incorporation » Constituencies co-own the processes that meaningfully incorporated in the initiative’s design of their values, practices, and knowlege into the incorporate local values, practices, and knowledge, initiative including safeguards and FPIC processes ACTIONS FOR ASPECT 2.4 » Incorporate local values, practices, and knowledge » Shape the initiative’s goals, design, and implementation » Design the initiative from the ground up starting into the initiative’s design based on local values, practices, and information with local values, practices, and knowledge • Support multistakeholder platforms for • Design FPIC activities as a learning process • Support the implementation of life plans or information exchange among constituencies based on local needs and preferences, with local development plans and government actors accountability of facilitators, two-way and • Designate and support local governance multiple communication strategies, flexibility, • Train government actors in local values, structures to oversee the implementation of and collective action in mind practices, and knowledge safeguards • Support training programs where • Support the local development and oversight constituencies train government actors in their of FPIC standards and processes values, practices, and knowledge INDICATORS FOR ASPECT 2.4 » % or # of constituency members involved in project » # of collaborative FPIC design activities » # of life plans or community development plans activities and meetings during program design and supported by the initiative » # of government actors trained in local values, implementation practices, and knowledge by constituencies » # of local FPIC bodies » # of consultations or exchanges to facilitate two- » # of constituency members reporting their way knowledge sharing interests, opinions, and needs were respected, » # of government actors who receive training on heard, given fair weight, and included in the local values, practices, and knowledge initiative’s design CASE STUDY FOR ASPECT 2.4 Costa Rica: Since 2021, Forest and Environmental Territorial Plans have become the primary mechanism for IPs to receive and manage climate finance. These plans focus on key issues, tailored to the specific needs and expectations of each territory; they include targeted initiatives for women and youth, and they feature oversight and monitoring committees to ensure the effectiveness and completion of projects. Source: EnABLE, World Bank. 23 24 Good Practices for Social Inclusion Targeting Interventions Table 3. Goals, actions, and indicators for Area 3 by aspect INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 3: DISTRIBUTION OF BENEFITS AND COSTS ASPECT 3.1 Clear, fair, and agreed-upon structure of actors and shared benefits. The definition of the extent and types of benefits recognized (whether carbon or noncarbon and for whom) and the clear and fair definition of the beneficiaries by gender and constituency for (monetary and nonmonetary) carbon benefits and for noncarbon benefits GOALS FOR ASPECT 3.1 » The extent and different types of benefits are » Constituencies have equitable access to the » Constituencies have equitable influence in the clearly defined during the implementation of the different types of benefits from the RBCF initiative process of defining benefits and can equitably and RBCF initiative fairly access different types of benefits from the RBCF initiative ACTIONS FOR ASPECT 3.1 » Clearly define benefits for constituencies: » Ensure that constituencies can equitably access » Ensure that constituencies are part of the decision- the different types of benefits from RBCF initiative: making structures and that benefit sharing • Present a clear legal framework (for example, mechanisms ensure they have equitable influence: carbon rights) on who owns what and what • Create programs that give priority access to rights and responsibilities are attached to RBCF programs to constituencies, such as • Implement participatory processes where different groups of actors setting aside gender-sensitive program credits actors can discuss and negotiate possible specifically for women tradeoffs among different options • Define costs and benefits in an inclusive decision-making process where actors’ voices, • Revise operations manuals to create conditions interests, and concerns are heard and taken that ensure women can access benefits even if into account they do not have access to land • Hold iterative consultations on the BSP and • Adopt quotas for representation in key payment distribution in a dynamic process that decision-making bodies responds to circumstances and needs • Provide opportunities for multiple pathways to leadership positions • Introduce membership and representation targets for constituencies • Combine in-kind and in-cash payments, as well as carbon and noncarbon benefits, to enhance equity and effectiveness INDICATORS FOR ASPECT 3.1 » # and % and types of benefits available to » # and % of constituency members accessing » # of constituency members stating benefits have constituencies (including women, specifically) from benefits from the RBCF initiative increased their ability to reach their goals (or have the RBCF initiative helped them reach their goals) » % of constituency members within the decision- making body » Constituency members have influenced agenda and affected priorities INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 3: DISTRIBUTION OF BENEFITS AND COSTS CASE STUDIES FOR ASPECT 3.1 Brazil: A tax on the sale of goods, transport, and communication services is used to fund the protection of high biodiversity areas and has been adopted in 16 of 26 Brazilian states, most of which use a conservation factor to allocate funds. The tax (combined with others) is intended to compensate municipalities for lost revenues in protected areas while also creating incentives for the improved management of existing protected areas the designation of new ones. Costa Rica: +Mujeres+Natura provides priority access to women participating in the PES program. All female applicants are given a higher score in the PES evaluation scorecard. The initiative also includes several gender-sensitive elements to enhance access to PES benefits without requiring land. Chile: The BSP prioritizes beneficiaries based on different categories; small and mid-size forest owners are considered. The prioritization considers environmental, economic, and social vulnerability, as well as gender and the presence of IPs and vulnerable populations. The BSP also includes specific criteria for women’s organizations and women’s involvement as beneficiaries and plot owners. ASPECT 3.2 Equitable and transparent mechanisms for accessing benefits. The benefit sharing mechanism and corresponding procedures, such as mechanisms for channeling funds, and their alignment with local priorities and circumstances GOALS FOR ASPECT 3.2 » Participation of constituencies in the benefit » Constituencies access equitable carbon and » Constituency members have leadership roles in the sharing mechanism during RBCF implementation noncarbon benefits and actively engage in benefit design and implementation of the benefit sharing increases sharing mechanisms mechanism and corresponding procedures ACTIONS FOR ASPECT 3.2 » Actively promote the participation of constituencies: » Ensure that constituencies equitably benefit from » Put rules and regulations in place that ensure the sharing mechanism: leadership roles for constituencies in designing • Develop benefit sharing mechanisms through benefit sharing mechanisms: participatory decision-making processes that • Direct investments in measures to help women are legitimate, equitable, and accessible to achieve better outcomes for themselves • Improve upstream design to ensure IP and constituencies and their communities (including access to LC ownership of resources and attention to financing and markets) defining rights and resources • Ensure that the development of finance mechanisms, investments, and distribution of • Condition financing on improved outcomes for • Ensure that, while taking a stronger role at the benefits start with a gender analysis (of value people outset, governments orchestrate progressive chains, institutional mechanisms, and so on) transfer to constituencies as their capacities • Structure incentives based on a participatory to allow better understanding of roles and for management and engagement in different and inclusive decision-making processes existing power relations political arenas are developed • Design payment structures so that they reflect • Dedicate subproject funds specifically to • Promote leadership roles for women, IPs, and the key priorities of community actors projects run by or benefiting women, which LCs in producer associations provide multiple benefits, including in-cash and • Promote partnerships that connect IPs, • Co-design mechanisms for funds flow (that is, in-kind carbon benefits as well as noncarbon LCs, women, and marginalized groups to disbursing funds) with constituencies early in benefits, including leadership development, sustainable market channels for alternative the program cycle financial capacity, and stronger social livelihoods (for example, nontimber forest networks products and ecotourism) 25 26 Good Practices for Social Inclusion Targeting Interventions INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 3: DISTRIBUTION OF BENEFITS AND COSTS • Assess the capacity of funds management • Earmark a share of the achieved RBCF to systems to manage benefit flows efficiently specific initiatives or projects to promote social and inclusively and consult with constituencies inclusion or implementation of specific plans, on their priorities to identify gaps such as a gender action plan • Incorporate funds flow mechanisms that prioritize efficient and timely delivery of benefits to constituencies INDICATORS FOR ASPECT 3.2 » % or # of constituency members involved in income- » Benefits received by constituencies through RBCF » # of constituency members who have improved generating activities and in project activities and initiative programs and activities their livelihoods through the implementation meetings of RBCF measures and sustainable economic » # of constituency members stating that local alternatives (environmental, cultural, social, and » % or # of constituency members involved in priorities and realities were considered in the economic) consultations on funds flow mechanisms benefit sharing process » % of leadership roles occupied by constituency » # of constituency members reporting that the members benefits promised arrived, and on time » # of constituency members involved in co-design of funds flow CASE STUDY FOR ASPECT 3.2 Ethiopia: Ethiopia’s Oromia Forested Landscape Program allocated 75 percent of its payment for emission reductions to communities. Of that amount, 45 percent will be invested in social development and livelihood improvement activities, and 50 percent will be invested in land use and related activities that generate more reductions. The remaining 5 percent was allocated to a revolving fund for underserved social groups. Noncarbon benefits will likely outweigh any direct payments received because the program delivers capacity building, increased income from new and improved land use practices, more secure flows of environmental services, and the development of natural resource–based small enterprise. INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 3: DISTRIBUTION OF BENEFITS AND COSTS ASPECT 3.3 Engagement of constituencies in design and implementation. Context-appropriate engagement at various levels, from local ownership to co-ownership, including direct access to carbon finance and scaling investment to communities GOALS FOR ASPECT 3.3 » Constituency members easily access information » Constituency members co-design and co- » Constituency members actively engage and about the initiative necessary for meaningful implement the initiative negotiate with actors and pursue opportunities as participation in its design and implementation full partners and co-owners of the initiative ACTIONS FOR ASPECT 3.3 » Ensure that information about the initiative is » Incorporate participatory design and » Support processes and actions that provide transparent, accessible, and continually shared implementation processes that meaningfully constituencies with negotiating power: with constituencies: engage constituencies: • Develop capacity in negotiation, carbon • Ensure transparent information-sharing • Adopt participatory design processes markets, and legal issues regarding the initiative’s benefits and costs, to ensure that the initiative reflects • Support investment in legal, financial, and carbon sale price, and the income and profit of constituencies’ territorial vision (that is, aligned administrative capacity for constituency the initiative with community-based development and organizations so they can successfully planning instruments, such as Indigenous • Support learning exchanges (for example, negotiate with climate finance actors communities’ life plans) south–south or regional) to strengthen • Support channels for constituencies to directly knowledge-sharing about carbon finance • Support continuous monitoring of benefits access carbon finance instruments and and costs by constituencies and grassroots • Ensure that financial information on the investments organizations initiative is publicly accessible for communities, • Incorporate strategies into the initiative to market actors, and government authorities • Adopt adaptive processes so that benefit minimize risk for constituencies, such as sharing approaches are updated at regular • Require that agreements and key program blended finance, price floors, dynamic revenue intervals in consultation with constituencies documents are drafted in local languages sharing, and stabilization funds • Promote multistakeholder platforms for • Promote mixed-gender—but also women-only constituencies to engage in analyzing data, and men-only—spaces for dialogue to share making decisions, and designing the initiative information and perspectives on the initiative INDICATORS FOR ASPECT 3.3 » The initiative provides an information-sharing » # of community development plans or life plans » # of constituency members with enhanced capacities platform that is accessible through multiple channels supported by the initiative in negotiation, carbon markets, and legal issues (online, WhatsApp, radio, info centers, and so on) » Monitoring systems, approaches, and data that » # of constituency organizations with enhanced legal, » # of constituency members that report they can assess benefits and costs exist and are supported financial, and administrative capacities access all relevant information because they were by constituencies and grassroots organizations » The initiative includes a diverse set of carbon provided in the local language and in a culturally » # of multistakeholder platforms (for IPs, LCs, or finance strategies and options that benefits appropriate way women) that were strengthened during RBCF constituencies and minimizes risk implementation 27 28 Good Practices for Social Inclusion Targeting Interventions INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 3: DISTRIBUTION OF BENEFITS AND COSTS » # and types of media, meetings, and publicity disseminated to information centers and made accessible to interested parties, including in local languages » # of reports sent to constituency members » # of constituency members reporting they were provided timely and relevant information that contributed to decision making CASE STUDY AND ADDITIONAL NOTES FOR ASPECT 3.3 Colombia: World Wildlife Fund Colombia has devised recommendations for developing fair and equitable REDD+ agreements with communities (World Wildlife Fund Colombia and CCAP 2024). Additional notes: The Ecosystem Marketplace, supported by Forest Trends, provides information on carbon prices and thousands of carbon projects around the world in order to increase transparency and provide data previously only available to institutions and investors. ASPECT 3.4 Accurate assessment and compensation for real costs. Assessment and compensation for real costs, including opportunity costs, transaction costs, or other hidden costs (to constituencies) linked to implementation, loss of access to land, increased labor, and changing livelihoods, for all and for specific groups within villages GOALS FOR ASPECT 3.4 » The real costs to constituencies of their » Equitable assessment and compensation for real » The initiative assesses and compensates for costs participation in the initiative are recognized costs are defined equitably ACTIONS FOR ASPECT 3.4 » Recognize the real costs of participation (including » Assess real costs and define equitable » Compensate for real costs to constituencies: the development and implementation of the compensation: • Present compensation information initiative) across constituencies: • Collaboratively factor in the benefits and costs transparently through monitoring-evaluation- • Collaboratively analyze costs to provide an of the care economy and design strategies to learning bodies that decide on the benefits and understanding of both positive and negative support care networks costs impacts on REDD+ actors and beneficiaries • Collaboratively factor in and define • Implement a compensation committee • Monitor gender inequality and gender-based compensation for the opportunity costs of that has equitable representation from violence in the forestry sector and establish lost forest use, such as fuelwood, nontimber constituencies, including constituencies in survivor-centered grievance redress mechanisms forest products, and other uses for subsistence leadership positions that respond to the needs of the victim consumption INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 3: DISTRIBUTION OF BENEFITS AND COSTS INDICATORS FOR ASPECT 3.4 » Opportunity costs, transaction costs, and » Opportunity costs, transaction costs, and » Projected costs, potential revenues, compensation, implementation costs are mentioned in BSP/ERP implementation costs are assessed and other benefits and associated risks of the documents and specified for constituencies (but initiative are distributed/compensated for each » Compensation for costs is defined may not be assessed) constituency group » % of constituency members on committees/bodies that determine and assess benefits and costs CASE STUDY AND ADDITIONAL NOTES FOR ASPECT 3.4 Costa Rica: Rural women in Costa Rica invest 26 hours more in caregiving per week than do men. Lack of understanding of the different caregiving roles is another major challenge because labor division and gender roles have further excluded women from economic processes. Experience shows that initiatives will not succeed in being inclusive unless they aim to address issues of care and co-responsibility. Additional notes: Local forest use is often classified as “the hidden harvest” because a large proportion is for subsistence consumption, and even much of what reaches the market is not included in official income or livelihood statistics. Restricting access to such forest uses is part of the opportunity costs of conservation and needs to be included both as a “cost compensation,” and also as a “propoor” rationale because such incomes are relatively more important to the poorest households (Angelsen and others 2014). As these costs are hidden, extra effort is needed to bring them to the table to ensure fair compensation for the costs incurred. Source: EnABLE, World Bank. 29 30 Good Practices for Social Inclusion Targeting Interventions Table 4. Goals, actions, and indicators for Area 4 by aspect INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 4: CAPACITIES, KNOWLEDGE, AND SKILLS ASPECT 4.1 Responsive capacity and skills development. An approach to capacity building that is responsive to diverse local priorities and needs, and embraces inclusive learning mechanisms, such as participatory monitoring GOALS FOR ASPECT 4.1 » Representation of constituency members in » Constituencies benefit from capacity development » Constituencies lead and/or design capacity capacity development activities, such as training activities, and the activities respond to their development activities and workshops, increases priorities and needs ACTIONS FOR ASPECT 4.1 » Implement mechanisms to increase constituencies’ » Design activities that benefit constituencies and » Put mechanisms in place to ensure that representation in capacity development: respond to their priorities and needs: constituencies lead capacity development: • Disseminate information on activities in local • Engage constituencies in participatory • Develop women’s organizational and advocacy languages and use visual media approaches to assess capacity development capacities and skills, and strengthen collective priorities and needs action by collaborating with existing formal • Promote gender inclusion by addressing and women’s organizations to organize training meeting women’s needs using strategies to • Implement capacity building programs that events and meetings with local women encourage women’s interests and engagement address constituencies priorities (offer training in local languages, use visual • Hire facilitators from constituencies’ groups • Include science, technology, and technical skills media and local radio, offer women-only on forest management in training oriented forums for discussions, and schedule activities toward women at convenient locations and times for women) • Employ female extension agents to work with female villagers in women-only groups INDICATORS FOR ASPECT 4.1 » Existence of a mechanism (campaign, platform, » Increased capacities in areas that respond to the » # of capacity development activities designed by intervention) to increase the number of constituency needs of constituencies constituencies members participating in capacity development » % or # of constituency members who report that » # of training facilitators who are members of » # or % of constituency members participating in the training responds to their priorities and needs constituencies capacity development » % or # of constituency members with increased » # of activities, talks, meetings, workshops, and so on capacities to participate in leading, designing, and planning the initiative CASE STUDY FOR ASPECT 4.1 Mozambique: Illiteracy is higher among women than men, especially in the rural areas of Mozambique. Including access to functional literacy opportunities for women as part of the program was recommended to improve their capacity to participate. INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 4: CAPACITIES, KNOWLEDGE, AND SKILLS ASPECT 4.2 Improved capacity of state and other key actors to comprehend Indigenous and local worldviews and customs. The capacity, tools, and skills necessary to understand and engage with constituencies’ needs, including training to sensitize state actors regarding engaging with IPs and LCs and how to develop and implement safeguards and FPIC collaboratively GOALS FOR ASPECT 4.2 » Local value systems, gender, intergenerational, and » The incorporated local value systems and » The incorporated crosscutting approaches improve intercultural crosscutting approaches are included practices, as well as intercultural, intergenerational, the social inclusion of constituencies and program in BSP/ERP documents and gender approaches, benefit constituencies outcomes ACTIONS FOR ASPECT 4.2 » Include local value systems, gender, » Ensure that approaches on gender, » Implement crosscutting approaches to influence intergenerational, and intercultural crosscutting intergenerational, and intercultural perspectives the design and implementation of initiatives and approaches in BSP/ERP documents: address the diverse needs, circumstances, and promote the inclusion of constituencies: interests of constituencies: • Provide clear guidance on gender policies and • Build and support “champions” and agents implementation and sustained management • Provide specific training for implementers on of change by providing coaching, mentoring, commitment on mainstreaming gender in the gender equity and social inclusion and a support network when they encounter relevant bodies to obtain gender-responsive results resistance • Periodically audit gender-responsive and • Develop and implement operational social inclusion results to enable policies, • Require clear and mandatory baselines on procedures, guidelines, and tools to support the accountability, and implementation gender responsiveness for the accreditation of implementation of policies mechanisms to be adjusted as needed implementing entities to allow operations to move forward • Develop institutional capacity at the national and • Institute or strengthen multistakeholder subnational levels by establishing formal structures, platforms for constituencies to express their • Provide support and guidelines for the including gender policies, strategies, terms of needs and interests implementation of gender policies at the reference, coordination positions, and budgets subnational level, including training and follow- • Enhance skills of those implementing with up support and mentorship • Strengthen gender competencies among the training in social inclusion topics, including initiative’s core staff to enhance attention to gender-sensitivity, inclusion, and the care gender and social issues economy, particularly for implementers and those in leadership roles • Strengthen capacity for environmental management and land use planning from gender, intergenerational, and intercultural perspectives INDICATORS FOR ASPECT 4.2 » Local value systems, gender, intergenerational, and » # of intercultural dialogues organized » % or # of implementers who understand and intercultural perspectives are recognized and reflected apply crosscutting approaches on gender, » # of training events on intercultural and gender as crosscutting approaches in BSP/ERP documents intergenerational, and intercultural perspectives approaches » # or % of RBCF implementers participating in capacity » # of constituency members who report that their » Proposals benefited from the inclusion of gender advice development needs and interests were respected » # of activities, talks, meetings, workshops, and so on » # of constituency members stating that their rights were protected and respected 31 32 Good Practices for Social Inclusion Targeting Interventions INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 4: CAPACITIES, KNOWLEDGE, AND SKILLS ADDITIONAL NOTES FOR ASPECT 4.2 Mainstreaming gender in RBCF requires not only political commitment but also dedicated funding; recognition of existing social and cultural norms, politics, and power asymmetries; and interventions to address power dynamics embedded in existing political and social structures. While external pressure and funding can help countries take their first steps in mainstreaming gender into RBCF activities, coalitions for change are also required to translate policy into practice on the ground and maintain gender as a political priority. These include influential government agencies able to make binding decisions and the active presence of civil society (Pham and others 2021). ASPECT 4.3 Empowered Indigenous and local capacity to engage in and benefit from initiatives. Enhanced community governance and negotiating capacity, including access to financial mechanisms and governance, as well as capacities for changing livelihoods GOALS FOR ASPECT 4.3 » Capacities to negotiate in the initiative are » Capacities to benefit from the RBCF initiative are » Local constituencies are empowered to shape the enhanced enhanced initiatives and share benefits ACTIONS FOR ASPECT 4.3 » Implement specific solutions and mechanisms » Strengthen capacities for constituencies to » Empower local constituencies to be full partners in to build knowledge and skills on governance and benefit from initiatives: the initiative: negotiation to reach constituencies: • Build capacity at the proposal development • Design local level initiatives supporting • Conduct participatory analysis of the feasibility stage by providing a gender advisor assigned to alternative livelihoods of alternative livelihood projects, including subproject applicants so they can strengthen • Support investment in legal, financial, and market analysis their proposals administrative capacity for constituency • Develop transparent information sharing • Provide specific training for subproject applicants on organizations so they can successfully engage regarding the initiative’s benefits and costs, negotiation, administration, and financial capacity in negotiation with climate finance actors carbon sale price, and the initiative’s income • Utilize small grants and local level financing and profit to strengthen the capacities of community organizations and women’s groups • Support initiatives that strengthen community governance INDICATORS FOR ASPECT 4.3 » # of livelihood projects identified and assessed » Proposals benefited from the inclusion of gender advice » # of local level livelihood initiatives designed » # of training events in negotiation, carbon markets, » # of training events on negotiation, administration, » # of constituency organizations with strengthened and legal issues and financial capacity legal, financial, and administrative capacities » Information-sharing platform exists » # of organizations strengthened at the community level CASE STUDY FOR ASPECT 4.3 Viet Nam: EnABLE programming in Viet Nam included the development of an innovative mobile app to improve the ability of the most marginalized groups—ethnic minority women and youth—to engage in the ERP, for example, by submitting proposals; providing feedback; and accessing community meeting minutes, financial/implementation plans, and reports. The app incorporates AI models trained to translate two unwritten ethnic minority languages using audio recordings of community members; this allow ethnic minority groups to access benefit sharing information in their native languages. INTEGRATIVE LEVEL PROMOTIVE LEVEL TRANSFORMATIVE LEVEL TARGETING STRATEGY FOR AREA 4: CAPACITIES, KNOWLEDGE, AND SKILLS ASPECT 4.4 Integration of local and traditional knowledge. Local and traditional knowledge recognized and meaningfully incorporated into RBCF processes, from the design stage to implementation and monitoring GOALS FOR ASPECT 4.4 » BSP/ERP design and implementation recognizes » Constituencies benefit from innovations and » RBCF design and implementation processes are and incorporates local and traditional knowledge. practices in natural resource management co-created through the incorporation of local and linked to their traditional knowledge and the traditional knowledge incorporation of traditional forest knowledge in forest management strategies ACTIONS FOR ASPECT 4.4 » Recognize and incorporate local and traditional knowledge » Ensure that the incorporation of traditional » Co-create RBCF design and implementation into the RBCF initiative’s design and implementation: knowledge, innovations, and practices in natural processes through the incorporation of local and resource management benefits constituencies: traditional knowledge: • Promote multistakeholder platforms for constituencies to incorporate local and • Establish robust criteria for improved targeting • Create a national advisory committee traditional knowledge in the RBCF initiative of knowledge products and exchanges comprising constituency members and technical (national and regional) experts to co-develop recommendations on how • Actively engage with IP and LC women, who to incorporate local and traditional knowledge in are often the bearers of traditional knowledge the design of the RBCF initiative related to forests and nontimber forest products INDICATORS FOR ASPECT 4.4 » # of platforms, activities, or engagement processes » # of constituencies stating that their local » % or # of constituency members involved in the for incorporating local and traditional knowledge into and traditional knowledge is reflected in RBCF design of the RBCF initiative’s processes the initiative’s design and implementation initiative’s design » # of locally appropriate/ adapted forest » Elements/influences of local and traditional knowl- management and conservation practices edge in RBCF design and implementation » % or # of IP and LC women (and other culture-bearers) involved in the initiative’s design and implementation CASE STUDY FOR ASPECT 4.4 Lao PDR: In Lao PDR, women’s traditional knowledge on forest use is often poorly recognized and not taken into account. Many ethnic groups practice systems of land use and resource management that are uniquely adapted for upland areas. These systems have developed over generations, as part of traditional ways of life, and are underpinned by ritual and customary practices. Within upland land use and resource management systems, men and women have developed different concepts of gender- specific rights and responsibilities. These responsibilities serve as methods of ensuring the sustainability of their livelihoods, communities, and cultural identities. Source: EnABLE, World Bank. 33 Good Practices for Social Inclusion Targeting Interventions SHARING AND LEARNING Figure 2. Example of applying EnABLE’s Social Inclusion Barometer Effective tenure dispute mechanism Ability to exercise rights Approaches to Sharing and Secure resource rights Active engagement Learning EnABLE’s Social Inclusion Various approaches can be used to share the findings generated through EnABLE’s Social Inclusion Targeting Barometer Transparency and Strategies in order to contribute to group learning and EnABLE’s Social Inclusion Barometer draws on the Secure land rights accountability encourage improvement and feedback. Presenting the 4 strategic areas and 16 related aspects to combine status quo and progress graphically is a convenient way indicators in a visual representation of progress in to share results, including baseline levels, progress over social inclusion (Figure 2). This allows fit-for-purpose Recognized time, and disaggregated results by constituencies, with adaptations based on quantitative and qualitative tenure rights and Incorporation of stakeholders. A combination of narrative and graphical indicators measuring whether strategies are in place or regimes Indigenous value systems forms can reduce complexities and make the information in progress. The barometer also provides an indication of more understandable. Figures and tables are useful to gaps and areas that need strengthening. For instance, facilitate the communication of data. Indexes, dashboards, the orange dots designate where little to no progress or barometers can help generate comparisons. This section has been made, blue dots denote that some progress provides suggestions and examples of these approaches. has occurred, and yellow dots indicate that a particular level of social inclusion has been implemented. In short, Agreed structure Responsive of actors and capacity Sharing and discussing the results of monitoring the barometer summarizes and communicates results. It development benefits with constituencies and stakeholders should occur at may also be helpful to generate separate barometers or designated intervals during implementation, prior to analyses for the different constituencies served. planning the next phase, or at milestones (such as the Equitable Comprehension of midterm of a country program). Reflection and discussion could center around the following topics: Sample Results mechanisms for Indigenous world views accessing benefits and culture The ultimate output of EnABLE’s Social Inclusion Targeting 1. Aligning goals: Are the implemented interventions Strategies is a set of constraints to social inclusion mapped Engagement in design Empowered Indigenous and leading to the intended goals/change? Where are the to the appropriate strategic area and aspect (Table 5). The and implementation local community capacities mismatches in aspirations among stakeholders or example provided reflects the chosen constituency (Table with reality? How can priorities be negotiated to find 5, row 1), the constraint identified (Table 5, row 2), and Compensation for Integration of traditional middle ground? the related aspect indicating the specific strategy to be real costs knowledge employed (Table 5, row 3). In this example, the integrative- 2. Assessing strategies and actions for improving social level goal was selected (Table 5, column 2). Since the scale inclusion: Are the assumptions correct or is further of inclusion provides guidance on how to aim for a higher alignment needed? order level of change, or ambition, additional strategies can Risk Mitigation Reach No, little to no progress, not in place also be selected at the promotive and transformative levels Neutral level Integrative-level 3. Setting realistic targets: Where should activities be (Table 5, columns 3 and 4). of inclusion approach to inclusion Somewhat, some progress, not fully in place targeted? What is the most effective way to do this? What indicators will monitor progress effectively? Considerations to Inform the Benefit Promotive-level Empower Transformative-level Yes, implemented, in place 4. Targeting mechanisms: What targeting mechanisms Selection of Indicators approach to inclusion approach to inclusion worked well and in what context? What additional targeting mechanisms could have been used? It is a common pitfall to select more indicators than can feasibly be collected or analyzed, so setting boundaries is Source: EnABLE, World Bank. essential. Minimum and maximum numbers of indicators Note: This example is based on an assessment of Guatemala’s emission reductions program and presents a scorecard approach, involving periodic should be determined based on the availability of existing assessments of progress toward goals along the scale of inclusion. For instance, integrative-level approaches to tenure disputes score yellow information or the degree to which new information can (implemented), whereas promotive-level approaches score blue (in progress), and transformative-level approaches score orange (not in place). 34 35 Good Practices for Social Inclusion Targeting Interventions Table 5. Example of results derived for a specific constraint using EnABLE’s Social be reliably collected. Furthermore, it is important that a Tools to represent qualitative indicators (or hybrid Inclusion Targeting Strategies judgment be made on the level of change pursued once indicators) include Likert scales (South and others 2022), data are collected. Considerations about weighting and progress wheels (McDonald and others 2016), traffic Constituency: Women in the intervention areas aggregating indicators may come into play later. At light indicators (Doren and others 2009), and milestones this stage, simplicity is the priority. Both qualitative and and scorecards (CARE Malawi 2013), among others. Constraint identified: Lack of literacy and hence lack of knowledge about processes for selecting communities and quantitative indicators should be considered (Boxes 1 and 2). Approaches include expert panel information, focus participants and about ERP and BSP regulations. Lack of participation in discussions and decision making on ERP groups, multistakeholder forums, and Stories for Impact. issues, including lack of access to decision-making spaces. Related aspect: 2.4. Transparency Collecting and Analyzing Data Key informant interviews and quotes from implementers, constituencies, and other stakeholders can also be Level of desired change determined by team For each quantitative indicator, it can be useful to identify used to measure change qualitatively. Data analysis of a team member to collect the information from the quantitative indicators can be more time-consuming but Integrative level Promotive level Transformative level identified source. Ideally, this person would be trained in can be aided through the use of coding software (Belcher Goal » Increase constituencies’ » Constituencies have spaces » Constituencies are fully and gender equity and social inclusion and should be involved and others 2020). ability to participate in to participate in program- effectively accessing data on in the prioritization process. Capacities for data collection generating and accessing all related decision making the design, implementation, and analysis may need to be strengthened. Data may be found in disparate and dispersed reports, relevant information and evaluation stages of the spreadsheets, and databases, among many institutions RBCF initiative Actions » Design information sheets » Promote multistakeholder » Support the development Box 1. What makes a good quantitative indicator? (knowledge products) using platform for constituencies of national and local Descriptive characteristics indicating good quantitative indicators are listed and explained below: inclusive language in various to engage in analysis of steering committees and dialects and visual content/ data, decision making and multistakeholder platforms, Valid. Indicators should measure the aspects of the Nondirectional. Indicators should allow change in any pictures design on the RBCF initiative with equal representation by program they are intended to measure. direction rather than specifying a direction (for example, women, that provide input the wording “the level of awareness” is far preferable to “an into ERP/BSP processes Specific. Indicators should only measure the aspect of increased awareness”). the program they are intended to measure. Indicators » Resources are allocated for » # of constituency members » # of community forest Precise. Indicators should have clear, well-specified the translation of training who report that they were platforms (for IPs, LCs, Reliable. Indicators should minimize measurement error definitions. materials that cater to provided with relevant and women) that were and produce the same results consistently over time, constituencies’ needs and timely information to strengthened during RBCF regardless of the observer or respondent. Feasible. Measuring an indicator must be possible using contribute to decisions implementation available tools and methods. » # of constituency members Comparable. Indicators should use comparable units and who report that they » # of ideas or concerns » # of co-designed indicators denominators to enable broader understanding of impact Programmatically relevant. Indicators should be can access all relevant submitted by constituencies rolled out or effectiveness across different populations or program specifically linked to a programmatic input, output, or information because it approaches. outcome (output indicators are more common because was provided in the local they are easier to measure, but they are unlikely to language and in a culturally measure transformative change). appropriate way Source: Bloom (2008). » # and types of media, meetings, and publicity targeting information Box 2. What makes a good gender indicator? centers that disseminate information accessible to The following references provide information on what makes a good gender indicator: interested parties in local World Bank Gender Strategy 2024-2030 languages OECD Toolkit for Mainstreaming and Implementing Gender Equality Source: EnABLE, World Bank. Notes: ERP = emission reductions program; BSP = benefit sharing plan; IPs = Indigenous Peoples; LCs = local communities; RBCF = results- Gender Indicators: What, Why and How? based climate finance. Source: EnABLE, World Bank. 36 37 Good Practices for Social Inclusion Targeting Interventions and across various levels. EnABLE data may be more easily collected and aggregated, but many of the In Indigenous landscapes, multicultural experience should be required. A common social inclusion data platform, CASE STUDY indicators noted would require collaboration with guided by a data collection protocol, that actors can partners and efforts to access relevant data. Data may contribute data to and access could provide a catalytic not, however, be disaggregated into the categories monitoring and learning resource for the broader RBCF EnABLE conducted an assessment of Guatemala’s 2017 title to emission reductions to FCPF (for more required, such as gender, youth, migrants, and people community, with impacts well beyond the monitoring BSP and related documents to test its Social Inclusion information on transferring titles, see FCPF 2018) with disabilities. To address this challenge, a standard needs of EnABLE. Targeting Strategies. Guatemala was selected, in part, protocol should be developed by ground-level actors, such because IPs are key constituencies there. 4. Submission of agreement between the program/ as implementing agencies and local partners. Participatory Monitoring implementing entity, through the Ministry of Public Surveys may be needed to capture many of the Participatory monitoring approaches can facilitate group Country Context Finance, and the National Forest Institute (INAB) as the executing entity, specifying INAB’s role in the indicators. Experience with gender research should be a learning, improve transparency, and build trust (Box 3). With a total land area of 108,889 square kilometers, implementation of the ERP on behalf of the program/ selection criterion for local enumerators, and training on Guatemala has the largest population in Central America: implementing entity gender-disaggregated data collection may be necessary. 17 million people as of 2021, with 48 percent residing in rural areas. Historically, the country has been considered 5. Submission of evidence demonstrating that the a center of origin and expansion of the Maya Indigenous implementation of the ERP measures that generated population, which today comprises 21 different ethnic emission reductions from January 1, 2020, until the Box 3. Participatory monitoring approaches groups. Guatemala is also inhabited by the Indigenous date of the agreement were consistent with the Xinca people and Afro-descendant Garifuna people. safeguard plans The following references provide information on participatory monitoring approaches: Ladino people, of mixed Spanish and Indigenous descent, • Equal Access Participatory Monitoring and Evaluation Toolkit: Helping Communication for Development are the largest group (56 percent according to 2018 Resolution of these effectiveness measures was expected Organisations to Demonstrate Impact, Listen and Learn, and Improve Their Practices National Census Data). Ethnicity is a key dimension of to take place in December 2022. Interviewees, especially Guatemala’s socioeconomic differentiation in terms of those engaged in the governmental Inter-institutional • Participatory Monitoring in Tropical Forest Management: A Review of Tools, Concepts and Lessons Learned access to public services and resources affecting the Coordination Body were aware of these measures, Indigenous population (44 percent according to 2018 recognizing progress in the resolution of stipulations • Field Guide to Adaptive Collaborative Management and Improving Women’s Participation National Census Data). Marginalized groups include 3 and 4, and substantive progress in the clarification • How Are We Doing? A Tool to Reflect on the Process, Progress and Priorities of Your Multi-Stakeholder Forum women (51 percent based on 2021 World Development and development of stipulations 1 and 2. Not enough Indicators) and youth (53 percent under 24 years information was captured during the interviews on • Getting It Right: A Guide to Improve Inclusion in Multi-stakeholder Forums old according to 2018 National Census Data). These stipulation 5. During interviews, some interviewees were marginalized groups have historically had lower incomes, aware of the steps already taken and actions needed by Source: EnABLE, World Bank. lower quality of life indicators, and inequitable access to the Guatemalan government, but not all interviewees— assets such as land. including officers from government institutions in the environmental sector—had the same understanding of Overview of Results-Based existing efforts and progress. Climate Finance Activities in Guatemala opted for a subnational ERP, which excludes two areas of the country (one with social conflicts and Guatemala three municipalities in Izabal that chose to opt out). According to the 2021 ERP document, the ERP comprises Guatemala submitted the latest draft of its ERP in August 19 REDD+ actions that respond to the direct and 2021. That version notes five effectiveness conditions that underlying drivers of deforestation and forest degradation. need to be addressed for payments to commence. These ERP implementation was designed to focus on REDD+ conditions are summarized as follows (World Bank 2021): actions implemented through three types of initiatives: 1. Further clarification of outstanding issues in the BSP 1. New and existing early REDD+ projects, including three existing early REDD+ initiatives that provide 2. Submission of a BSP operations manual valuable lessons for successful integration of inclusion and fairness (Guatecarbon, Proyecto REDDes Locales 3. Submission of the program entity’s ability to transfer para el Desarrollo, and Proyecto Lacandón) 38 39 Good Practices for Social Inclusion Targeting Interventions 2. Forest incentive programs, including PROBOSQUE, Target Groups/Beneficiaries especially around unequal land tenure structures, include 3. Map actions to the scale of inclusion using EnABLE’s Forest Incentives Program for Smallholders in FCPF Social Inclusion land grabbing and poor social inclusion in the distribution Social Inclusion Targeting Strategies (Tables 1 through (PINPEP), and the Mechanism for Compensation of benefits. To avoid exclusion of vulnerable groups, the 4) to assess whether the BSP includes related of Ecoystem and Environmental Services Activities BSP established that at least 35 percent of initiative strategies and actions for each aspect and, if so, (MCEES), and the management models for forest beneficiaries should comprise women, youth, and vulnerable determine the appropriate level the strategies and conservation and sustainable use existing within The ERP and BSP specify three categories of beneficiaries: communities. Also, the BSP prioritizes initiatives within actions target on the scale (that is, the integrative, the Guatemalan Protected Areas System (SIGAP) (1) beneficiaries of REDD+ initiatives, (2) proponents of municipalities that have a high risk of food insecurity. promotive, or transformative level) individual and group REDD+ initiatives, and (3) national 3. Existing Forest Investment Program investments (approximately US$27 million), including the government institutions. The ERP documents (the BSP, Stakeholder Engagement Plan, and ERP) indicate that Assessment of Guatemala’s 4. Determine where the Guatemala BSP is in this process based on the results Dedicated Grant Mechanism (DGM) the priority groups to be targeted for social inclusion are Benefit Sharing Plan REDD+ actions were mapped across five strategic IPs, LCs, Garifuna Afro-descendant groups, Xinca groups, women, and youth. BSP documents further specify the This assessment aimed to determine whether the chosen Synthesis of Relevant Findings options (synthesized from the ERP): following potential beneficiaries: (1) individuals and legal aspects were relevant, useful, and comprehensive in This section presents a synthesis of relevant findings across persons (landowners and land users); (2) associations, understanding social inclusion and to clarify how EnABLE’s aspects to facilitate interpretation of the results of the case 1. Strengthening forest governance by (a) improving cooperatives, and committees legally established and Social Inclusion Targeting Strategies could be used to assess study. This “scorecard” approach can be used by country interinstitutional and intersectoral coordination with organizational and representation structures for BSP documents. It was necessary to conduct the assessment teams and key stakeholders to assess ERP progress toward mechanisms with forest-sector stakeholders, (b) decision making, including communities with ancestral not only on the BSP but also on the bundle of related, cross- social inclusion goals either through a document review encouraging local participation, (c) transparency, rights; (3) private companies; (4) municipalities (including referenced documents, including the ERP. For simplicity, these (as in this exercise) or a participatory process. Results (d) legitimate decision making, and (e) effective Mancomunidades and the National Association of documents are referred to hereafter as “the “BSP.” indicate that Guatemala has made important progress enforcement of forest regulations Municipalities); and (5) nongovernmental organizations. across all four areas of social inclusion despite the existing A guide to the assessment was prepared outlining the constraints and challenges. These results support continued 2. Promoting forest conservation, protection, and Guatemala’s ERP recognizes that “REDD+ projects are following steps: strengthening of existing strategies promoted by the sustainable forest management by vehicles to reward [IPs' and LCs’] historical contribution government and facilitate the identification of priorities to (a) implementing sustainable forest management to forest protection, while providing incentives for their 1. Identify the constraints to social inclusion noted in the BSP further strengthen progress. Finally, results show important models that support local livelihoods, (b) using participation in integrated land-use planning”; the gaps, especially around the assessment of real costs, different options based on their strategic document further states “the ER Program adopts a rights- 2. Identify the strategies and actions in the BSP that as well as the ability to exercise rights, the adoption of importance and productive capacity, and (c) based approach that respects internationally agreed address the constraints inclusive monitoring systems, the incorporation of local and focusing on areas with higher levels of deforestation [environmental and social safeguard] aspects” (World traditional knowledge, and approaches that secure land and forest degradation Bank 2021, 23). According to the ERP, rules regarding benefit sharing procedures and management structures 3. Promoting investment in forest and land restoration will be instrumental to ensure transparency of benefit activities to (a) restore the forest landscape, (b) distribution, as well as involvement in decision making. maintain and improve the sustainable provision of goods and services from forest ecosystems, and (c) The BSP highlights equity and solidarity as principles for reduce pressure from agricultural expansion benefit sharing. The key socioeconomic noncarbon benefits mentioned in the BSP and ERP documents are including 4. Promoting sustainable and efficient use of firewood vulnerable communities and groups (IPs, LCs, women, to reduce pressure on natural forests and youth), strengthening capacity, strengthening forest governance, contributing to food security, generating 5. Promoting competitiveness and legality of forest employment, recognizing IPs’ and LCs’ knowledge, and products by (a) integrating the economic actors in improving livelihoods. forest value chains and (b) promoting forestry regulation Social risks identified include weak law enforcement of forest management regulations and decision making that does not respect the cultural values or consider the cultural characteristics of IPs in terms of territory management, use of natural resources, and provision of culturally appropriate technical assistance. Other legacy issues mentioned, 40 41 Good Practices for Social Inclusion Targeting Interventions and resource tenure rights. Initiatives to strengthen social inclusion should therefore include strategies to address experiences around existing constraints and potential actions to address them. Strengthening actions that REFERENCES constraints under these aspects. 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