Resources Policy 54 (2017) 97–108 Contents lists available at ScienceDirect Resources Policy journal homepage: www.elsevier.com/locate/resourpol Extractive industries in forest landscapes: options for synergy with REDD+ MARK and development of standards in the Democratic Republic of Congo ⁎ Kirsten Hunda, , Jolien Schureb, Arend van der Goesc a World Bank Group, 1850 Street NW, Washington D.C., United States b Schure Research, Scheepstimmermanstraat 95, 1019 WV Amsterdam/ Forest and Nature Conservation Policy Group, Wageningen University & Research, PO Box 47, 7600 AH Wageningen, The Netherlands c Tripple C consulting, 5495 Great East Road, Lusaka, Zambia 1. Introduction extractive industry activities on forests can be modest, highly sig- nificant impacts on forests can become evident when considering forest Mining and on-shore oil and gas extraction are a major driver of landscapes and extractive industry related infrastructure. Impacts on deforestation in tropical forests and account for an estimated 7% of forests can occur during all phases of operations: exploration, ex- total forest loss in Africa, Latin America and Asia (Hosonuma et al., ploitation, processing of minerals and closure. Surface mining, which is 2012). At local levels, extractive industries can be a major cause of the dominant form of mining at present, is particularly damaging to forest loss, as observed in parts of Papua New Guinea, India's Madhya forests (Hirons, 2013b). In addition to the direct removal of forest Pradesh and Guyana (Areendran et al., 2013; Laurance et al., 2012; cover, the indirect impacts of associated infrastructure (e.g. roads, Lowe, 2014). With high global demand, economically valuable mineral mineral transport infrastructure, power facilities, hydropower dams, resources in remote –often forested- areas, such as the Congo Basin, are etc.), connecting infrastructure for other land uses, and associated in- more likely to become developed. New infrastructure corridors, asso- migration can be much vaster. Development of infrastructure requires ciated with mineral exploitation and related hydropower needs, facil- direct forest clearing and opens up forest areas to new settlers and itate access to previously inaccessible tropical forest areas and accel- immigrants, who bring in agriculture, logging and hunting activities erate development and forest clearing in developing regions (Edwards that further impact forests (Finer et al., 2008). Infrastructure develop- et al., 2014; Weng et al., 2013). Deforestation and degradation of tro- ment can furthermore cause blocked or altered water flows with im- pical forests contribute an estimated 14–21% of global emissions (ISU, pacts on forest vegetation (Laurance et al., 2009). Displacement of 2015). Mitigation of impacts on forests and reduction of related emis- existing communities from new mine sites into forest areas is another sions is the main aim of policies on Reduction of Emissions from De- example of indirect impacts from mining on forests. Mining affects forestation and forest Degradation and improving carbon stocks (REDD wider forest landscapes by fostering economic activities that lead to +). Even though most mineral rich countries that are presently de- further incursions into forested areas. For example, the growth of mi- veloping their REDD+ strategies have identified the extractive sector as neral production over the past decade in parts of Brazil has been as- a driver of deforestation, it is often not considered in related policies sociated with unprecedented growth of the agriculture sector and af- and actions. This paper explores options for extractives industries to fected wider land-use change by driving the expansion of plantations contribute to REDD+ objectives, using insights gained from developing and charcoal production (De Assis Costa, 2012; Sonter et al., 2014). REDD+ Standards for extractives in the Democratic Republic of Congo. Mining in forest landscapes can have an especially pernicious effect on As mining is more prevalent in forest areas than oil and gas extraction, ecosystems when they harm the biodiversity function of Protected this paper focuses mainly on mining with the understanding that the Areas (PA). An estimated 7% of operational mines for four major metals underlying principles apply to the entire on-shore extractives in- (copper, zinc, iron and aluminum) overlapped with PA globally in dustries. 2013, threatening the global PA network (Duran et al., 2013). Even in, and near, natural World Heritage Sites (WHS), of which the importance 1.1. Extractive industries and deforestation and sensitivity of ecological landscapes are internationally recognized, there is increased extractive industries’ exploration and exploitation Extractive industries and associated infrastructure are among the that could harm biodiversity and ecosystem services (Turner, 2012). In causes of reduction of intact forest landscapes globally, and ranked as 2015, over 30% of natural WHS overlapped with extractive activities the fourth driver after industrial logging, agricultural expansion and (WWF, 2015). wildfires (Potapov et al., 2017). Even though the direct footprint from The exact impact of Artisanal and Small-scale Mining (ASM) on ⁎ Corresponding author. E-mail addresses: Khund@worldbank.org (K. Hund), jolien@schure-research.com (J. Schure), arendvandergoes@gmail.com (A. van der Goes). http://dx.doi.org/10.1016/j.resourpol.2017.09.011 Received 10 April 2017; Received in revised form 20 September 2017; Accepted 20 September 2017 0301-4207/ © 2017 Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND 3.0 license (http://creativecommons.org/licenses/BY-NC-ND 3.0/IGO/). K. Hund et al. Resources Policy 54 (2017) 97–108 forest landscapes is largely unknown and can be diverse, depending on extraction for timber and woodfuel, and mining, mostly concentrated whether it concerns long-term livelihood activities or a rush situation around urban centers and mining areas. Both industrial mining areas, and whether effective environmental oversight is practiced. A rush si- such as the mining centers of Tshikapa, Mbuji-Mayi (Kasaï-Oriental) tuation, where large-scale in-migration takes place when rumors on the and Kolwezi (Lualaba), Lubumbashi (Haut-Katanga), and artisanal availability of a mineral resource are spread, attract large numbers of mining sites in Bas-Uele, Haut-Uele, Ituri, Tshopo (Former Province people (mostly young men) overnight that rapidly deplete forest re- Orientale), the Kivus (North-Kivu, South-Kivu) and Maniema are asso- sources in a need for food, building materials and energy. In other in- ciated with intensive forest loss (Potapov et al., 2012). The country's stances, ASM may entail a relatively small individual impact on de- rich mineral resources include: cobalt, coltan, copper, diamonds, gold, forestation, but the total scale and duration, together with competing niobium, tantalum, tin, tungsten and uranium (USGS, 2016), as well as land uses lead to cumulative spreading of negative impacts on forest oil and gas. Between 1990 and 2010, mining concessions and conflicts landscapes (Hund and Megevand, 2013). In the Madre de Dios region of have been important factors in deforestation, with protected areas mi- Peru, for example, artisanal gold mining caused massive forest loss and tigating these impacts (Butsic et al., 2015). Since the decline of in- wider impacts on land use from mercury pollution in air and waters dustrial mining in the 1990s, artisanal mining has boomed. This in- (Asner et al., 2013). In other forest landscapes, ASM still has a lower formal and poorly monitored sector has been associated with environmental footprint because of its limited scale and duration, with degradation of mining areas and has further fueled the conflict and low levels of technology and processing, dispersed over a small number insecurity in the east of the country. High mineral prices and DRC's of sites dotted across large areas. Artisanal miners are generally also investment friendly mining code from 2002 and cadastre minier (CAMI) involved in other activities, such as agriculture, the collection of Non- have attracted foreign investors with an estimated 42% of the country's Timber Forest Products (NTFPs), fishing and hunting, which brings surface being allocated under mining titles. These mining permits often additional pressure on forest resources (Ingram et al., 2011). The gen- overlap with forest lands and designated or customary land uses (Mpoyi eral lack of capacity of government services to manage and monitor et al., 2013). In the present uncertain political-economic climate, in- ASM and it being an important livelihood activity for rural households dustrial mining activities are scaled-down, which is likely to quickly pose challenges for reducing impacts of ASM on forests (Hirons, 2011; change when stability reemerges. Schure et al., 2011). The DRC is one of the frontrunners in developing its REDD+ po- licies. The fact that extractives and related infrastructure development 1.2. Reducing Emissions from Deforestation and Forest Degradation (REDD in the Congo Basin are expected to expand in the coming decades +) provides momentum to consider development pathways that are more sustainable. Reducing impacts of extractive industries on forests can After recognition that deforestation and degradation of forests is a contribute to national REDD+ objectives. While DRC's REDD+ plans major contributor to greenhouse gas emissions, reversing this trend was provide some guidance for improved integration of extractive industries considered an opportunity to mitigate climate change. The COP13 of in REDD+ policies, they require more detail on how to achieve prac- 2007 defined REDD+ as local, subnational, national and global actions tical outcomes. whose primary aim is to reduce emissions from deforestation and forest degradation and enhance forest carbon stocks in developing countries. 1.4. Objective and questions An important part of the discussion on REDD+ involved offering a fi- nancial value for the carbon stored in forests by having rich countries The objective of the paper is to provide insights into existing options pay for the reduction of emissions from land-use change and offering for involving the mining sector in achieving REDD+ objectives, by compensation to developing countries for low-carbon development mitigating emissions related to deforestation and forest degradation strategies. Nowadays, the container term REDD+ refers to one or all of and promoting development for populations in forest-rich developing the following: the preferred outcome of reducing deforestation and countries. It details the case of developing REDD+ Standards for the degradation including various environmental and development objec- extractive sector in the Democratic Republic of Congo (World Bank, tives; the related policies and actions, and; the potential mechanism to 2016) and how, and under what conditions, these Standards benefit finance this. The finance mechanisms focused initially on carbon mar- stakeholders. kets, but so far budgets for developing REDD+ policies and first pro- The study was guided by the following questions: jects have mainly been obtained from development assistance. Perspectives for forest carbon markets to offer substantial contribution 1. What options exist for oil, gas and mineral development projects to as a finance mechanism remain poor (Boucher, 2015). This paper focuses achieve REDD+ objectives? primarily on the technical aim of REDD+ and practical actions involving the 2. Why were REDD+ Standards for extractive industries proposed in extractives sector to contribute to these aims. This focus suits present needs DRC and how were these developed? of tackling multi- and cross-sectoral governance issues, such as in this 3. How can the REDD+ Standards for extractive industries benefit case the interactions and contrasting interests between forest and ex- different stakeholders and what are the conditions for im- tractives sectors, as one of the primary challenges to REDD+ (Hirons, plementation and positive outcomes? 2014). 1.5. Methodology and approach 1.3. DRC's forests, mineral resources and REDD+ The methodology consisted of reviewing literature and policy The Democratic Republic of Congo is one of the poorest countries in documents and facilitating the process of development of REDD+ the world, rating 176th out of 188 countries on the Human Standards for extractives industries in DRC. The review was based on a Development Index (UNDP, 2016). At the same time, the country has desk-based literature and document assessment of existing initiatives on abundant tropical forest reserves that comprise 60% of the Congo Basin oil, gas and mineral extraction, deforestation and REDD+. The litera- humid forests, with roughly 152.6 million hectares of forest cover ture search of available scientific and ‘grey’ literature was conducted in (FAO, 2016). The deforestation rate between 2004 and 2014 in the the databases of ISI Web of Sciences and Google Scholar. Keywords, Central African region is relatively low, at an average 0.36% per year, based on the main research questions, guided the searches, followed by but this rate is increasing and represents a total surface loss of 6885,000 quick scan of the sources to confirm relevancy. As a result, it yielded ha over the past decade, of which 85% in the DRC (Dubiez et al., 2016). over 100 unique relevant references that were stored in EndNote. The This forest loss has largely been due to agriculture, followed by wood literature and policy documents were analyzed on content in relation to 98 K. Hund et al. Resources Policy 54 (2017) 97–108 the research themes. Relevance to REDD+ outcomes followed the no- change are of particular relevance. In terms of emission reduction tar- tion of ‘Effectiveness, Efficiency and Equity (3Es)’.1 Facilitation of the gets, mining operations consider foremost their own energy use and process to inform development of REDD+ Standards for extractive emissions of the final energy footprint, which constitutes the largest industries contributed to accessing relevant documentation and key share of company GHG emissions. In that sense, the benefits of wider informants. Materials from workshops, stakeholder meetings and field land management and avoiding deforestation may seem less important visits were assessed to identify challenges and conditions needed for from the company's point of view, particularly as the indirect impacts of future implementation of Standards. company operations are usually not considered to be part of their management responsibilities. However, for sustainable land manage- 2. Results ment and REDD+ objectives, mitigation and compensation efforts from extractive industries, such as: land rehabilitation plans, strong en- 2.1. Options to achieve REDD+ objectives within the extractive industries vironmental policies in place at concessions, as well as carbon offset schemes, do offer relevant contributions. The mining industry has Based on review of earlier experiences of interactions between started to engage on the issue of climate change and stressed its com- mining and forest sectors, this section focuses on options within the mitment to reduce emissions and support lower-carbon economies prior extractives sector for achieving REDD+ objectives. This means how to the United Nations climate change conference in Paris in 2015 well reduction of emissions from forest conversion could be achieved (COP21) (International Council on Mining and Metals, 2015). Avoiding and whether this could be cost-efficient and with fair distribution of deforestation and supporting REDD+ to minimize environmental im- costs and benefits. pacts and GHGs are, for example, mentioned in BHP Billiton's climate change portfolio analysis (BHP Billiton, 2015). At an international level, global standards for extractive industries cover areas relevant to 2.1.1. Experiences with integrating REDD+ objectives in the extractive achieving REDD+ benefits, such as: environmental impact, reclamation industry sector (of forest lands), ASM, land rights and reducing GHG emissions (World National REDD+ policies that are currently being developed often Bank, 2015). consider the mining sector as one of the main drivers of deforestation. The sector is regularly represented in national REDD+ platforms by mining ministries at the national and decentralized levels and to a lesser 2.1.2. Opportunities to achieve REDD+ objectives within the extractive extent by the extractive industries in private sector platforms. industry sector Development of concrete activities to involve extractive industries in In considering how successful interventions targeting mining de- reducing emissions from deforestation and forest degradation was ob- velopment could achieve actual emission reductions, there are three served for less than half of the tropical forest countries developing alternate options to consider: (1) avoiding operations, (2) mitigation of REDD+ strategies: Cameroon, Colombia, Democratic Republic of impacts and (3) compensation of impacts. Firstly, leaving oil and mi- Congo, Ghana, Guyana, Indonesia, Laos, Peru, Republic of Congo and neral resources underground is obviously the most effective way to Vietnam (World Bank, 2015). In general, a lack of inter-sectoral plan- avoid any GHG emissions from deforestation and degradation caused by ning and the predominance of the extractive industry sector in driving operations. In some rare cases, this has indeed been suggested, such as economic growth, were identified as the main challenges to effective for the Ecuadorian Yasuni initiative that proposed to leave almost a integration of the extractive industry sector in REDD+ policies. For the billion barrels of oil in the Yasuni national park un-extracted, in ex- countries that did propose strategies in national REDD+ plans, ex- change for compensation of about half of the foregone revenues by amples of interventions on extractives are: international donors (Acción Ecologica, 2010).3 However, this plan was abandoned for economic reasons and renouncing extractive industries’ • Improving regulation and enforcement of social and environmental operations is broadly not considered a viable option because of the standards. importance of immediate revenues to national economies in developing • Taking a landscape approach and establishing cross-sectoral countries (Lowe, 2014; Stolle-McAllister, 2015). Secondly, mitigating working groups. impacts of extractive industries on forests, is considered a more viable • Supporting alternative livelihood options for ASM. option than targeting total avoidance and can be effective in reducing • Improving technologies and standards for lower emission mining. GHG emissions of deforestation and forest degradation. Mitigation • Allocating mining-free zones. measures entail, for example, improved mineral waste management, • Reducing illegal mining. improved management of bush fires, improved siting of infrastructure • Supporting effective reclamation. 2 to reduce the overall physical footprint, sensitizing workers, instituting company policies on reduced impact operations, involving local popu- Extractive industries mostly do not yet explicitly mention REDD+ lation and managing of logging and access to concessions. Guidelines in their sustainability reports or initiatives, but they often do have re- on reducing impacts are embedded in several international standards levant environmental and social policies in place that offer practical and national legislations on Environmental and Social Impact Assess- linkage to REDD+ objectives. Companies’ management plans with re- ments. Long-term, post-mining impacts can be mitigated through well- gard to biodiversity, land management, rehabilitation and climate planned (during the project development stage) continuous restoration and revegetation activities. Revegetating mining sites reinforces the carbon stocks sequestration potential of mined-out lands when it in- 1 The ‘3E principle’, has been regularly applied in the context of REDD+ to assess proposed REDD+ interventions (Angelsen and Wertz-Kanounnikoff, 2008). The “3E volves local communities and prioritizes forest-based land uses over Principle”, originally proposed by Stern, 2008 and further developed by Center for In- other land uses (Hirons et al., 2013; Lowe, 2014). As a third option of ternational Forestry Research (CIFOR), can be applied to assess proposed options and interventions targeting extractives and REDD+, besides avoiding expected outcomes of an intervention and to evaluate actual outcomes. The questions linked to contributions to REDD+ within the extractive sector were: How well can in- terventions on extractive industries achieve reduction of GHG emissions (Effectiveness)? 3 Despite some pledges made to support the initiative, these plans have been aban- How cost efficient can these emission reductions be achieved (Efficiency)? How fairly are doned by the government in mid 2013 after a commission concluded that it would not be costs and benefits distributed (Equity)?. economically viable (The Guardian, 2013). The announcement of Ecuadorian Present 2 Based on review of the subsequent REDD+ planning and policy documents: Ghana Rafael Correa to start oil exploitation upon failure of the Yasuni ITT plan was met with FIP, 2012; FCPF, 2014, Ghana ER-PIN; FCPF (2012), Guyana R-PP; Indonesian REDD+ loud protests from environmental and indigenous groups, showing an ecological struggle Task Force (2013); Indonesia ER-PIN, 2014, Peru FIP, 2012; Peru ER-PIN, 2014; Republic and polarized view between actors on development needs of the country (Stolle- of Congo R-PP, 2012, Republic of Congo National REDD+ Strategy, 2016. McAllister, 2015). 99 K. Hund et al. Resources Policy 54 (2017) 97–108 impacts and mitigating impacts, mining operations can compensate rehabilitation of mining sites and development of local communities. residual impacts on forests. By voluntary means or legal obligations, Community involvement in mining operations’ efforts to avoid defor- companies contribute to REDD+ outcomes by offsetting their residual estation and to restore forests is likely to reinforce REDD+ outcomes by environmental impacts through initiatives to protect or restore forests increased transparency, improved data collection and increased posi- (Virah-Sawmy et al., 2014). tive outcomes for equity and benefit sharing (Hirons et al., 2013). In- Cost efficiency of options for extractive industries to contribute to itiatives of mining companies together with local communities can also REDD+ depends on implementation costs, costs of monitoring systems, target activities that reduce overexploitation of forest resources caused compensation for lost income (opportunity costs), and rents (Angelsen by communities, by offering alternatives, such as agro-forestry or more and Wertz-Kanounnikoff, 2008). Assessing cost-efficiency of initiatives efficient use of woodfuel or alternative energy sources. targeting extractive industries (and other high-profit sectors) is some- times reduced to calculations of lost income due to avoidance of oil and 2.1.3. Risks to initiatives within the extractive industry sector for REDD+ mining activities in forest areas. These opportunity costs include direct objectives economic losses due to un-extracted minerals and indirect costs due to Effectiveness and cost-efficiency of avoiding extractive operations in loss of labor and suppliers from other sectors (Lowe, 2014). In this case, forest zones is low due to the location-bound activity of oil and mineral the opportunity costs are considered to be too high for these sectors to exploitation and high opportunity costs. Options regarding mitigation contribute efficiently to reduced deforestation or degradation (Karsenty and compensation of impacts on forests do offer potential, but the and Ongolo, 2012; Purnomo et al., 2012). As a consequence, REDD+ as following risks need to be considered: a market mechanism to offset the extractive activity is found to be REDD+ countries may lack clear land tenure provisions, which ‘untenable’ considering the high value of the foregone extractive rev- leads to overlapping and competing land allocations between sectors enues (Fletcher et al., 2016). One key challenge here is that the ‘real and administrative levels, which complicates integration of different costs’ of mining, which include the full life cycle of a mine including sectors in national REDD+ policy (Brockhaus et al., 2012; Childress, post-closure restoration, are often missing or highly underestimated. 2010; Hirons, 2016). Mining related policies and other land uses tend to For DRC, the (much criticized) McKinsey report that applied a REDD+ clash with REDD+ objectives, as has been reported for Peru, Indonesia, cost curve (McKinsey and Company, 2009), specifically noted that Cameroon and the Philippines and reforms may be obstructed by vested mining should not be tackled as a priority due to high opportunity costs. economic interests of existing bureaucratic structures (Di Gregorio In contrast, when discussing a broader set of options that does not et al., 2012; Lasco et al., 2013; Murdiyarso et al., 2012; Eilenberg, target avoidance of mining activities altogether, but instead promotes 2015). Lack of political will, contradicting interests or a lack of co- mitigating or compensating impacts on forests, initiatives can become ordination between sector ministries in forest and mineral rich devel- cost efficient. Regulation of environmental impacts and mitigation or oping countries are a barrier to any real forest governance reforms as a compensation measures could reduce deforestation and degradation at result of REDD+ and other forest management initiatives (Ongolo and a fraction of the opportunity costs (Dyer and Counsell, 2010). Compa- Karsenty, 2015). Indirect drivers of deforestation and forest degrada- nies can, for example, be obliged to open a bank guarantee that covers tion, such as the influx of migrants or cash flows in forest areas, are restoration costs in the event of premature closure or abandonment of often not yet sufficiently documented and understood. Poor monitoring the mine, which contributes to more realistic life cycle cost-benefit and enforcement of laws, and the informal character of artisanal and analysis. More attention drawn to supply chain responsibility within small-scale mining undermine effectiveness of proposed mitigation and industries operations can gradually move mining sectors towards “a reclamation measures (Hirons et al., 2013; Rendon Thompson et al., zero-net- deforestation business model” (Boucher, 2015). In addition, 2013). Industries’ and governments’ initiatives are often project based, there are cost savings due to implementation of practical measures that while outcomes need to be achieved and assessed at landscape levels. simultaneously reduce costs and avoid deforestation. Examples include Monitoring of interaction between forest carbon and extractives is strategic reduction of the infrastructure footprint through closer pla- complicated because most REDD+ countries lack information on the cement of interacting infrastructures, choice of low impact technolo- scale and impacts of oil and mining operations on forests and compa- gies, smaller drill platforms or narrower roads and tracks, all of which nies do not always report on carbon stocks in their sustainability reports save on transport costs and rehabilitation costs (e.g. CamIron Ltd, (Hirons, 2013a). Offset schemes may experience difficulties due to 2010). Carbon stocks sequestration of forest areas that compensates all disagreements on ecological and economic values of replaced forests emissions related to extractives’ operations represents potential fi- and lack of applying scientifically based measures for calculations of nancial benefits that can again be used to support reforestation and offsets and assuring permanence (Virah-Sawmy et al., 2014). Direct or community development initiatives (Hirons et al., 2013). Conversely, indirect leakage undermines effectiveness of initiatives in the ex- deforestation that is not accounted for by mining operations signifies a tractives sector. Direct leakage occurs for example when a ban on loss of potential REDD+ credits and revenues for developing countries. mining in one forest region causes increased mining in another forest REDD+ projects can actively contribute to better equity outcomes region. Indirect leakage takes place when reducing impacts in one when including participation and diversity (of gender, ethnicity and sector increases those in another sector. One example of such indirect assets such as land tenure) of various stakeholders (Angelsen and leakage is the Ghanaian chainsaw ban imposed in 1998 that drove rural Wertz-Kanounnikoff, 2008). Successful implementation of the principle populations from timber exploitation to artisanal mining (Hirons, of communities’ rights to Free, Prior and Informed Consent (FPIC) in 2013b). Failure to address equity issues could aggravate existing ten- REDD+ mechanisms benefit outcomes of social equity (Mahanty and sions and result in more forest loss. National and regional governments McDermott, 2013). In Peru, REDD+ processes contributed to rights of may claim community lands for REDD+ funding when local popula- indigenous people and participatory approaches embedded in recent tions cannot exert rights over carbon stocks or when mining exploration FPIC and forest policy development (Dall’Orso, 2015). Revenue sharing and exploitation rights overlap with other designated land uses, mechanisms can be based on existing experiences that have already threatening local livelihoods (Childress, 2010; Doherty and Schroeder, been gained in the mining sector. Over 30 countries in the world have 2011). The position and contribution to poverty alleviation of ASM can specific mechanisms in place for distribution of revenues from non-re- be threatened when REDD+ policies exclude or marginalize these types newable natural resources that help raise standards of living in specific of activities (Hirons, 2011). Offset schemes may exclude local land regions, or instead, when badly executed, aggravate local inequalities users from practicing their livelihood activities, lead to land evictions and raise tensions (Bauer et al., 2016). Moreover, as part of sustain- and provide insufficient compensation to pay for their lost income ability strategies, the mining industry could establish a more direct link (Olsen et al., 2011; Pearce, 2010; Seagle, 2012). between mining activities and REDD+ outcomes by active In summary, effectiveness and cost-efficiency of avoiding extractive 100 K. Hund et al. Resources Policy 54 (2017) 97–108 Table 1 Potential of interventions, opportunities and risks, targeting the extractive industries for REDD+ objectives. GHG of deforestation and forest Opportunities Risks degradation due to extractives Avoidance of emissions Limited, because operations are location bound and importance of extractives sector to economic development • Replacing of mining by other economic sectors that cause more impact and loss of income generating activities • High opportunity costs Mitigation of emissions Good opportunities to limit impacts on forests and related • Poor monitoring and law enforcement at landscape level emissions, while involving community participation • Uncertain land tenure • Lack of baseline data • Con flicting land allocations and sectoral interests • Failure to address equity • Informal mining activities • Exclusion of ASM activities • Displacement of deforestation activities • Non-consideration of indirect drivers of deforestation Compensation of emissions Offsetting of impacts on deforestation can compensate • Failure to assure permanence emissions and increase forest cover • Difficulty in calculating offsets • Exclusion of local land users • Insufficient compensation • Diverting away from avoidance and mitigation responsibilities operations in forest zones is low, due to the location-bound activity of developing the country's extractive industries within the context of mineral exploitation and high opportunity costs. Options regarding mitigating climate change and protecting forest resources. DRC's mitigation and compensation of impacts of mining on forests do offer Readiness Preparation Program (RPP) of 2010 identified ‘infrastructure potential, but the identified risks need to be considered and overcome. extension for formal and informal mining’ as one of the causes of de- Table 1 summarizes the potential opportunities and risks of initiatives forestation.6 The RPP furthermore noted the relatively high opportunity within extractives for REDD+ outcomes. costs (above 60 EURO/t CO2) to reduce or replace extractive industries activities (note the earlier discussion on the relative importance of di- 2.2. Developing REDD+ Standards for the extractive industry sector, the rect opportunity costs), but also listed several opportunities for redu- case of DRC cing impacts on forests by the oil and mining sector: DRC ranks among the first countries involved in the REDD+ process • Select zones for future mineral development activities. since its onset in 2005 under the United Nations Framework • Impose reforestation after extraction and limit eviction of local po- Convention on Climate Change (UNFCCC) and appears among the most pulations. advanced REDD+ participants.4 Mining and associated infrastructure • Enforce benefit-sharing mechanism as required under the 2002 have been identified among the drivers of deforestation and forest de- Forest and Mining codes. gradation in the country (Butsic et al., 2015; Popatov et al., 2012). • Clarify legal status of overlapping land rights and land uses Developing approaches that balance the need for economic develop- (MECNT, 2010). ment, including the extraction of mineral and oil resources, and the conservation of natural forests and biodiversity, are an increasing The country's national REDD+ Strategy Framework that was priority given the prospects of a rapidly increasing mineral and oil adopted in 2014, specifies measures to mitigate negative impacts and sector in the DRC (Hund and Megevand, 2013). A 2014 assessment optimize benefits from private sector investments in general and the oil found that 590 companies, holding in total 6727 permits, are active in and mining sector in particular: mining activities throughout the country (World Bank, 2014). The permits represent 39% of the total country, mainly in the form of re- • The development and implementation of ambitious land governance search permits, with 2% of the country under a mining lease. Often the to optimize land use and natural resources. lands of the permits overlap with designated protected areas and 24% • The revision of the legal framework of the extractive sector. of the country's intact forest areas overlap with mining permits,5 which • Strengthening law enforcement regarding social and environmental is a clear direct threat to forest conservation (Figs. 1 and 2). In addition, safeguards. the rehabilitation of the country's road network, of which 4255 km pass • Supporting research on the impact of extractives on the forest (both through intact forest landscapes, and new construction of dams and large scale and small scale) together with mitigation and compen- electricity lines induce further deforestation (World Bank, 2014). So far, sation measures. initiatives to improve the country's mining sector, such as the Extractive • Supporting mitigation and rehabilitation plans of sites, Industries Transparency Initiative (EITI), the Kimberley Process for Environmental and Social Impact Assessments and Environmental diamonds and the various initiatives to certify other artisanally mined Management Plans with participation of civil society and local minerals as ‘conflict free’, have mainly focused on governance, human communities to limit damages to forests (MECNT, 2014). rights and transparency, and less on environmental outcomes. Policy developments on REDD+ in DRC offered opportunities for DRC's Intended Nationally Determined Contribution (INDC) to GHG reductions, which was submitted to UNFCCC in 2015 in preparation of the Paris COP 21 climate conference, includes a targeted reduction of 4 DRC has benefited from several initiatives aimed at supporting its REDD+ policy and 0.6 Mt CO2e GHGs emissions through mine and oil sites rehabilitation. investment process, including Forest Carbon Partnership Facility (FCPF), the United Nations collaborative initiative on Reducing Emissions from Deforestation and forest Degradation (UN-REDD), Forest Investment Program (FIP) and Congo Basin Forest Fund 6 (CBFF) funding. The REDD+ process in DRC is led by the Ministry of Environment, The RPP proposal for developing a national REDD+ strategy and other aspects of Nature Conservation and Tourism (MECNT). basic capacities, was submitted to FCPF in July 2010 (MECNT, 2010) and the Forest 5 Intact forest areas overlap constitutes 3% mining leases, 7% exploration licenses and Investment Program (FIP) subcommittee endorsed its investment plan for REDD+ in- 14% research licenses. terventions in June 2011 (MECNT, 2011). 101 K. Hund et al. Resources Policy 54 (2017) 97–108 Fig. 1. Overlap extractives and intact forests in the DRC [NOTE to journal: In color]. Source: World Bank (2014). This reduction is to be achieved through the establishment of a mon- Standards for the mining sector was part of an initiative facilitated by itoring system and enforcement of environmental management plans the World Bank with Norwegian funding to support these governance (Government of DRC, 2015). reforms by the DRC Government. The first phase in 2014 and first half of 2015 consisted of a review of international experiences, mapping of 2.2.1. Developing REDD+ Standards for extractive industries stakeholders and legal framework in DRC, and an analysis on potential As part of wider governance reforms and recognition of the need to impacts of the mining sector on REDD+ and forest conservation in tackle direct and indirect causes of deforestation, in 2013 the DRC DRC. The second phase that started mid-2015 was coordinated by the government adopted measure 13d of the national Economic technical reforms monitoring committee (Comité Technique de Suivi des Governance Matrix that calls for the “adoption of REDD+ standards for Reformes: CTR) and included field visits, training and consultation all mining and hydrocarbon investments conducted in forested areas” workshops and meetings held with private and public stakeholders. The (CTR, 2015). The subsequent process to inform development of REDD+ field visits were conducted in the provinces of Sud-Kivu and Maniema 102 K. Hund et al. Resources Policy 54 (2017) 97–108 Fig. 2. Overlap extractives and Protected Areas in the DRC [NOTE to journal: In color]. Source: World Bank (2014) on the sites of Banro Mining, in Katanga on the site of TF Mining and in society and industry representatives. Bas-Congo on the site of Perenco and the Integrated REDD+ pilot The draft Standards aim to guide all extractive activities in forest project around the Luki Biosphere, managed by WWF. Participants in- zones with the purpose of avoiding, mitigating or compensating their cluded REDD+ focal points of different relevant ministries (Environ- impact on forest cover. The draft Standards state a clear goal of zero ment, Mining, Petroleum, Land management, Land rights and Finance) net-deforestation. They contain explicit requirements of incorporating together with experts of the World Bank and the NGO Conseil pour la direct and indirect deforestation and forest degradation within en- Défense Environnementale par la Légalité et la Traçabilité (CODELT). Two vironmental management systems. The Standards are founded on basic further workshops were held in November 2015 and February 2016 to principles of REDD+, including permanence of the achieved reduc- draw lessons from the field visits with the various participants and the tions, additionality of these reductions compared to reference ex- National Committee on REDD+. Draft Standards were then developed pectations, safeguard measures regarding livelihood options for local based on the outcomes of this process involving government, civil populations and avoidance of any leakage effects from displacement of 103 K. Hund et al. Resources Policy 54 (2017) 97–108 activities to other forest areas. The Standards refer to other important tree inventory, although often commercial tree species are inventoried national policies, such as the action plan on climate change and the on an ad-hoc basis once areas are designated for clearing as these trees legal framework on environment and extractives. The Standards are are taxable by forest authorities. For the areas within the mining con- furthermore informed by international standards and best practices, cessions, it is recommended to conduct full scale inventories similar to such as the IFC Performance Standards, the guide on best practices on those conducted by logging companies as a base-line inventory. For biodiversity in the mining sector (ICMM), Forest Stewardship Council areas outside the concession but within a predefined zone of influence it standards and ISO standard 14001 on environmental management. The is more realistic to accept default values agreed upon with government draft ‘REDD+ Standards for mining and oil investments in forest zones’ authorities or other secondary data, such as from national REDD+ or (Normes REDD+ pour les investissements miniers et hydrocarbures dans les carbon inventories. The forest protection plan can be part of the wider zones forestières) consist of eight standards, followed by a short de- biodiversity plan that takes into account critical habitat criteria, but scription with scope of application and a brief explanation (World Bank, needs to be auditable according to REDD+ criteria and thus also in- 2016): clude monitoring of degradation (for example monitoring exploitation of specific tree species for charcoal production). Standard 1.. Mining and oil companies commit to the principle of zero net- In the case of artisanal or small-scale mining it is recommended that loss of forest cover the forest protection plan is established by or with the competent au- This standard is intended to ensure compliance with all commit- thorities for the entire area covered by small scale mining, considering ments to forest protection and stabilization of forest cover during the there is not one single commercial entity responsible for all the activ- life cycle of operations, including exploration, production and closure, ities. The plan needs to include quantified rehabilitation solutions, such with the ultimate objective of zero net-loss of forest cover. Zero net-loss as natural regeneration of forests, assisted natural regeneration, agro- implies both replacement of deforested areas as well as potential in- forestry, plantations for local use including for energy purposes, dis- creases in forest cover to compensate for incomplete replacement. It semination of fuel efficient stoves and allocation of buffer zones. would include a mandatory offset strategy as part of the environmental Standard 4.. Mining and oil companies integrate management of management plan. A point of contention remains the extent of re- deforestation and forest degradation in their environmental and social sponsibility of mining companies. From a practical viewpoint, it is ar- performance management system gued that companies can only be responsible for the geographic span of their own concessions. The draft Standards on the other hand contend The company integrates a risk management strategy covering de- that indirect deforestation caused by in-migration of job seekers often forestation and forest degradation into its overall environmental and has a larger footprint than direct mining impacts and thus needs to be social management system. The strategy is based on the principle of taken into account. It is argued that the initial environmental and social continual improvement of environmental and social performance in the impact assessments, when done in a participatory way, can identify the area of influence of the company, and is aimed at reducing greenhouse plausible zone of influence of mining operations and respond accord- gas emissions, increasing the welfare of local populations and securing ingly. the economic viability of operations in the long-term. This standard must consider a life-cycle approach of the company's Standard 2.. Mining and oil companies strengthen national forest cover entire operating cycle and aim for continual improvement of perfor- management plans mance. Inspired by the IFC Performance Standard on management In planning mining activities, companies integrate spatial planning systems as well as ISO 14001, there are typical REDD+ considerations objectives of the State that serve to maintain or increase national forest to take into account. This includes identifying the drivers of defor- cover. While the first Standard defines the overall objective of zero net estation and degradation of forests, proposing risk reduction interven- loss of forest cover, the second Standard emphasizes the need for sy- tions that can render plausible the “permanence” of solutions (under nergies with government policies and plans. As policy evolves, industry REDD+ this implies a minimum of 20 years) and ensuring avoidance or practice can adapt accordingly through its continued consultative minimisation of displacement of activities causing deforestation or process and continued monitoring. Principles of connectivity and in- degradation. tegrity of ecosystems are implied here. Extraction of minerals follows a Standard 5.. Mining and oil companies adopt the principle of consultation mining company's long-term extraction plan that maximizes profit. This and informed participation often means extracting the purest and most accessible ore first. Integrating national forest cover management plans (this includes Formal and structural stakeholder engagement, in particular of af- government authorized plans by third parties such as logging compa- fected communities, is crucial every step of the way. The principle of nies, plantations, or REDD+ programs) as a decision-making para- consultation and informed participation is adopted to guide decision meter, can lead to mining companies deciding to forego or postpone making on options for respective operations as well as their possible extraction of certain mineral rich sites in favor of, for example, main- consequences on the forest. Joint decision-making and planning aimed taining a biodiversity corridor. at a win-win solution is sought in terms of maintaining and restoring forest cover, limiting greenhouse gas emissions, protecting sites and Standard 3.. Mining and oil companies adopt a forest protection plan species with cultural significance and guaranteeing the associated In line with the national forest cover management plans, economic benefits for forest-dependent populations. The point is to jointly discuss operators shall develop a plan containing a strategy against deforesta- alternative interventions and jointly agree upon those that best reduce tion and forest degradation, to avoid, limit, repair and offset the direct risks for the respective land users and most effectively reduce defor- impacts generated by operations. This integrated life of mine planning estation and degradation of forests. strategy should include extensive controls on clearing and progressive Standard 6.. Mining and oil companies integrate a financial security revegetation. The plan also takes into consideration all indirect impacts mechanism to guarantee management of direct and indirect deforestation reasonably attributable to the area of influence of the company. These and forest degradation in their area of influence. include impacts on the forest as well as the socio-economic impacts of deforestation and forest degradation on affected communities. Financial security mechanisms can take many forms. In general, The forest protection plan emanates from the environmental and national legislations cover financial guarantees for rehabilitation or social impact assessment that is generally required by law to be con- closure. In these cases, it suffices to include explicit reference to guar- ducted. In most countries, the requirement is understood to be a bio- anteeing the REDD+ obligations under the Standards. While these re- diversity action plan. This generally does not include any form of forest sponsibilities can be budgeted under different budgets it is 104 K. Hund et al. Resources Policy 54 (2017) 97–108 recommended to maintain planning and control duties under the de- sectors contributed to capacity enhancement on cross-sectoral issues of partment responsible for environmental aspects of the company, while key stakeholders. Private sector actors took a leading role, acknowl- the budget for rehabilitation activities be managed under the depart- edging that integrating REDD+ Standards offer a risk management tool ment responsible for operations. for dealing with outcomes of mining activities in forest landscapes as During exploration and until the company makes a profit, it is re- well as clear guidelines in the absence of an overall legal framework. In commended to maintain a minimum budget to enable the company to addition, the Standards offer a compass to other stakeholders and land meet its obligations under the REDD+ Standards. This implies an an- users to better plan and manage risks in their respective operations. By nual amount for continued monitoring of deforestation and degrada- means of its opportunity for consultation, planning and possibly co- tion, rehabilitation and co-benefit efforts, reporting and at least an management, they can influence choices of where to situate or schedule audit once every five years. For the commercial stages of the project, operations and negotiate co-management of forest protection activities. international best practice recommends that a percentage of revenues The draft REDD+ Standards offer a coherent approach to all sta- after tax benefits, calculated over the expected returns over the life keholders and guide the mining sector towards green economy and cycle of the project, be allocated to forest stewardship. lower-carbon objectives. A deliberate choice was made to promote an industry approach rather than a top-down prescriptive approach from Standard 7.. Mining and oil companies integrate the price of forest carbon government, given the early phase of policy development on REDD+ in their internal accounting system. and extractives and overall weak governance capacity to enforce reg- Companies commit to including the value of forest carbon as an ulation. A clear target of zero net deforestation has been set. Mining accountable asset in the exploration, exploitation and closure of mining companies can benefit from a standardized national approach and in- operations by defining an internal carbon price. Clearing the forest for tegrate commitments to REDD+ within their management systems. an access track and a drill platform reduces the forest carbon assets, Existing tools, such as environmental management systems and action while replanting the areas or allowing them to regenerate increases the planning following environmental impact studies are adapted to ex- stock. plicitly incorporate issues of deforestation and degradation of forests. Worldwide there is a growing trend of corporations that report on The industry Standards must complement the government's regulatory use of internal carbon pricing to offset the costs and risks of greenhouse framework of land use plans, environmental and climate targets. A gas production, and to finance the transition to secure sources of low- holistic vision on the impact on forest cover is given, including both carbon energy (CDP, 2015). In the spirit of these developments and of direct and indirect deforestation. This expanded the scope of compa- the global initiative “Put a Price on Carbon Statement” to which the nies’ responsibility, which reflects recent trends in the sector. For ex- DRC became a signatory in September 2014, these Standards re- ample, since 2004, Rio Tinto considers impacts on biodiversity beyond commend the inclusion of forest carbon stocks in the internal ac- the confines of its concession and distinguishes planned deforestation counting of companies. By way of example, with a recommended price “behind the gate” (the concession) and three levels of deforestation of 30 USD/ton of CO2, clearing one hectare of tropical forest seques- beyond the gate (Rio Tinto, 2004, 2008). Since 2015, BHP Billiton is tering 250 metric tons of carbon would cost 30 × 250 × 44/12 seeking alignment with ICMM reporting guidelines on biodiversity (conversion factor of carbon to carbon dioxide) = USD 27,500. impacts beyond the confines of the mining concessions (BHP, Billiton, 2015). Options for consultation and collaboration facilitate joint deci- Standard 8.. Mining and oil companies engage to establish a system to sion-making that targets reduced common impact on forest cover. An measure, report and verify the actions taken against direct and indirect example is the agreement between Geovic Mining SA and the logging deforestation and forest degradation. company Pallisco-CIFM, in Cameroon. The agreement includes joint Stakeholders commit to establishing a system for measuring, re- management of buffer zones, joint control of access roads and bush porting and verifying actions against direct and indirect forest defor- meat trafficking as well as an agreed upon schedule for strip mining and estation and degradation. The level of detail of the system must be rehabilitation that respected the logging schedule of Pallisco (Van der adapted to the intensity of the impacts on the forest. A clear link with Goes, 2013). Reporting requirements of extractive operators will permit Standard 6; the financial security mechanism, needs to be established in establishment of the status quo and changes in deforestation and re- order to make sure that strong financial incentives for good perfor- habilitation and related emissions at a national level. mance are in place. The precautionary principle requires a higher level Viability of implementing REDD+ Standards for the extractives of detail under conditions of uncertainty, such as estimates/verification sector in DRC depends among others, on continuing the holding of of indirect deforestation caused by third parties located within the multi-stakeholder platform discussions and ensuring sufficient finan- sphere of influence of the economic operator after operations began. cing thereof. Furthermore, there is need for piloting of the Standards on International best practice recommends adherence to the Global representative sites to improve operational matters. Monitoring and Reporting Initiative (GRI) Standards (GRI, n.d.). It is intended that re- reporting of efforts on REDD+ Standards would benefit from coherence ports from all companies adhering to the REDD+ Standards be con- with the national Monitoring, Reporting and Verification (MRV) solidated at national level in order to present an overall REDD+ picture system. Adopting Standards starts as a voluntary process, involving of the extractive sector. This is to be included in the national commu- ASM and communities. As use of Standards further evolves and mon- nications to the UNFCCC in the context of the reporting obligations itoring mechanisms are in place (possibly as part of REDD+ MRV under the DRC Nationally Determined Contribution following the Paris system), Standards for extractives could eventually become formally Climate Accord (COP 21). integrated within the country's legal framework. Ultimately, for- malization of REDD+ Standards can improve governance of extractives 2.2.2. Potential benefits of REDD+ Standards and conditions for in forest landscapes through more transparency and creating a level implementation playing field for competing extractive industry operators. Specific The inclusion of development of Standards on REDD+ for the ex- conditions for well-embedded REDD+ Standards and long-term posi- tractive industry sector in the Governance Matrix of the DRC was a tive outcomes, as identified for DRC, also offer relevant guidance to response to gaps in national legislation and governance regarding im- other forest and mineral-rich developing countries that are currently pacts of extractive industries on forests and new national targets re- developing initiatives to address the extractive sector in their climate garding REDD+. The process for developing the draft Standards ben- change mitigation efforts. These conditions are: efitted from a cross-sectoral approach and work in an inter-ministerial group to find common interests and grounds for collaboration. The • Putting in place a permanent consultation platform. facilitation of exchanges between mining, forestry and conservation • Formalizing the REDD+ Standards to improve governance by 105 K. Hund et al. Resources Policy 54 (2017) 97–108 transparency and creating a level playing field between investors. and related infrastructure development, as well as the direct and in- • Integrating the REDD+ Standards in environmental and social direct impacts on forests, is often lacking. This means that there is no management systems for large-scale mining. overview of the extent of (expected) impacts of the sector on defor- • Integrating the REDD+ Standards in a code of conduct or plan for estation and forest degradation, which complicates sectoral planning on artisanal mining zones. how to best mitigate impacts. Policies of REDD+ countries that have • Testing of the REDD+ Standards at pilot sites (industrial and arti- been referred to in this paper could contribute to overcoming this sanal sites). governance void and achieve effective, efficient and equitable REDD+ • Integrating an MRV system into existing management systems of outcomes. Prominent challenges to successful execution of these in- companies and establishing a reporting line of data from the mining terventions are the limitations and difficulties with inter-sectoral company or artisanal mining zone to the national government. planning and the vested interests in oil and mineral exploitation. Ideally, the MRV system of the mining companies needs to be in- Therefore, knowing and acknowledging the needs and priorities of tegrated into the MRV system developed for REDD+ at national governments of REDD+ countries, such as food security and economic level. development, must be the basis of any policy reforms that address • Strengthening capacities of professionals and institutions involved. conversion of forestlands (Ongolo and Karsenty, 2015). Integrating • Establishing inventories of forest stocks within mining concessions REDD+ objectives in extractive industries’ sustainability policies can and monitoring direct and indirect deforestation. assist in filling the gap between industries’ present GHG reduction • Strengthening collaboration between respective land users to har- targets related to energy and its policies on land rehabilitation and monize interventions. biodiversity plans that hitherto concentrate mostly on high value for- ests. 3. Discussion and conclusion Developing draft REDD+ Standards for the extractives industry in DRC as part of wider governance reforms assisted in filling a govern- In considering how well interventions targeting oil and mining de- ance void and guiding stakeholders regarding extractives in forest velopment achieve actual REDD+ outcomes, several options have been landscapes. The Draft REDD+ Standards for extractives industries are a identified. Strategies to avoid impacts of extractives on deforestation first example of how developing REDD+ policy can influence the ex- and forest degradation altogether are limited due to the weight of the tractives sector. It broadens the perspective on how the extractives sector in determining economic development and the fact that the ac- sector can contribute to achieving REDD+ objectives, redirecting cor- tivities are bound to the locations with mineral deposits. Clearing re- porate policies, from a narrow perspective on forest carbon markets to a strictions and phased clearing schedules can often be negotiated for broader take on how to achieve supply chain responsibility to avoid land with high conservation or alternate land-use value, but they are deforestation and source from Zero Deforestation Zones7 (Boucher, difficult to enforce. Mitigating impacts from extractive operations can 2015; Meyer and Miller, 2015). The government can use the Standards offer effective and efficient strategies to reduce GHG emissions of de- as a coherent system to guide the extractive sector within green forestation and forest degradation during exploration, production and economy and low-carbon development pathways. The Standards are rehabilitation activities. Mitigation measures entail for example: im- part of wider governance reforms and do not replace the importance of proved mineral waste management, integrated watershed management, a landscape approach and land use planning, or other important options better planning of infrastructure building, sensitizing workers, invol- to have the extractive industry sector contribute to REDD+ outcomes, ving local populations, adoption of reduced impact logging practices, such as issuance of exploration licenses and infrastructure planning controlling access to concessions and continuous reclamation of mining based on information and modeling of potential impacts on forests. sites. An integrated land/spatial plan for mining operations, together Developing of REDD+ standards concurs with the emerging perspec- with related sectors (notably agriculture and forestry) and infra- tive that extractive industries have an extended responsibility to con- structure building, could assist to limit indirect impacts of the sum of tribute to reducing their impact on degradation and deforestation. The mining operations on wider forest zones. Compensation measures can experience of developing REDD+ Standards for the extractive sector in contribute to increasing forest cover when companies offset the carbon DRC in a multi-stakeholder process, and identification of conditions for emissions caused by their wider operations. REDD+ can actively con- implementation, can serve other mineral and forest rich countries that tribute to improving social equity outcomes when including participa- are presently developing their REDD+ strategies and nationally de- tion of local people and experiences from the mining sector with termined contributions (NDCs) to GHGs reductions. community involvement and revenue sharing systems may actually offer some good practices to build upon. Involving communities in Acknowledgements monitoring forests in remote areas as well as in rehabilitation of mined- out lands can assist in reinforcing REDD+ outcomes. The authors are grateful to all stakeholders and experts who gave Successful REDD+ interventions for the extractive sector need to their inputs to the process and drafting of this paper. The research and overcome a number of prevailing risks, such as: consultation process that informed the development of REDD+ Standards was funded by the Norwegian government and executed by • Uncertain land tenure provisions and competing land allocations the World Bank. The content of this paper does not reflect the views of between sectors. any of these institutions but is the sole responsibility of the authors. • Poor monitoring and enforcement of laws, complicated by informal mining activities and lack of national baseline data and company References reporting on carbon stocks. • Direct or indirect leakage of initiatives targeting extractives, to other Acción Ecologica, 2010. REDD+ and the Ecuadorian SocioBosque programme. 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