Transcript CCBS v2 General Criteria

CCB
STANDARDS:
general criteria
©2011 Rainforest Alliance
Climate, Community and
Biodiversity Alliance
In-depth training
AIMS OF THE GENERAL CRITERIA MODULE
Introduction to 5 of the general
criteria, a detailed look at
some, and an in depth case
study example
2
G1. ORIGINAL CONDITIONS IN THE PROJECT AREA
• What does the standard require? The project documents the preproject carbon stock, community and biodiversity conditions in the
project area AND project zone.
• Why? It provides a starting point for projecting without-project scenarios
and measuring with-project benefits.
3
G1. ORIGINAL CONDITIONS IN THE PROJECT AREA
Requirements:
General Information
• Location and physical parameters (G1.1)
• Vegetation condition (G1.2)
• Project boundaries (G1.3)
 The Climate (G1.4), Community (G1.5-6) and Biodiversity (G1.7-8)
original conditions in the project area will be covered in the relevant
modules
4
G1.1 LOCATION AND PHYSICAL PARAMETERS
The location of the project and basic physical parameters (e.g. soil,
geology, climate)
G1.1 LOCATION AND PHYSICAL PARAMETERS
Conformance
• Description of the ‘location of the project’ covers detailing regional and
local specifications, population surrounding project zone, surface,
land tenure, etc.
• Description of the ‘physical parameters’ of project covers climate
(including rainfall and seasons), hydrology, topology, geology and soils
(including any soils discounted from the project soil pool)
• The descriptions need to be based on credible sources, such as
government data, peer review scientific studies, etc.
Common Pitfalls
• Description concentrates on project area and leave out project zone
• Documents used are not referenced and made available to auditors
• Description of physical characteristics does not conform with project
area maps
6
G1.2 VEGETATION CONDITION
The types and condition of vegetation within the project area.
G1.2 VEGETATION CONDITION
Conformance
• The PDD should list the major strata of vegetation cover types across
the project area
• The PDD should describe the distribution of major vegetation cover,
salient physical characteristics, and notable species
• The PDD should describe ‘vegetation condition’ covering chief natural and
human disturbances (such as cattle grazing, agricultural encroachment,
hurricanes, fire, etc.)
Common Pitfalls
• This section should refer to the project area only and include historical
conditions of the vegetation
• The description of the vegetation condition lacks details and supporting
evidence
• The project proponent is unable to demonstrate how the vegetation
condition was determined
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EXAMPLE: VEGETATION CONDITION (G1.2)
Kasigau Corridor REDD project, Kenya
Validated & Verified to the CCB Standards 2st Ed. April 2011
Gold Level for Exceptional Biodiversity Benefits and Climate Change Adaptation
PDD available at CCBA Web site
•Identified ‘out areas’ that were
unrepresentative of the primary forest
strata in which they fell due to disturbances
(e.g. roads/airstrips, dams/waterholes, cattle
stock enclosures)
•To not bias the overall carbon inventory of
the forest, these areas were discarded from
the project area
Source: Project PDD
9
G1.3 PROJECT BOUNDARIES
The boundaries of the project area and the project zone.
G1.3 PROJECT BOUNDARIES
Conformance
• The boundaries of the project area and zone need to be defined by
geographical coordinates and physical parameters such as rivers,
community locations
• If the projects has several phases or components with a change in project
area or zone, these need to be defined otherwise the PDD will not be
able to be validated
• Maps need to be accompanied by a narrative description of how the
area has been mapped and calculated
Common Pitfalls
• The boundaries between the project area and zone are not discernible
• There are discrepancies between the total project area and the size
of the different project activities
• The geographical coordinates of the project boundary do not match
project area boundary witnessed in the field by auditors
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G2. BASELINE PROJECTIONS
• What does the standard require? The project must assess what is
the most likely scenario without the project, demonstrate that the
project’s benefits will be additional and make a projection of carbon,
community and biodiversity changes in the absence of the project.
• Why? It provides a baseline from which to measure benefits
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G2. BASELINE PROJECTIONS
Requirements:
• Without project land-use scenario (G2.1)
• Additionality (G2.2)
 The Climate (G2.3), Community (G2.4) and Biodiversity (G2.5) baseline
projections will be covered in the relevant sections
13
G2.1 WITHOUT PROJECT LAND-USE SCENARIO
Describe the most likely land-use scenario in the absence of the project
following IPCC 2006 GL for AFOLU or a more robust and detailed
methodology, describing the range of potential land-use scenarios and the
associated drivers of GHG emissions and justifying why the land-use scenario
selected is most likely.
G2.1 WITHOUT PROJECT LAND-USE SCENARIO
- There are multiple possible land-use scenarios for any one area.
This process identifies the most likely
- Peer-reviewed models for predicting future land-use trends
are available: GEOMOD, FRCA, or IDRISI
- Tools through the CDM and VCS are available
- Other tools may include local models, default baseline factors for the
region, analysis of historical data, published deforestation rates, existing
development plans, or other peer reviewed models
- Closely linked to additionality (G2.2)
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G2.1 WITHOUT PROJECT LAND-USE SCENARIO
Conformance
• The PDD should enumerate the possible land-use ‘without-project’
scenarios and justify the most probable, this means it needs to be proved
with reference to laws, economic variables, etc..
• Scenarios should be built on robust methodologies such as the ones
detailed previously
• In cases where a published methodology is used, the full reference must
be given and any variation from the methodology must be explained
Common Pitfalls
• The baseline scenario is not based on verifiable parameters
• The relevant drivers of baseline activities are not made clear (e.g.
timber prices) and unlikely scenarios are not included in the analysis
• The identification of the possible land-use scenarios do not conform with
the selected methodology requirements
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G2.2 ADDITIONALITY
Document that project benefits would not have occurred in the absence of the
project, explaining how existing laws or regulations would likely affect land use and
justifying that the benefits being claimed by the project are truly ‘additional’ and would
be unlikely to occur without the project.
DEFINITION OF ADDITIONALITY
The United Nations Framework Convention on Climate change
defined additionality at their Ninth Conference of the Parties
(COP9) in Milan in 2003 as follows.
“
The proposed afforestation or reforestation project activity under the CDM is
additional if the actual net greenhouse gas removals by sinks is increased above the
sum of the changes in carbon stocks in the carbon pools within the project
boundary that would have occurred in the absence of the registered CDM
afforestation or reforestation project activity….
”
UNFCCC, 2003
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VCS BASELINE AND ADDITIONALITY TOOL
WALKTHROUGH (G2.1 & G2.2)
Scenarios:
1) Deforestation
2) Tree planting no project
3) Tree planting with credits
4) Pasture (prevailing practice)
5) Agriculture
6) Tourism
Barriers can include:
- Institutional
- Technological
- Local tradition
- Prevailing Practice
- Ecological Conditions
- Social Conditions
- Tenure, land ownership
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G2.2 ADDITIONALITY
Conformance
• Demonstrate that project activities would not have been implemented
under BAU scenario due to significant financial, technological,
institutional or capacity barriers
• Demonstrate that the project activities are not required by law, if
they are, they should demonstrate that the laws are not being enforced.
• Provide credible and well documented analysis that the ‘without-project’
scenarios’ practices are likely to continue
Common Pitfalls
• All plausible scenarios are not included, the project activities without
crediting are often missed
• The presentation of possible scenarios is not supported by evidence
• The evidence of barriers are not weighted by a high number of
reference sources
• Failure to follow all steps of additionality tools required by selected
methodology.
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G.3. PROJECT DESIGN AND GOALS
What does the standard require? The standard requires the project is
described in sufficient detail so that a third-party can adequately evaluate it.
Why? Projects must be designed to minimize risks to the expected climate,
community and biodiversity benefits and to maintain those benefits beyond
the project lifetime.
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G.3. PROJECT DESIGN AND GOALS
Requirements:
• Summary of major objectives (G3.1)
• Description of project activities impacts (G3.2)
• Map of project location and boundaries (G3.3)
• Implementation schedule (G3.4)
• Natural and human-induced risks (G3.5)
• HCVs in project design (G3.6)
• Benefits beyond project lifetime (G3.7)
• Stakeholders affected by project (G3.8)
• CCBA public comment period (G3.9)
• Conflicts and grievances (G3.10)
• Adequate flow of funds (G3.11)
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G.3.1 SUMMARY OF OBJECTIVES
Provide a summary of the project’s major climate, community and biodiversity
objectives.
G.3.1 SUMMARY OF OBJECTIVES
Conformance
• Objectives should be based on project outputs, outcomes and
impacts
• Objectives should reflect long-lasting benefits of the project and
emphasize the sustainable development aspects
Common Pitfalls
• The project does not have clear climate, community AND
biodiversity objectives
• Goals are listed (general) versus objectives (specific).
• Objectives are not clearly and logically organized
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G.3.2 PROJECT ACTIVITIES IMPACTS
Describe each project activity with expected climate, community and biodiversity
impacts and its relevance to achieving the project’s objectives.
G.3.2 PROJECT ACTIVITIES IMPACTS
Conformance
• Impacts are long-lasting changes such as reduction in infant mortality,
etc.
• Highlight the project causal model or theory of change to explain
impacts identification through projections
• Reference peer reviewed studies, government documents, case studies, etc.
as evidence to defend assumptions made in the projections
Common Pitfalls
• Project activities do not result in significant impacts
• PDD and supporting documents do not include a clear description of
project activity impacts with supporting evidence
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G.3.3 MAP OF LOCATION AND BOUNDARIES
Provide a map identifying the project location and boundaries of the project
area(s), where the project activities will occur, of the project zone and of
additional surrounding locations that are predicted to be impacted by project
activities (e.g. through leakage).
G.3.3 MAP OF LOCATION AND BOUNDARIES
Conformance
• The map should highlight project area, zone, impact areas,
settlements, water flows, topography etc…
• The map provided should be detailed with a legend and coordinate
system
Common Pitfalls
• Some of the boundaries are unclear or yet to be defined
• Project boundaries are incorrectly placed (this can be confirmed by
auditors through the use of Google Earth or with handheld GPS units when
in the field)
• PDD and/or supporting documents do not include maps with both the
project area and project zone defined
• Project intervention locations are not identified
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G.3.4 IMPLEMENTATION SCHEDULE
Define the project lifetime and GHG accounting period and explain and
justify any differences between them. Define an implementation schedule,
indicating key dates and milestones in the project’s development.
© J.Henman
G.3.4 IMPLEMENTATION SCHEDULE
Conformance
• Demonstrate clear rationale for the selection of project life span
• Project implementation schedule needs to cover project lifetime
Common Pitfalls
• Implementation schedule is not realistic and does not contain
contingency measures
• Implementation schedule is vague and does not include major project
milestones, or responsible parties
• Stakeholder interviews during the field audit contradict defined
timelines in the PDD and supporting documents
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G.3.5 NATURAL AND HUMAN-INDUCED RISK
Identify likely natural and human-induced risks to the expected climate,
community and biodiversity benefits during the project lifetime and outline
measures adopted to mitigate these risks.
G3.5 RISK ANALYSIS
What to look for in the PDD:
• Risks to the benefits to climate, community and biodiversity must be
identified. Evidence of a structured approach to risk assessment.
Quick Exercise: In pairs brainstorm the potential risks
facing a carbon project's climate, community and biodiversity
benefits.
3 mins
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G3.5 ONE APPROACH TO RISK ASSESSMENT: VCS
2.2 INTERNAL RISKS
2.3 EXTERNAL RISKS
• 2.2.1 Project management
• 2.3.1 Land and resource tenure
• 2.2.2 Financial viability
• 2.3.2 Community engagement
• 2.2.3 Opportunity cost
• 2.3.3 Political risk
• 2.2.4 Project longevity
2.4 NATURAL RISKS
• Significance and likelihood:
• Fire
• Pest and Disease Outbreaks
• Extreme Weather
• Geological Risk
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G.3.5 NATURAL AND HUMAN-INDUCED RISK
Conformance
• Risk assessment should be performed to cover full project
boundaries and to include the project’s financial risk, disputes over land
tenure and resource rights, etc.
• Mitigation options should be based on case studies proving their
efficiency
• Provide proof of participatory approaches usage for the mitigation
of human induced risk
Common Pitfalls
• Low probability risks are discounted from the assessment and
mitigation measures
• Project has not addressed all likely risks (e.g. financial, natural, social,
etc.) or lack justification for omission.
• Project cannot demonstrate ability to implement risk mitigation
activities
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G.3.6 HCVs IN PROJECT DESIGN
Demonstrate that the project design includes specific measures to ensure the
maintenance or enhancement of the high conservation value attributes
identified in G1 consistent with the precautionary principle.
G.3.6 HCVs IN PROJECT DESIGN
Conformance
• Include HCV management plan covering options such as protecting the
area, modifying operations that degrade the HCV, restoration activities…
• Link HCVs identified in G1.8 to each management measures
• There has to be evidence that a precautionary approach is taken when
needed meaning that maintenance measures must be put in place if
a threat to the HCV is perceived even in the lack of scientific
certainty
Common Pitfalls
• The management plan does not combine maintenance or
enhancement approaches when needed
• Project fails to demonstrate adequate assessment of HCV within the
project area
36
G.3.7 BENEFITS BEYOND PROJECT LIFETIME
Describe the measures that will be taken to maintain and enhance the climate,
community and biodiversity benefits beyond the project lifetime.
© J.Henman
G.3.7 BENEFITS BEYOND PROJECT LIFETIME
Conformance
• The PDD must explain the viability of the initiatives put in place by
the project after the project lifetime indicated in G3.4. This can be
financial viability such as setting up funds or creating markets, or social
viability such as capacity building and training
Common Pitfalls
• Project does not include measures that promote and maintain project
activities and their net benefits beyond the crediting period. These
should be included within the PDD, and can often be verified in the field
through stakeholder interviews
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EXAMPLE: BENEFITS BEYOND THE PROJECT LIFETIME
(G3.7)
Penablanca Sustainable Reforestation Project, Philippines
Validated to the CCB Standards 2st Ed. December 2009
Gold Level for Exceptional Biodiversity Benefits
PDD available at CCBA Web site
•Financial viability: creation of a
‘reforestation fund’
ensures the project is self sufficient
ensures the ecosystem benefits liked to
reforestation are maintained
•Social viability: conservation awareness
raising campaign, organizational capacity
building and institutional sustainability
strengthening for the communities
cooperatives
ensures a cross generational attitude
change
Source: Project PDD
Source: Project PDD
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G.3.8 STAKEHOLDERS AFFECTED BY PROJECT
KEY POINTS:
•Document and defend how communities have been consulted effectively.
•Gather, incorporate , and document stakeholder input.
•Communication plan with stakeholders throughout the life of the project.
G.3.8 STAKEHOLDERS AFFECTED BY PROJECT
Conformance
• Provide transcripts and attendance lists of the stakeholder
consultations
• Provide evidence of the evolution in project design based on comments
received during pre-implementation stakeholder consultations
• Provide plan of consultation schedule and methods over the project
lifetime
Common Pitfalls
• Consultations do not include all relevant or impacted stakeholders
groups
• Interviews demonstrate that not all stakeholders were aware of the
consultations
• Consultations planned are not frequent enough and do not
correspond to the milestones in the project implementation
schedule
41
G.3.9 CCBA PUBLIC COMMENT PERIOD
KEY POINTS:
•Describe specific steps taken, and communications methods used, to publicize the
CCBA public comment period to stakeholders.
•Facilitate their submission of comments to CCBA.
•Project proponents must play an active role in distributing key project documents
and facilitate understanding of the project in locally relevant ways.
G3.9 PUBLIC COMMENT PERIOD
The public comment period is the process
whereby the CCBA posts project
documents (PDD & PIR) that are under
evaluation by an auditor on www.climatestandards.org for at least 30 days.
In addition the project must actively
distribute key project documents in local
languages and widely communicate project.
The auditor must respond to any
comments received from the public
during this period in its audit report.
43
What is the
public comment
period for the
CCB Standards?
G.3.9 CCBA PUBLIC COMMENT PERIOD
Conformance
• Show evidence of posters, letters, notices etc… displayed and received
by stakeholders in local languages
• Justify why the dissemination methods used are appropriate for each
stakeholder group
• Justify that means to comment are given to the stakeholders e.g.
individual consultations for marginalized groups, pen and paper, translators
Common Pitfalls
• Interviews demonstrate stakeholders don’t understand the project
• Project cannot address stakeholder comments received during the 30
day CCBA public comment period
44
G.3.10 CONFLICTS AND GRIEVANCES
KEY POINTS:
•Formalize a clear process for handling unresolved conflicts and grievances that
arise during project planning and implementation.
•Must hear, respond to and resolve grievances within a reasonable time period.
•Must be publicized and managed by a third party free of conflict of interest.
•Document and attempt to respond to resolve all reasonable grievances within 30
days.
G.3.10 CONFLICTS AND GRIEVANCES
Conformance
• The process must be “formalised” which means documented, and
understood by all stakeholders
• The process must be in operation during planning as well as
implementation, so it must be started before implementation
• The criteria includes many specific requirements, ALL of these must be
met.
Common Pitfalls
• Written records of grievances and responses are not easily accessible.
• Evidence of the publication process is not available.
• Auditors interview stakeholders who are not aware of the process,
indicating inadequate publication.
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G.3.11 ADEQUATE FLOW OF FUNDS
Demonstrate that financial mechanisms adopted, including projected revenues from
emissions reductions and other sources, are likely to provide an adequate flow of
funds for project implementation and to achieve the anticipated climate, community
and biodiversity benefits.
G.3.11 ADEQUATE FLOW OF FUNDS
Conformance
• Description of financial mechanisms such as grants, loans, ERPAs, etc.
and should include funding beyond the project lifetime
• Provide a project business plan to demonstrate that the flow of funds is
adequate for the implementation of the project
• Highlight contingency measures in the eventuality of lack of funds
Common Pitfalls
• Business plan is unrealistic with cost of implementation being
underestimated
• Financial agreement documents are not available
• Income from carbon benefits does not match biophysical projections.
48
G4. MANAGEMENT CAPACITY AND BEST PRACTICES
• What does the standard require? That the project has in place a
competent management team, and includes capacity building and training
for persons involved in the project when needed.
• Why? Good management is likely to lead to the successful
implementation of a multiple benefit project
49
G4. MANAGEMENT CAPACITY AND BEST PRACTICES
Requirements:
• Project proponent identification (G4.1)
• Key technical skills necessary for project implementation(G4.2)
• Training or capacity building plan (G4.3)
• Equal opportunity recruitment (G4.4)
• Host country workers rights and laws(G4.5)
• Workers risk assessment and mitigation strategy (G4.6)
• Financial health of implementing organization (G4.7)
50
G4.1 PROJECT PROPONENT IDENTIFICATION
Identify a single project proponent which is responsible for the project’s design and
implementation. If multiple organizations or individuals are involved in the project’s
development and implementation the governance structure, roles and responsibilities
of each of the organizations or individuals involved must also be described.
G4.1 PROJECT PROPONENT IDENTIFICATION
Conformance
• Identify the project’s point of contact
• Describe the project management organigram identifying a clear
chain of command
• When several organisations are involved in the project, their
relationship needs to be described
Common Pitfalls
• Interviews with project proponents highlight their lack of knowledge of
their roles and responsibilities
• PDD fails to describe all relevant project participants and clearly define
their role and responsibility
• Project fails to demonstrate ability to access technical competence
to complete proposed project activities
52
G4.2 KEY TECHNICAL SKILLS NECESSARY
KEY POINTS
•Document key technical skills in major project areas required by management
team.
•Document management team’s relevant experience on similar projects
•Justify how any technical gaps will be addressed.
© J.Henman
G4.2 KEY TECHNICAL SKILLS NECESSARY
Conformance
• Key technical skills necessary should be identified using case studies of
similar projects, expert advice and following standard practices
• Include the management team’s CVs highlighting experience relevant
to the project
• Perform a strength-weakness analysis against existing teams experience
and experience necessary
Common Pitfalls
• Project fails to demonstrate ability to access technical competence
to complete proposed project activities in each major technical area.
• Technical gaps are not addressed or plans to mitigate them do not exist
54
G4.3 TRAINING OR CAPACITY BUILDING PLAN
KEY POINTS:
•Include a plan to provide orientation and training for the project’s employees and
relevant people from the communities.
•Capacity building efforts should target a wide range of people in the communities,
including minority and underrepresented groups.
•Identify how skills will be maintained with staff turn over
G4.3 TRAINING OR CAPACITY BUILDING PLAN
Conformance
• Plan should contain training topics, estimated number of people
needed to be trained, usefulness to the project development
• Provide a target training list that distinguishes between, and justifies
training for employees vs. community members
• Display training continuation strategy through the provision of
employee and community training manuals
Common Pitfalls
• PDD does not include an organized training plan
• Stakeholder groups have been denied training
• Interviews with community members highlights to lack of knowledge of
training availability
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G4.4 EQUAL OPPORTUNITY EMPLOYMENT
KEY POINTS
•Provide a reasonable opportunity for local community members to fill
project positions.
•Explain and justify that selection process is unbiased and equitable
G4.4 EQUAL OPPORTUNITY EMPLOYMENT
Conformance
• Include employee selection criteria and job description for each
project position available
• Include statistics on the numbers of employees from the community
vs. external hires
• Perform cost-benefit analysis for all expatriate staff hired
• Highlight the positions were women and underrepresented groups
will have the possibility to apply
Common Pitfalls
• Interviews show that stakeholders are not aware of employment
opportunities through the lack of adequate dissemination of position
openings
• Employee selection criteria are unrealistic for the communities
58
G4.5 HOST COUNTRY WORKERS RIGHTS
•Submit a list of all relevant laws and regulations covering worker’s rights in the
host country.
•Describe how the project will inform workers about their rights.
•Provide assurance that the project meets or exceeds all applicable laws and/or
regulations covering worker rights and, where relevant, demonstrate how
compliance is achieved.
G4.5 HOST COUNTRY WORKERS RIGHTS
Conformance
• Identify relevant laws and describe process for assuring the list is complete
• Describe the process by which workers will have been made aware of all
the national workers rights laws prior to employment. Transcripts of
interviews or meetings should be provided.
• Compliance should be achieved through detailed employment records
and payrolls demonstrating all employees are legal.
• Wages should not be less than the legal national minimum.
Common Pitfalls
• The PDD doesn’t actively describe how the project will comply to laws,
including international agreements and treaties.
• The auditor interviews many workers who are not aware of rights
indicating they may not have been clearly informed
60
G4.6 WORKERS RISK ASSESSMENT
•Comprehensively assess situations and occupations that pose a substantial risk to
worker safety.
•A plan must be in place to inform workers of risks and to explain how to minimize
such risks.
•Where worker safety cannot be guaranteed, project proponents must show how
the risks will be minimized using best work practices.
G4.6 WORKERS RISK ASSESSMENT
Conformance
• The project proponents must demonstrate that an occupational risk
assessment and risk avoidance training has been carried out
• A project workers manual should have been produced and distributed
to project staff highlighting work safety issues and risk reduction
• The use of safety equipment needs to be demonstrated through the
provision of receipts and training records
Common Pitfalls
• The project as a whole does not have a detailed risk management plan
• The project workers manual is not actively used
• Field visit confirms that safety equipment described in the PDD is not
actually onsite or readily available to staff (e.g. personal protective
equipment, first aid equipment, etc.)
62
G4.7 FINANCIAL HEALTH
Document the financial health of the implementing organization(s) to demonstrate that
financial resources budgeted will be adequate to implement the project.
G4.7 FINANCIAL HEALTH
Conformance
• The implementing organisation should provide audited financial
statements, annual budgets, etc…to demonstrate that the cash flow
necessary to implement the project is available
• The implementing organization should provide grant agreements
Common Pitfalls
• Project fails to demonstrate allocation of intended revenue to support
project through financial management plans
• The implementing organization can’t provide evidence of funds or
financial planning for the totality of the project lifetime
• Project funds from carbon benefits are not aligned with biophysical
projections
64
G5. LEGAL STATUS AND PROPERTY RIGHTS
• What does the standard require?
– The project must be based on a solid legal framework, satisfying applicable
planning and regulatory requirements.
– In the case of unresolved disputes over tenure or user rights, the project must
document how these will be resolved by the start of the project
• Why? A solid legal framework is essential for guaranteeing the long term
success and longevity of a project
65
G5. LEGAL STATUS AND PROPERTY RIGHTS
Requirements:
• Host country relevant national and local laws (G5.1)
• Project approval from appropriate authorities (G5.2)
• Free, prior and informed consent (G5.3)
• No involuntary relocation (G5.4)
• No illegal activities affecting the project (G5.5)
• Clear title to carbon rights (G5.6)
66
G5.1 HOST COUNTRY LAWS
•Submit a list of all relevant national and local laws and regulations in the host country
and all applicable international treaties and agreements.
•Provide assurance that the project will comply with these and, where relevant,
demonstrate how compliance is achieved.
G5.1 HOST COUNTRY LAWS
Conformance
• The PDD must identify national, departmental, municipal and
customary norms.
• Describe how relevant norms are or will be complied as relevant to each
jurisdiction
• Demonstrate process for gathering list of norms and its completeness
• International laws not mentioned in the national legislation should also be
abided to
Common Pitfalls
• Not all the laws related to the climate, community and biodiversity
aspects of the project are listed
• Customary norms that are not under written form are discarded
68
G5.2 APPROVAL FROM AUTHORITIES
Document that the project has approval from the appropriate authorities,
including the established formal and/or traditional authorities customarily
required by the communities.
G5.2 APPROVAL FROM AUTHORITIES
Conformance
• “Documenting approval” means producing a written signed and dated
agreement between parties.
• Approval from authorities needs to follow national and local laws and
customs, including EIA, project planning, implementation and regulatory
requirements
• Approval is needed before the project starts
• Ensure that community authorities are legitimate and measures in place to
disclose agreements to communities in case authorities do not.
Common Pitfalls
• Approval from authorities doesn’t span the entire duration of the
project
• Approval is not received by all the relevant authorities
• Customary community authorities may not always communicate
with their constituents.
70
G5.3 FREE, PRIOR AND INFORMED CONSENT
Demonstrate with documented consultations and agreements that the project will not
encroach uninvited on private property, community property, or government property
and has obtained the free, prior, and informed consent of those whose rights will be
affected by the project.
FREE, PRIOR AND INFORMED CONSENT (FPIC)
“
FPIC can be described as the establishment of conditions under which
people exercise their fundamental right to negotiate the terms of
externally imposed policies, programs, and activities that directly
affect their livelihoods or wellbeing, and to give or withhold their
consent to them.
”
RECOFTC and GIZ, 2011
72
FREE, PRIOR AND INFORMED CONSENT (FPIC)
For a good guide to FPIC look at:
RECOFTC and GIZ, 2011
No coercion, intimidation or manipulation
Consent has been sought sufficiently in advance of any authorization or
commencement of activities
73
FREE, PRIOR AND INFORMED CONSENT (FPIC)
Information is provided that covers:
• The nature, size, pace, reversibility and scope of any proposed project or
activity;
• The reason/s or purpose of the project and/or activity;
• The duration of the above;
• The locality of areas that will be affected;
• A preliminary assessment of the likely economic, social, cultural and
environmental impact;
• Personnel likely to be involved in the execution of the proposed project; and,
• Procedures that the project may entail.
The collective decision made by the rights-holders, reached through the
customary decision-making processes of the affected peoples or communities.
Consent must be sought and granted or withheld according to local community
norms.
74
G5.3 FREE, PRIOR AND INFORMED CONSENT
Conformance
• Describe and demonstrate approval process for operations on private or
communal property
• The PDD should describe and document how the FPIC process
described previously has been adhered too
• The project should conform with the UN Declaration on the Rights of
the Indigenous Peoples and obtain FPIC from all the project stakeholders,
see: http://www.un.org/esa/socdev/unpfii/documents/DRIPS_en.pdf
• The PDD should document a process to inform all stakeholders of
project changes relating to the encroachment on property post FPIC
consultations
Common Pitfalls
• The auditors interview stakeholders who are not aware or agree with
the project
• The project FPIC consultation does not take into account encroachment
on lands that communities have traditionally owned, occupied or otherwise
used or acquired
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G5.4 INVOLUNTARY RELOCATION
KEY POINTS
•Document that the project does not involve involuntary relocation of people or of
the activities important for the livelihoods and culture of the communities.
•If relocation occurs, demonstrate free, prior, and informed consent.
G5.4 INVOLUNTARY RELOCATION
Conformance
• The PDD must legitimize any relocation by providing a signed
agreement with the affected parties.
• In exceptional cases where involuntary relocation is necessary and
appropriate, justification must be provided
• The PDD must demonstrate how the compensation received reflects
the burden endured by the communities (i.e. no negative effect on
income received or livelihoods).
Common Pitfalls
• The project doesn’t compensate stakeholders for relocation of seasonal
or cyclical activities.
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G5.5 ILLEGAL ACTIVITIES
•Identify any illegal activities that could affect the project’s climate,
community or biodiversity impacts (e.g., logging) taking place in the project
zone
•Describe how the project will help to reduce these activities so that project
benefits are not derived from illegal activities.
G5.5 ILLEGAL ACTIVITIES
Conformance
• Illegal activities need to be identified and documented through reports
and/or interviews with local authorities and other relevant stakeholders
• The PDD must demonstrate that these activities are being reduced
through the provision of alternative livelihoods and appropriate
monitoring
Common Pitfalls
• Auditor interviews during the field audit find that illegal activities are
ongoing and are not being adequately addressed by the project
• Illegal activities that are considered common practice are discarded
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G5.6 TITLE TO CARBON RIGHTS
•Demonstrate that the project proponents have clear, uncontested title to the
carbon rights,
•Or provide legal documentation demonstrating that the project is undertaken on
behalf of the carbon owners with their full consent.
•Where local or national conditions preclude clear title to the carbon rights at the
time of validation against the Standards, the project proponents must provide
evidence that their ownership of carbon rights is likely to be established before
they enter into any transactions concerning the project’s carbon assets.
G5.6 TITLE TO CARBON RIGHTS
Conformance
• The PDD must demonstrate that the project proponents own the carbon
rights, either through having legal rights over the land or through
legal agreements.
Common Pitfalls
• Project fails to produce evidence of contracts or demonstration of legal
right over the land within the entirety of the project area
• The auditors interview stakeholders who are unaware of their carbon
rights
• Failure of the project to reference national documentation on carbon
rights (e.g. RPPs, RPINs)
• Failure to have signed contracts in place
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PHOTO COPYRIGHT AND RE-USE
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All photos are copyright to Jenny Henman and/or Leo Peskett
Written permission is required for re-use of photos outside of these training
materials from Jenny Henman ([email protected])
Any re-use must acknowledge on the photo Jenny Henman and/or Leo Peskett as
per the current copyright
© J.Henman
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