©2011 Rainforest Alliance

Climate, Community and Biodiversity Alliance

In-depth training

CCB STANDARDS:

general criteria

CCB STANDARDS:

general criteria

AIMS OF THE GENERAL CRITERIA MODULE

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Introduction to 5 of the general criteria, a detailed look at some, and an in depth case study example

G1. ORIGINAL CONDITIONS IN THE PROJECT AREA

• What does the standard require? The project documents the pre-project 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.

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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

G1. ORIGINAL CONDITIONS IN THE PROJECT AREA

The location of the project and basic physical parameters (e.g. soil, geology, climate)

G1.1 LOCATION AND PHYSICAL PARAMETERS

• 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 government data, peer review scientific studies etc.

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Common Pitfalls• Description concentrate 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

Conformance

G1.1 LOCATION AND PHYSICAL PARAMETERS

The types and condition of vegetation within the project area.

G1.2 VEGETATION CONDITION

• 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 and salient physical characteristics, notable species.

• The PDD should describe ‘vegetation condition’ covering chief natural and human disturbances (such as cattle grazing, agricultural encroachment, hurricanes, fire, etc).

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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

Conformance

G1.2 VEGETATION CONDITION

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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

AdaptationPDD 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

The boundaries of the project area and the project zone.

G1.3 PROJECT BOUNDARIES

• 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

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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

Conformance

G1.3 PROJECT BOUNDARIES

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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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

G2. BASELINE PROJECTIONS

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

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- There are multiple possible land-use scenarios for any one area. This process identifies the most likely

- Peer-reviewed programs for predicting future land-use trends are available: GEOMOD or FRCA

- 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)

G2.1 WITHOUT PROJECT LAND-USE SCENARIO

• 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 were a published methodology is used, the full reference must be given and any variation from the methodology must be explained

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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

Conformance

G2.1 WITHOUT PROJECT LAND-USE SCENARIO

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.

G2.2 ADDITIONALITY

DEFINITION OF ADDITIONALITY

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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The United Nations Framework Convention on Climate change defined additionality at their Ninth Conference of the Parties (COP9) in Milan in 2003 as follows.

VCS BASELINE AND ADDITIONALITY TOOL WALKTHROUGH (G2.1 & G2.2)

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Barriers can include: - Institutional - Technological - Local tradition - Prevailing Practice - Ecological Conditions - Social Conditions - Tenure, land ownership

Scenarios:1) Deforestation2) Tree planting no project3) Tree planting with credits4) Pasture (prevailing practice)5) Agriculture6) Tourism

• 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

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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.

Conformance

G2.2 ADDITIONALITY

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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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)

G.3. PROJECT DESIGN AND GOALS

Provide a summary of the project’s major climate, community and biodiversity objectives.

G.3.1 SUMMARY OF OBJECTIVES

• 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

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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

Conformance

G.3.1 SUMMARY OF OBJECTIVES

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

• Impacts are long-lasting durable 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

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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

Conformance

G.3.2 PROJECT ACTIVITIES IMPACTS

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

• 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

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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

Conformance

G.3.3 MAP OF LOCATION AND BOUNDARIES

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.

G.3.4 IMPLEMENTATION SCHEDULE

© J.Henman

• Demonstrate clear rationale for the selection of project lifespan

• Project implementation schedule needs to cover project lifetime

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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

Conformance

G.3.4 IMPLEMENTATION SCHEDULE

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.

G.3.5 NATURAL AND HUMAN-INDUCED RISK

• Risk assessment should be performed to cover full project boundaries and including failing of business, right of people over other resources, 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

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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

Conformance

G.3.5 NATURAL AND HUMAN-INDUCED RISK

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

• 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

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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

Conformance

G.3.6 HCVs IN PROJECT DESIGN

Describe the measures that will be taken to maintain and enhance the climate, community and biodiversity benefits beyond the project lifetime.

G.3.7 BENEFITS BEYOND PROJECT LIFETIME

© J.Henman

• 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

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Common Pitfalls• Project does not include measures to ensure project

viability. These should be included within the PDD, and can often be verified in the field through stakeholder interviews

Conformance

G.3.7 BENEFITS BEYOND PROJECT LIFETIME

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EXAMPLE: BENEFITS BEYOND THE PROJECT LIFETIME (G3.7)

Penablanca Sustainable Reforetation Project, PhilippinesValidated to the CCB Standards 2st Ed. December 2009

Gold Level for Exceptional Biodiversity BenefitsPDD available at CCBA Web site

•Financial viability: creation of a ‘reforestation fund’ ensures the project is self sufficientensures the ecosystem benefits liked to reforestation are maintained

•Social viability: conservation awareness raising campaign, organizational capacity building and institutional sustainability strengthening for the communities cooperativesensures a cross generational attitude change

Source: Project PDD

Source: Project PDD

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

• 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

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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

Conformance

G.3.8 STAKEHOLDERS AFFECTED BY PROJECT

KEY POINTS:• Describe specific steps have 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.

G.3.9 CCBA PUBLIC COMMENT PERIOD

• 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

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Common Pitfalls• Interviews demonstrate stakeholders don’t understand

the project

• Project cannot address stakeholder comments received during the 30 day CCBA public comment period

Conformance

G.3.9 CCBA PUBLIC COMMENT PERIOD

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

• 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.

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Common Pitfalls

Conformance

G.3.10 CONFLICTS AND GRIEVANCES

• 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.

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

• Description of financial mechanisms such as grants, loans, ERPAs etc and should include funding beyond the project lifetime

• Provide 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

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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.

Conformance

G.3.11 ADEQUATE FLOW OF FUNDS

G3.4 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.

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Quick Exercise: In pairs brainstorm risks to the climate, community and biodiversity benefits that could face a carbon project.

3 mins

G3.5 ONE APPROACH TO RISK ASSESSMENT: VCS

2.2 INTERNAL RISKS

• 2.2.1 Project management

• 2.2.2 Financial viability

• 2.2.3 Opportunity cost

• 2.2.4 Project longevity

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2.4 NATURAL RISKS

• Significance and likelihood:

• Fire

• Pest and Disease Outbreaks

• Extreme Weather

• Geological Risk

2.3 EXTERNAL RISKS

• 2.3.1 Land and resource tenure

• 2.3.2 Community engagement

• 2.3.3 Political risk

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.climate-standards.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. 4

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What is the public

comment period for the CCB

Standards?

G4. MANAGEMENT CAPACITY AND BEST PRACTICES

• What does the standard require? That the project has in place a competent management team, and which includes capacity building and training for persons involved in the project were needed.

• Why? Good management is likely to lead to the successful implementation of a multiple benefit project

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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)

Identify a single project proponent which is responsible for the project’s design andimplementation. If multiple organizations or individuals are involved in the project’sdevelopment 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

• 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

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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

Conformance

G4.1 PROJECT PROPONENT IDENTIFICATION

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.

G4.2 KEY TECHNICAL SKILLS NECESSARY

© J.Henman

• Key technical skills necessary should be identified using case studies of similar projects, expert advice and following standard practices

• Include the management teams CVs highlighting experience relevant to the project

• Perform a strength-weakness analysis against existing teams experience and experience necessary

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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

Conformance

G4.2 KEY TECHNICAL SKILLS NECESSARY

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

• Plan should contain training topics, estimated number of people needed to be trained, usefulness to the project development

• Provide training target list to justify employees vs. community attendance

• Display training continuation strategy through the provision of employee and community training manuals

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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

Conformance

G4.3 TRAINING OR CAPACITY BUILDING PLAN

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

• 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

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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

Conformance

G4.4 EQUAL OPPORTUNITY EMPLOYMENT

• 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

• 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.

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Common Pitfalls

Conformance

G4.5 HOST COUNTRY WORKERS RIGHTS

• The PDD doesn’t actively describe how the project will comply to laws, including international agreements and treaties.

• The auditors interviews many workers who are not aware of rights indicating they may not have been clearly informed

• 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

• 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

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Common Pitfalls

Conformance

G4.6 WORKERS RISK ASSESSMENT

• 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.)

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

• 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

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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

Conformance

G4.7 FINANCIAL HEALTH

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

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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)

G5. LEGAL STATUS AND PROPERTY RIGHTS

• 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

• 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

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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

Conformance

G5.1 HOST COUNTRY LAWS

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

• ‘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.

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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.

Conformance

G5.2 APPROVAL FROM AUTHORITIES

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.

G5.3 FREE, PRIOR AND INFORMED CONSENT

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

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FREE, PRIOR AND INFORMED CONSENT (FPIC)

No coercion, intimidation or manipulation

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For a good guide to FPIC look at: RECOFTC and GIZ, 2011

FR

EE

Consent has been sought sufficiently in advance of any authorization or commencement of activities

PR

IOR

FREE, PRIOR AND INFORMED CONSENT (FPIC)

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Consultation and participation are crucial components of a consent process. Consent to any agreement should be interpreted as peoples having reasonably understood it.

CO

NS

EN

T

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.

INFO

RM

ED

• 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 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

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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

Conformance

G5.3 FREE, PRIOR AND INFORMED CONSENT

G5.4 INVOLUNTARY RELOCATION

KEY POINTS

• Document that the project does not involve involuntary relocation of people

• If relocation occurs, demonstrate free, prior, and informed consent.

• The PDD must legitimize any involuntary relocation by providing a signed agreement with the affected parties.

• 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).

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Common Pitfalls• The project doesn’t compensate stakeholders for

relocation of seasonal or cyclical activities.

Conformance

G5.4 INVOLUNTARY RELOCATION

• 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

• Illegal activities need to be identified and documented through reports, interviews with local authorities and populations

• The PDD must demonstrate that these activities are being reduced through the provision of alternative livelihoods and appropriate monitoring

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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

Conformance

G5.5 ILLEGAL ACTIVITIES

• 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

• The PDD must demonstrate that the project proponents own the carbon rights, either through having legal rights over the land or through legal agreements.

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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

Conformance

G5.6 TITLE TO CARBON RIGHTS

G.5. LEGAL STATUS AND PROPERTY RIGHTS

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Exercise 1: Boden Creek Ecological PreserveSee questions on separate sheet.

PHOTO COPYRIGHT AND RE-USE

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© J.Henman

• 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 (jennyhenman@climateadapt.co.uk)

• Any re-use must acknowledge on the photo Jenny Henman and/or Leo Peskett as per the current copyright