Appendix VI

Checklists

In this Appendix:
View simplified, comprehensive checklists of the action items for each module

Module 1: Learning & Early Discussions

Learning & Early Discussions Checklist

 Step One: Identify Relevant IPLCs

  Desk research, expert interviews and field interviews

  • Geographical analysis with upstream/downstream impacts
  • Temporal or historical analysis
  • Resource use analysis, including seasonal use
  • Other impact analysis, especially if the project is not place-based, for example, an overarching strategy or a national policy initiative (see also Human Rights Impact Assessment in FPIC Module)
  • In addition to environmental impacts, consideration of legal, social, health, subsistence, political, economic, spiritual and cultural impacts

 
  Cross-check identification results as part of initial contacts with IPLC

  Analysis of competing IPLC claims or interests

  Analysis of IPLC claims or interests disputed by government or other authorities

Step Two: Develop an Engagement Plan

  Consider TNC team capacity, including language, cultural experience, training needs

  Consider existing or established IPLC engagement processes

  Solicit and defer to IPLC preferences on Engagement Plan options. Assess if there’s sufficient cooperation to proceed

  • Preliminary Inclusion analysis

 
  Documentation (see “Documentation to Save” below)

Step Three: Begin Initial Engagement & Dialogue

  Continuous development and adaptation of the Engagement Plan

  Co-learning – TNC learns about the IPLC and introduces itself to the IPLC

  Continuous development of dialogue objectives

  Data sharing and the consideration of limits, conditions and parameters on data

Module 2: Free, Prior & Informed Consent

FPIC Checklist

Step One: Build Internal Capacity

  Ensure the TNC team has the necessary competencies or can access them externally.

  • Consider TNC’s Diversity Learning page as a resource on topics such as leveraging differences and creating inclusion
  • TNC team should include expertise in languages, histories and cultures of the IPLCs involved, and be committed to collaboration and cross-cultural learning and communication

 
  Develop a Documentation Plan.

  • Work collaboratively with the IPLC to develop the plan
  • Agree on who will document what and in what format
  • Identify a member of the TNC team who will maintain records per TNC requirements

 
  Understand host country legislation regarding FPIC requirements, remembering that TNC is committed to a process that may go above and beyond the local legal framework.

Step Two: Consultation Plan and FPIC Process

  Collaborate with the IPLC to create a Consultation Plan to include:

  • A mutually agreed approach to an impact assessment, to include potential human rights impacts of proposed activities (should be updated as consultation discussions proceed):
    • Positive impacts
    • Negative impacts, including severity, probability and underlying causes of the risk
    • Proposed mitigation for potential negative impacts described above
    • Plan for tracking responses and outcomes and for communicating how impacts are being addressed
  • Scheduling
  • Budgeting
  • Milestones
  • Documentation

 
  Hold meetings at times and places of the IPLC’s choosing, including additional meetings or provisions for different social identities, if necessary.

  Document presentations made by TNC, IPLCs and others to record outcomes and agreements.

Step Three: Final Presentation and Seeking of Consent

  Conduct a final presentation or summary articulating TNC’s intentions and assurances in a concrete form upon which the IPLC’s determination of consent can be based.

  • Tailor the presentation to the context and IPLC expectations
  • In the case of oral, ceremonial or other customary practices, TNC may want to consider keeping written documentation for its records:
    • Document who attended
    • Take minutes
    • Keep a written record of the presentation

 
  If consent is granted:

  • Agree on the form consent takes
  • Make sure IPLC concerns and suggestions are incorporated in any Consent Agreement
  • Document who participated in Consent Agreement meetings
  • Create a plan for when and how to periodically revisit the Consent Agreement

Module 3: Conflict Resolution

Conflict Resolution Checklist

For the entire conflict resolution process

  Describe how TNC is building mutual trust, accountability and transparency with the IPLC

  Co-create a trusted conflict resolution process that’s considered legitimate by all parties

Step One: Develop a Conflict Resolution Plan

Determine if there is a conflict resolution process required by a government or funder and if the IPLC is willing to comply with it

If the IPLC does not agree to use the required process, consider working together to propose an alternative process

If there is no conflict resolution process required by the host country government or a funder, or if there is one that only applies to certain complaints, collaborate with the IPLC and agree upon culturally responsive mechanisms for resolving conflicts

Agree upon a Conflict Resolution Plan with the IPLC that considers Dialogue, Mediation and the TNC Ethics & Compliance Process

Dialogue

Learn about the IPLC’s preferences and methods for dialogue

Train TNC staff to build and practice dialogue skills

Create a physically and emotionally safe environment for dialogue

Allow time for a meaningful dialogue process; respect IPLC timescales, needs and preferences; and provide more information and resources as needed

Mediation

  If the IPLC is willing, discuss their preferred processes for resolving conflicts. Determine if the IPLC’s existing process is appropriate for resolving conflicts when they work with outsiders

  • If TNC staff needs information or documentation beyond the scope of the IPLC’s process, TNC may request the IPLC’s help to get it

 
  Determine who will represent each party in the process and include their names in the Conflict Resolution Plan

  Discuss the IPLC’s position on using outside mediators or facilitators for resolving disputes

  • If acceptable, identify trusted mediators or facilitators and include their names in the Conflict Resolution Plan
  • If using outside mediators or facilitators is not a standard practice or norm, discuss and document other options that both parties agree to use

 
  Determine how input from different social identities will be meaningfully incorporated in the process

TNC’s Ethics & Compliance Process

Explain TNC’s Ethics & Compliance Process and how and when it can be accessed by TNC staff and partners (See Appendix V and www.nature.org/tnchelpline)

Step Two: Implement the Conflict Resolution Plan

Ensure parties know about the Conflict Resolution Plan, and explain the mechanisms, processes and outcomes

Provide measures to guard against retaliation

Decide together how the conflict resolution process will be documented

Consult with Legal Counsel, the Global Indigenous Peoples and Local Communities Team and Global Diversity Equity & Inclusion team if uncertainty arises

If an adverse impact is identified, remediate it promptly and fairly to prevent compounding the harm and the escalation of the grievance

Carry out the conflict resolution process in good faith, including rigorous follow-through until parties agree the conflict is resolved

Step Three: Continuously Revisit and Adapt the Plan

  Use the conflict resolution process to support continuous learning for TNC and the IPLC

  Revisit and update the Conflict Resolution Plan periodically, particularly when there are significant changes to the TNC project team, partners, work plan or budget

Module 4: Implementation

Implementation Checklist

Step One: Update and Extend Plans

For TNC teams who have been through the earlier modules: Update Engagement, Consultation and Conflict Resolution Plans to reflect new decisions, roles, responsibilities and consultation processes

For TNC teams in implementation who have not been through the earlier modules:

 
With the IPLC, agree on tasks, a timeline and the budget of the initiative

Co-create short-term and long-term plans to build IPLC and TNC capacity and fill staffing needs

Step Two: Revisit the Principles and Safeguards and Consent Agreement

  Hold check-ins, trainings and additional consultations throughout implementation, in line with the Principles and Safeguards and Consent Agreement, to ensure requirements are being assessed and integrated continuously

Step Three: Monitor Key Impacts

Throughout implementation, monitor key impacts identified in the Human Rights Impact Assessment or other assessments during the FPIC process (see FPIC Module and Monitoring, Evaluation & Adaptation Module)

Module 5: Documentation

Documentation Checklist

Establish documentation practices that facilitate communication, trust and accountability. Documentation should meet the needs of both TNC and the IPLC, including language, format, literacy levels, internet access and cultural practices and preferences

Revisit the Human Rights Impact Assessment or other areas of concern identified during consultation, and provide added attention to these areas during documentation

Ensure documentation practices respect and protect IPLCs’ rights to collective knowledge and intellectual property, and include confidentiality provisions where necessary

Throughout the lifecycle of an initiative, ensure documentation is continuous and thorough, yet intentional and manageable

Support TNC and IPLC capacity-building to facilitate participation in and understanding of culturally responsive documentation practices

Module 6: Monitoring, Evaluation & Adaptation

Monitoring, Evaluation & Adaptation Checklist

In addition to the highlights below, TNC staff should refer to the checklists at the end of each module, which comprise a comprehensive checklist to inform monitoring, evaluation and adaptation.

Step One: Develop Indicators

Develop a targeted set of subjective and objective human rights impact indicators reflecting IPLC goals, priorities and concerns, based on a Human Rights Impact Assessment or areas of concern identified through other assessments or processes.

Step Two: Collect and Evaluate Feedback

Establish monitoring and data collection systems for specific time frames using appropriate methods, considering existing IPLC engagement processes

Put methodologies in place, considering both formative and summative evaluations (e.g., midterm and final pause-and-reflect meetings)

Step Three: Engage in Adaptive Management

Adapt as needed, according to evaluation results

Wenland Case Study Introduction

Welcome to Wenland

Wenland is a vast subarctic island. The European state of Albian claimed Wenland as a territorial possession during Albian’s period of expansion in the 1600s.

Historically, the Wen people were nomadic, and their traditional lands stretch across Europe from as far back as pre-Roman times. In the late 19th century during a surge in intolerant nationalism across Europe, the Wen were forcibly resettled to Wenland. They settled the southern part of the island, but as Albian immigrants began to travel to Wenland’s south coast and settle there, the Wen people were steadily pushed north into the permafrost region, known as the Wend.

In 1934, the Albian government issued a proclamation declaring the Wend as a Wen homeland. They funded the development of Wen self-government, but Parliament never ratified the proclamation. The modern Albian government doesn’t recognize the proclamation as legal, perhaps spurred by Albian citizens, most of whom fiercely oppose the idea of a Wen homeland. No one has actively interfered with the Wen’s occupancy and use of the Wend, so most Wen people withhold comment and avoid the issue.

In the 1970s, oil companies began offshore extractive operations without consulting with the Wen. Many Albian workers migrated northward and today the largest towns in the Wend are half Albian and half Wen. These towns have integrated economies and workplaces, but social segregation and ethnic tensions are ongoing. A few smaller Wen-only villages are scattered throughout the Wend.

There are three distinct Wen social and lineal groups: Wenna, Wenebe, and Wennec. Collectively, they’re called Camps, which alludes to the encampments they built when they first arrived in the Wend in the late 1800s. The Wenna and Wenebe Camps are now based in larger towns, while Wennec consists mostly of small villages that are more self-contained. The three Camps generally cooperate but have sometimes developed rivalries. The Wen Camps speak different dialects of Wennish, although they all speak Albian, too. The Wennec villages are the least proficient in Albian, whereas the Wenna and Wenebe are fluent.

One thing all Wen have in common is defining themselves by their survival in — and connection to — the Wend. They recite how countless peoples came to the Wend through the millennia, but only the Wen listened to the land and learned to live with it in harmony. The Wen hold deep knowledge of the landscape and are committed to protecting it.

Likewise, they’re committed to protecting their culture, including their language, traditional dress and ceremonies. A summer celebration draws Wen from all three Camps to sacred sites across the Wend for a month of festivals, cultural immersion and inter-Camp consultation.

The Wen maintain their own institutions of self-government, but they are citizens of Albian and subject to the jurisdiction of the Wenland territorial government.

1B. Wenland Case Study

TNC in Wenland (SCENARIO 2)

Unlike Scenario 1, TNC has a large office in a southern Wenland city and a small office in a northern Wen town, where there are three ethnic Wen on staff. TNC has helped Wennec communities near its northern office fund and manage numerous conservation and community development projects over the years. We have not worked much with the other two Wen Camps.

Let's Say…

Thoughts and Guidance

Let's Say…

1
As in Scenario 1, the TNC team is considering program activities regarding an old easement project for which no FPIC process was conducted. The idea of initiating activities around the easement has come up informally several times in conversations with Wen contacts, and everyone seems in favor. In this Scenario, is a broader FPIC process still necessary?

Thoughts and Guidance


TNC may not need to immediately address the lack of FPIC in every legacy project; however, modifying, expanding, or revisiting a project may trigger that need. Because FPIC is such a powerful relationship-building tool, TNC should not shy away from exploring it. It’s not c