Appendix VII

Documentation to Save

In this Appendix:

View documentation suggestions and examples for each module

Know what’s most crucial to file for future consideration

Module 1: Learning & Early Discussions

Documentation to Save

See Documentation Module for additional context and considerations for documentation

Research file on the process used to identify potentially impacted IPLCs

Notes and list of resources from desk research
List of people engaged during screening for IPLC impacts and notes from each of the conversations, including when, where and what was discussed
List of people consulted during the engagement planning process and notes from each of the conversations, including when, where and what was discussed

An Engagement Plan for each IPLC partner and correspondence or notes reflecting how the Engagement Plan was formulated in collaboration with IPLC members and how the final terms were communicated to the IPLC. The requirements of an Engagement Plan will vary, but ideally, plans will include information reflecting:

The matters the IPLC would like to discuss
How those discussions should occur (time, place, format)
Who is involved in those discussions for both TNC and the IPLC
How the IPLC will make and convey decisions to TNC

Documentation reflecting agreements on objectives, goals and conclusions as they emerge from Initial Dialogue

Module 2: Free, Prior & Informed Consent

Documentation to Save

See Documentation Module for additional context and considerations for documentation

Consultation Preparation

List of required competencies for the FPIC process showing how the TNC team meets these requirements
Summary of relevant host country legislation regarding FPIC
Capacity needs of the IPLCs, including familiarity with FPIC, ability to send, receive and store information and capacity to host and attend meetings

Consultation Plan, created in collaboration with the IPLC, that addresses at a minimum the following elements:

Substantive areas of discussion
Scheduling
Budgeting
Milestones
Documentation
- Clearly articulate who will document what
- Ensure all meetings, telephone calls and other steps in the process are noted and described
- Explain how meeting minutes will be kept and shared
- Check compatibility of these documentation plans with TNC’s most recent record-keeping requirements for FPIC practice
- Ensure documentation is maintained in a format that’s easily available to staff and is readily shareable with and stored by IPLC partners
Information drawn from a Human Rights Impact Assessment, including actual and potential impacts, proposals for mitigating impacts, a plan for tracking responses and outcomes and for communicating to stakeholders and rights holders how impacts are being addressed
Records of how the plan was co-created and shared with the IPLCs

Materials documenting meetings, events, and similar activities (minutes, list of attendees, copies of substantive materials distributed)

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

Consent Agreement (if consent is given) that reflects an agreed-upon format and includes IPLC concerns and suggestions, who participated in Consent Agreement meetings, and a plan for when and how to periodically revisit the Consent Agreement

Notes on meetings revisiting the Consent Agreement

Module 3: Conflict Resolution

Documentation to Save

See Documentation Module for additional context and considerations for documentation

A Conflict Resolution Plan, including the menu of mechanisms available and records of how the plan was co-created and shared with the IPLC

Documentation of each dispute, how it was processed and its resolution, including:

Who initiated the process (if not anonymous) and when, the nature of the conflict, who was involved and which mechanisms were used

Outcomes of dialogue, mediation or other mechanisms, agreed-upon resolution and next steps

Revisions or updates to the Conflict Resolution Plan based on experience and learning

Module 4: Implementation

Documentation to Save

See Documentation Module for additional context and considerations for documentation

For teams who have been through the earlier modules: Updated Engagement, Consultation and Conflict Resolution Plans, including:

Key decision points to be addressed in implementation
Roles and responsibilities
Consultation and decision-making processes during implementation
Tasks and timeline
Budget
Provisions for capacity building and participatory monitoring

For teams in implementation that haven’t been through the earlier modules:

Notes on assessments and any identified potential impacts or impacted parties, based on a review of the Learning & Early Discussions Module
Plan for applying the FPIC steps moving forward (and retroactively to the extent possible)
Conflict Resolution Plan

Notes on meetings, discussions and decisions to revisit and integrate the Principles and Safeguards and Consent Agreement requirements throughout implementation, e.g., learning processes, trainings, additional consultation

Notes on monitoring processes and results, based on issues identified in the Human Rights Impact Assessment or other assessments carried out during the FPIC process (See FPIC Module and Monitoring, Evaluation & Adaptation Module)

Module 5: Documentation

Documentation to Save

Key materials to include in the documentation file (see above):

Background research identifying all potentially impacted IPLCs

Engagement Plan for each IPLC partner

Consultation preparation information

Consultation Plan

Consent Agreement

Conflict Resolution Plan

Updated Engagement and Consultation Plans

For teams in implementation that have not been through the earlier modules, an adapted, streamlined version of the above, including:

Notes on assessments and any potential impacts or impacted parties
A plan for applying the FPIC steps moving forward, (and retroactively to the extent possible)
A Conflict Resolution Plan

Human rights monitoring indicators, activities and notes

Module 6: Monitoring, Evaluation & Adaptation

Documentation to Save

See Documentation Module for additional context and considerations for documentation.

Human rights monitoring indicators

Data collection methodologies and results

Materials describing the evaluation methodologies and notes from the implementation of these methodologies

Specific provisions for adaptation and plans for how to implement them