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 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

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 clear whether the Wennec Camp would be able to authorize further development of the project without involvement from the other Camps or broader Wen authority. An open FPIC process would answer this question and help TNC build trust and relationship with the Wenna and Wenebe Camps as well.

Let's Say…

2
The Wennec Camp wants TNC’s help in developing a herd management program for the Wendbok, a culturally significant reindeer. In the past, Wendboks were a staple of the Wen diet, but overpopulation has become an issue in some regions where fewer Wen youth are taking up hunting.

Thoughts and Guidance


The fact that the proposed action would affect a migratory herd means a management plan is more likely to affect the other Wen Camps as well. And an additional inquiry and consultation are warranted to ensure that all Wen people are being considered in the decision-making.

Let's Say…

3
Following on the above, when TNC asks to begin a broad consultation process about the Wendbok, Wennec leaders firmly object, saying that there are political considerations TNC wouldn’t understand. They also say that a core tenet of Wen self-government is that individual communities control local land- and resource-use decisions — and this authority extends to migratory herds.

Thoughts and Guidance


This scenario introduces tension related to the principle of Respect for Self-Determination, which urges TNC to respect the Wennec’s own understanding of their authority within broader Wen society. Without any clear evidence that this understanding is problematic, TNC should probably defer to the Wennec’s process. At the same time, TNC should let the Wennec know they will be checking in with the Wenna and Wenebe authorities, since TNC owes a duty of Respect for Self-Determination to the Wen people as a whole. TNC should be prepared for difficult cases where respecting a decision from one community could undermine self-determination of anoth