3. SBIA Stage 1: Starting Conditions Study and Stakeholder Identification
3.4 SBIA Workshop Guidance
Introduction
Most aspects of SBIA, as well as overall project design, should be undertaken with the meaningful participation of a representative group of stakeholders. A workshop or series of workshops with these stakeholder representatives is central to the SBIA process described in this Manual; in the sections describing each SBIA stage, guidance is provided on the main steps to take in these workshops and in greater detail in Annex 1. As mentioned in Section 2.4, these steps are adapted from the Open Standards for the Practice of Conservation developed by the Conservation Measures Partnership (2007). This methodology may not, however, be appropriate in all circumstances as discussed in Box 9. The proposed SBIA Workshop, if conducted at the design stage, would help projects systematize and prioritize SBIA Stage 1 data collection.
Box 9. Modifying the SBIA Workshop Process to the Project Development Stage
We believe that there are great benefits to undertaking SBIA at the same time as the overall project design and with a balanced group of stakeholder participants who represent all whose rights may be affected by the project.
This Manual includes numerous references to a SBIA workshop in which stakeholders can jointly contribute to decisions about the project goals and activities and how the impacts will be measured.
We recognize, however, that not all projects may wish to precisely follow the SBIA workshop process described here. Because of distance, gender, literacy levels, or other reasons, it may be difficult for representatives of all key stakeholder groups to participate in an SBIA workshop. Similarly, we realize that some projects may already be so far advanced in their design that the SBIA process described here would seem like starting all over again.
In these cases, the proposed SBIA workshop process would need to be modified, although we strongly encourage projects to maintain the same SBIA stages. It may be necessary, for example, to hold a separate workshop in which a previously developed project theory of change is presented to stakeholders who did not participate in its development, but who want to participate in the SBIA process. This workshop could serve as an opportunity to inform stakeholders of project plans and capture additional stakeholder feedback to improve the project and SBIA design. The key aspect of any SBIA workshop is that participants understand the process and have a meaningful opportunity to contribute to the monitoring plans and project design.
Project Scope
If it has not already been done, the workshop should define the project scope – i.e., the area of influence of the project, or, in other words, the area that will be impacted by the project. It is therefore likely to include areas outside the core project area.
Project Vision Statement
The ‘vision statement’ is a short and clear statement of the social (or biodiversity) objectives of the project – this should be “relatively general, visionary, and brief” (Conservation Measures Partnership 2007). The rationale of the vision statement is that without a common understanding of what a project is trying to achieve, it will be difficult for a range of stakeholders to understand how project interventions should be chosen and consequently which conditions or variables should be measured. Some examples of vision statements from the SIA workshops undertaken in 2010 and 2011 are presented in Box 10, and further workshop guidance is provided in Annex 1 Section 5.3.
Box 10. Examples of Project Vision Statements from SIA Workshops GuateCarbon REDD Project, Guatemala:
The GuateCarbon REDD Project is an example of the sustainable management of natural resources of the Maya Forest providing economic alternatives that are ecologically and environmentally sustainable, contributing to the human and social development of the participating communities, and favoring the strengthening of local governance, all this in a framework of social, cultural and gender equity.
Piloting REDD in Zanzibar Project, Tanzania:
A Zanzibar where zero net deforestation has been achieved by 2020, and where poor men and women are fairly rewarded by their contribution to this.
It should be noted that the time needed to establish a vision statement will depend on the level of understanding the workshop participants have about the project, as well as the trust they have in the project proponents and each other. If stakeholders are convened to develop an SBIA plan for a project that they do not understand, or by project proponents that they don’t trust, they are unlikely to participate meaningfully. Project proponents should therefore consider whether sufficient understanding and trust exist and, if necessary, take steps to prepare participants before the SBIA workshop. This could involve a short prior workshop for stakeholders and project proponents to get to know each other and to share project information and perspectives.
Identification of Focal Issues
The next SBIA workshop task is to select the SBIA focal issues. In an SBIA context, ‘focal issues’ can be defined as the social and biodiversity factors or issues that are most important for the success of a land-based carbon project – for example, in the case of a REDD project, these will be the factors most associated with the forest degradation process. Since a project cannot address all potential social and biodiversity issues, it is necessary to prioritize the most important ones. Annex 1 Section 5.3 provides further guidance on how to do this, and Box 11 provides examples of focal issues from the SIA case studies.
Box 11. Examples of Focal Issues from SIA Workshops
Alto Huayabamba Conservation Concession (CCAH) REDD Project, Peru:
• Organization and governance
• Education (environmental education and awareness)
• Migration (agricultural colonization of the conservation concession)
• Agriculture (cattle ranching) GuateCarbon REDD Project, Guatemala:
• Strengthened governance
• Sustainable economic alternatives
• Gender and social equity
• Social capital (in the community organizations) Suruí REDD Project, Acre State, Brazil:
• Economic alternatives and food security (for the Suruí people)
• Socio-political organization (including institutional strengthening)
• Cultural integrity (of the Suruí people)
• Territorial protection
Focal Issue Statements
After selecting the focal issues, focal issue working groups (WGs) are formed – one for each focal issue. It is advisable that the WG spends time understanding its focal issue, possibly through a brainstorm exercise on the positive and negative aspects of the current situation, and how it affects (positively or negatively) a range of stakeholder groups. The WG should then be ready to draft its focal issue statement – this is a short (maximum 30 words) expression of the focal issue as an ideal condition which the WG would like the project to achieve or that the WG thinks the project needs to achieve in order to be successful. Box 12 presents some examples of focal issue statements from the SIA case studies.
Box 12. Focal Issue Statements from SIA Workshops
Alto Huayabamba Conservation Concession (CCAH) REDD Project, Peru:
Education focal issue: Population and users are trained, and their awareness is developed for natural resource management (in the Conservation Concession)
Migration focal issue: Occupation of the Conservation Concession area is ordered and without (land) invasions.
GuateCarbon REDD Project, Guatemala:
Organization and governance focal issue: Strengthened local existing inter-institutional structure through correct application of the law, equitable participation in the access, use, and management of natural resources, basic services for stabilizing deforestation processes, recuperating degraded areas, and giving value to the forest.
Gender- and social-equity focal issue: Equal rights of participation and decision-making with the aim that all can benefit from a process that leads to a better quality of life whatever the gender, ethnicity, age, or social class.
Suruí REDD Project, Acre State, Brazil:
Socio-political organization focal issue: Political stability is guaranteed through respecting the views of men, women, youth, and old people equitably by building confidence in collective actions, and by strengthening Suruí culture and parliamentary decision-making processes.
Culture focal issue: A strengthened culture through a participatory plan of cultural strengthening that aims to achieve a balance between traditional and modern knowledge.
The focal issue statement should indicate the main types of information required for SBIA Stage 1. For example, if a biodiversity focal issue is the adoption of a management plan for controlled grassland burning, data on the current frequency and extent of fires should be included in the starting conditions description. The focal issues are, however, unlikely to cover all the conditions that should be described in SBIA Stage 1, such as some of the general socioeconomic and ecological information.