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SIXTH NATIONAL REPORT Technical Reporting Guidance: Stakeholder Engagement G. Sriskanthan, C. Supples. M. Cadena, and M. Marigo 18 November 2018

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TABLE OF CONTENTS

Index of Tables .......................................................................................................................... 3 Index of Boxes ........................................................................................................................... 3 1. General Principles of Stakeholders Engagement .................................................................. 4 1.1 Document objectives ............................................................................................................................... 4 1.2 Stakeholder representation during national reporting ............................................................................. 5 1.3 Developing a 6NR stakeholder engagement plan ................................................................................... 8

Step 1: Outline goals and develop a stakeholder analysis ....................................................................... 8 Step 2: Develop a 6NR stakeholder engagement plan ............................................................................ 12 Step 3: Budget and financing .................................................................................................................. 13

1.4 Effectively engaging IPLCs during the development of national reports ............................................. 13 The Effective Engagement of IPLC Women ............................................................................................ 15 IPLC-related guidance under the CBD .................................................................................................. 17

2. Engaging Stakeholders Effectively Throughout the National Reporting Process............. 18 2.1 Effectively organizing stakeholders ...................................................................................................... 18

Step 1: Effectively organizing stakeholders ............................................................................................ 20 Step 2: Identify and organize stakeholders for each ABT ...................................................................... 21 Step 3: Build the capacity of the project team ........................................................................................ 25

2.2 Engaging stakeholders to assess progress towards each ABT or national target .................................. 27 Step 1: Engage your stakeholders .......................................................................................................... 27 Step 2: Reporting on IPLCs contributions.............................................................................................. 29 Step 3: Developing final reports for each ABT or national target ......................................................... 30

2.3 Engaging stakeholders in 6NR Project Component 3: Report Production and Submission ................. 31 Step 1: Finalizing the report ................................................................................................................... 31 Step 2: Utilizing the 6NR results ............................................................................................................ 32

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Index of Tables Table 1. Example: stakeholder groups to consult during the national reporting process ....................... 7 Table 2. Example: Stakeholder analysis for national reporting ................................................................... 9 Table 3. Possible budget items related to 6NR stakeholder engagement activities ............................... 13 Table 4. Summary of main IPLC related CBD guidance ........................................................................... 17 Table 5. Example: conservation measures and indicators that can be reported by ABT ..................... 19 Table 6. Key questions to guide formation of stakeholder engagement opportunities ......................... 20 Table 7. Example; Analysis of stakeholder groups against the ABTs ...................................................... 23 Table 8. Example: Organizing stakeholder groups against multiple ABTs ............................................. 24 Table 9. Checklist: Stakeholder Engagement (Different Phases of the 6NR National Project) .......... 33

Index of Boxes Box 1. The Unique Status of Indigenous Peoples and Local Communities under the CBD ............... 14 Box 2. Resources that build capacity to effectively engage IPLCs ........................................................... 16 Box 3. Stakeholders Engagement Goals: Organizing Stakeholders ......................................................... 18 Box 4. Capacity-building resources ............................................................................................................... 25 Box 5. Engaging stakeholders in the 6NR steering committee and inception workshop ................. 26 Box 6. Stakeholder Engagement Goals: Assessing Progress to Achieve the ABT ................................ 27 Box 7. Meeting Preparation and Facilitation ............................................................................................... 28 Box 8. Resources to support 6NR development ........................................................................................ 30 Box 9. Stakeholders Engagement: Finalizing the Report ........................................................................... 31

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1. General Principles of Stakeholders Engagement 1.1 Document objectives At the tenth Conference of Parties (COP), in Decision X/2, Parties to the Convention on Biological Diversity (CBD) formalized their commitment to implementing the Strategic Plan for Biodiversity 2011-2020. This decision recommends that Parties enable the full and effective participation of women, indigenous and local communities, civil-society organizations, and the private sector during implementation of the CBD1. It also encourages Parties to engage stakeholders to establish national biodiversity targets that support the achievement of the Strategic Plan and the Aichi Biodiversity Targets (ABT), and in the development and implementation of measures to achieve them.

Parties are required by Article 26 of the Convention to submit periodic national reports to the COP on the measures they are taking to implement it, and the effectiveness of those measures in meeting the CBD’s objectives. At the thirteenth COP, Parties adopted the Sixth National Report (6NR) guidelines and reporting templates (Decision XIII/27 En - Sp - Fr). While preparing their 6NR, the same COP decision invites Parties to facilitate, as appropriate, the full and effective participation of indigenous peoples, local communities and relevant stakeholders, including focal points for other biodiversity-related conventions. Ensuring effective stakeholder engagement is therefore a critical component of the 6NR process. The objectives of this document are to provide technical guidance on:

1. How to effectively engage stakeholders throughout the 6NR process; and 2. How to ensure that stakeholder knowledge is incorporated during the 6NR development process

and related follow-up measures.

1 COP 10 Decision X/2, Annex, Para. 16. (Eng-Sp-Fr)

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1.2 Stakeholder representation during national reporting

The CBD defines stakeholders as people, groups, institutions, or organizations with an interest in or influence on biodiversity

It is important to ensure stakeholder ownership of the 6NR development process, its’ findings, and subsequent measures that are proposed as a result of the report. Stakeholders can also help confirm that the 6NR is based on the most up-to-date and accurate information. To help ensure that the 6NR is comprehensive, and to create stakeholder ownership over its’ conclusions, Parties should engage stakeholders that are representative of national circumstances and gender. Each country’s list will be different but comprehensive. Relevant stakeholders will generally include representatives of ministries; research and academic bodies; business and industry; indigenous peoples and local communities (IPLC) organizations; bodies representing the agricultural, forestry, fishing, or other sectors; environmental management bodies; non-governmental organizations; women’s organizations; agencies addressing sustainable development and poverty eradication; educators; and the media. See Table 1 for more detailed examples of the types of stakeholders, by group, that could be consulted during the development of a national report. Common stakeholder groupings include: 1. Representatives of government bodies, including CBD focal points for government

ministries that oversee the implementation of biodiversity-related environmental and development policies (e.g., forestry, agriculture, environment). Government representatives from sectors that directly impact or intersect with biodiversity should also be involved, as they can contribute important information on activities that directly intersect with biodiversity interests.

2. Representatives of indigenous peoples and local communities2 (IPLCs), including the

women in these communities. IPLCs play a vital role in the conservation and sustainable use of biodiversity. IPLCs often serve as direct land, water, and resource stewards and managers, and can be key partners during the implementation of measures to achieve biodiversity targets. Their unique, and often under-valued, biodiversity knowledge is based on traditional resource use.

3. Civil Society Organizations (CSO), including three types3:

x Non-governmental organizations (NGOs) that implement measures to conserve and manage biodiversity at the local, regional or national level. NGOs are aware of the challenges, but also innovative solutions, for tackling threats to biodiversity. NGOs are usually well informed about the specific elements of biodiversity they focus on (e.g. flora, fauna, region, value), and may have quantitative and qualitative data that is beneficial to national reporting. NGOs may also work in remote areas and be able to directly verify data for national reports.

x People’s organizations (POs) that represent, advocate for, and work on behalf of the interests of distinct constituencies or communities, such as small farmers and artisanal fisherfolk. Due to

2 Section 1.4 provides detailed guidance on how to effectively engage IPLCs. 3 Adapted from: McKeon, N and Kalafatic, C. (2009). Strengthening Dialogue: UN Experience with Small Farmer Organizations and Indigenous Peoples. UN Non-Governmental Liaison Service (NGLS). (Eng – Es – Fr)

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their knowledge of local community activities, PO’s often have quantitative and qualitative data on biodiversity outcomes. For example, fishing groups can often provide data on local dependence on aquatic species for financial and nutritional needs, and related trends in aquatic species use and management. POs exist in a variety of forms and levels. Common types include: o Community-based organizations (CBOs) that represent grassroots populations and directly

address their immediate concerns, including some cooperative groups and social enterprises. Examples include water-users’ groups and rural women’s credit associations.

o People’s organization platforms and networks that are built up by marginalized sectors of the population to defend their members’ interests in policy discussions at national, regional and global levels. Examples include platforms of small farmers, herders, and fisherfolk.

x People’s movements, which include people’s organizations and groups of people that are formed

to defend their social, political and cultural identities and rights. Examples include landless farmers’ movements and rural women’s rights movements. These groups may implement activities related to biodiversity strategies and hold data related to natural resource use, land use patterns, and land tenure rights.

4. Academia, Research Institutions and Other Specialist Groups, including research

organizations that hold data on biodiversity. Universities, non-profit research agencies, and specialist institutions often hold data on specific biomes or species. These entities may also conduct assessments, evaluate trends, and build scenarios that can help inform the development of short-term biodiversity conservation and long-term conservation and development policies.

5. Private Sector and Industry, including from the agri-business, mining and extractive industries,

and forestry and fisheries sectors, which may hold data on habitat change, species decline, and the loss of ecosystem services. Depending on the country, there may be other industries that impact biodiversity health. These industries often hold monitoring data on environmental variables and management effectiveness, which they track to improve productivity and profit margins. Involving private sector stakeholders in measures to achieve national biodiversity targets may also lead to shifts in industry standards and business practices that result in improved biodiversity outcomes.

For additional information on why stakeholders are important to national biodiversity planning and reporting processes, and on how to identify relevant stakeholders, refer to sections 1 and 2 of the CBD training module B-5, “Ensuring Inclusive Societal Engagement in the Development, Implementation and Updating of NBSAPs.” Access the module here: English, French, and Spanish.

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Table 1. Example: stakeholder groups to consult during the national reporting process

This table provides an example of the types of stakeholders that could be consulted during the development of a national report. This list is not exhaustive and should be tailored to meet the context of your country. Government bodies Relevant ministries/departments: Environment, Natural Resources, Agriculture and Agricultural extension agencies, Fisheries, Forestry, Parks and Public Lands, Spatial Planning, Tourism, and Water Resources Other agencies/focal points: Education; Energy; Finance; Health and Public Health; Housing, Trade and Commerce; Information and Communication; Labor; Mineral Resources; Manufacturing; Science and Technology; Transport; Women’s Affairs and Gender Issues Agency responsible for managing indigenous peoples’ issues National focal points for Multilateral Environmental Agreements, such as:

x Cartagena Protocol on Biosafety x Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits

Arising from Their Utilization x Rio Conventions x Other biodiversity-related conventions and other relevant international and regional processes

National focal points for international sustainable development agreements: x National development goals x 2030 Agenda for Sustainable Development and the Sustainable Development Goals

Regional and local government agencies Legislature and judiciary responsible for implementing biodiversity related laws/policies, such as: Civil courts, congressional bodies, criminal courts, judges, magistrates, member of parliament, parliaments, police, roll of advocates, and senates IPLCs/Civil Society Groups/ NGOs/Bi- and Multi-laterals: Bilateral aid groups, farmer or fisherfolk associations, human rights groups, indigenous peoples’ authorities and representatives, international and national conservation NGOs, minority and local community associations and organizations, national NGOs working in the area of gender, development and/or environment, women’s groups, UN agencies focused on IPLCs and gender, organizations addressing sustainable development and poverty eradication and the World Bank Academia, Research Institutions and Other Specialist Groups: Public and private agricultural research bodies, colleges, polytechnics and universities or training establishments, taxonomists, national museums, zoological /botanical gardens, herbaria, arboreta, germplasm and seed bank managers, plant and animal breeding bodies, forest associations, wild life protection services Private Sector/Industry: Oil industry, agri-business associations, pharmaceuticals, financial institutions, telecommunication companies, food and beverage companies, extractive/mining companies, agro-biotechnology industry associations

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1.3 Developing a 6NR stakeholder engagement plan There are several key steps to developing a stakeholder engagement strategy for a 6NR project. Step one is to identify your stakeholder engagement goals and conduct a stakeholder analysis. This exercise will help you to determine the interests, influence, and desired level of engagement of the different stakeholder groups you might consult with during the national reporting process. Step two involves developing a stakeholder engagement plan, including the number and types of stakeholder consultations you will undertake. The data that you need to develop the report is likely held by a diverse array of stakeholders. Step three is to develop a budget and financing plan for the expenses associated with each stakeholder engagement activity that you plan to undertake. Step 1: Outline goals and develop a stakeholder analysis The first step to developing a 6NR stakeholder engagement plan is to outline your stakeholder engagement goals for the 6NR project and conduct a stakeholder analysis. The actual interests, influence, engagement of different stakeholder groups may vary depending on the context of your country. Be sure to review any existing stakeholder analyses developed during the post-2010 NBSAP revision process. Table 2 provides an example of how 6NR stakeholder analysis could look. During the development of their post-2020 NBSAPs, many countries conducted stakeholder-mapping exercises for biodiversity issues. During the transition from national biodiversity planning to implementation, and during the development of related reports, Parties may want to re-engage their NBSAP working groups. When new issues emerge, additional stakeholders should also be invited to participate in the process. Consider linking your stakeholders to long-term biodiversity targets, strategies and actions, and using them as a basis for future NBSAP planning and implementation. It is important to convene biodiversity experts that can use their expert judgment to assess progress towards the ABTs. Experts can contribute valuable local and contextual knowledge from different sectors, and can help clarify complex relationships between actions taken and changes in biodiversity status and trends. Experts may be knowledgeable in specific subject areas, such as individual species or habitats. They may also have more general knowledge of the country’s natural history and resource management, or policies concerning biodiversity management. Experts may also want to include IPLC members that have extensive local environmental knowledge and that are engaged in matters of direct relevance to the implementation of the Convention. When gaps or discrepancies in expert knowledge exist, you can supplement this approach with stakeholder or public consultations.4 However, expert advice also has a degree of subjectivity and this should be recognized and acknowledged. Different experts may also have different levels of knowledge in different fields, and this should be taken into account. When relying on expert opinion, it is important to draw on a diversity of experts in your country. Ideally, experts should have extensive knowledge in their field, as well as practical experience implementing conservation actions in the country. Expert opinion can be particularly useful where data limitations make it difficult to quantify indicators.

4 CBD (2017). Resource Manual for the 6NR. CBD. (Eng-Sp-Fr)

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Table 2. Example: Stakeholder analysis for national reporting

Type of Stakeholder Stakeholder Relevance/Knowledge

useful to 6NR Level of engagement

in 6NR based on stakeholder analysis Special needs

Government Department of

Environment

x Lead implementer of NBSAP x Instrumental in leading 6NR process x Have biodiversity and ecosystem data

x Chair of 6NR SC x Facilitator of entire 6NR process x Member of all ABT Stakeholder Working

Groups (SWG)

Government Department of Agriculture

x ·Oversees activities that have a direct impact on biodiversity (e.g. water quality, forest clearance)

x Direct stake in agricultural biodiversity issues x Partner in NBSAP implementation and initiatives to

mainstream biodiversity into other government departments x Have agricultural and land management data

x Invite to be member of 6NR SC x Involve in national consultations x Invite to join ABT SWG x Involve in national consultations

Government Department of Forestry

x Manage all plantation and natural forests outside PAs x Regulates private forestry industry and illegal deforestation x Partner in implementation of targets and initiative to

integrate biodiversity into other government departments x Have data on managed forests

x Invite to be member of 6NR SC x Involve in national consultations x Invite to join ABT SWG x Involve in national consultations

Government Department of Finance

x Oversees national budget for NBSAP implementation x Partner in protected area financing initiative x Partner in initiative to mainstream biodiversity into other

government departments x Have data on protected area financing status and success

x Invite to join ABT SWG x Involve in national consultations

Government Department of Defense

x Owns land on 3 biodiversity hotspots and a protected area x Partners with Dept. of Environment to implement

biodiversity management in these areas

x Invite to join ABT SWG x Involve in national consultations

Government National Board of Judges

x Adjudicates cases related to wildlife & environmental crimes x Involved in implementing policy incentives/disincentives x Partner in initiative to integrate biodiversity into other

government departments x Have data for areas under their land management

x Invite to be member of ABT SWG identified in stakeholder analysis

x Involve in national consultations

Pre-meeting to re-introduce biodiversity targets, current relevance to legal system, and reporting process.

Indigenous peoples

National Network of

x 40% of forested land, 20% of coral reef areas, 70% of x Invite to be member of 6NR SC Pre-meetings to introduce the 6NR

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Indigenous Authorities

biodiversity hotspots occur on customary indigenous land x Dependent on biodiversity for livelihoods x Currently partner with M. of Environment to implement

biodiversity management plans in these areas x Have strong interest in promotion of traditional knowledge

& strengthening rights on customary land x Have data on traditional land use and management

x Consult on 6NR SC decisions via any existing advisory groups for ABT/NBSAP implementation

x Invite to join ABT SWG x Involve in national consultations x Partner to co-design and co-facilitate any

sub-regional IPLC consultations

project and discuss expectations around engagement. Ensure indigenous women representatives are also selected and included.

Local communities/ civil society

Landless Small-Farmer

Network

x Farm in marginal land adjacent to biodiversity hotspots and protected areas, potentially impacting biodiversity

x Have interest in clarifying user rights, avoiding conflict with biodiversity authorities, and enhancing small-scale farming productivity/livelihoods/security

x Have data on land use and management via members with local knowledge of issues impacting biodiversity

x Consult on 6NR SC decisions via any existing advisory groups for ABT/NBSAP implementation

x Invite to join ABT SWG x Involve in national consultations x Collaborate to co-design/co-facilitate

sub-regional consultations with small-scale farming communities

Pre-meetings to introduce the 6NR project and discuss expectations around engagement. Ensure women representatives are selected/included.

Local communities; civil society

National Network on

Rural Women's

Issues

x Farm and/or live in marginal land adjacent to biodiversity hotspots and protected areas

x Activities potentially impacting biodiversity x Dependent on biodiversity for livelihoods x Have interest in clarifying user rights, avoiding conflict with

biodiversity authorities x Have data on land use and management by women farmers

via members of the community with local knowledge of issues impacting biodiversity

x Consult on 6NR SC decisions via any existing advisory groups for ABT/NBSAP implementation

x Invite to join ABT SWG x Involve in national consultations x Partner and collaborate to co-design any

sub-regional consultations with small-scale farming and rural communities to include rural women

Pre-meetings to introduce the 6NR project and discuss expectations around engagement.

Civil society/ NGOs

National Network of

Conservation Groups

x Partner and provide technical support in the implementation of biodiversity targets

x Have members with knowledge of on-the-ground issues impacting biodiversity

x Consult on 6NR SC decisions via any existing advisory groups for ABT/NBSAP implementation

x Involve in national consultations x Invite to join ABT SWG x Help plan sub-regional consultations

Pre-meetings to introduce the 6NR project and discuss expectations around engagement. Include women representatives.

Civil society/ NGOs

International Conservation

NGO Network

x Partners in implementation of biodiversity targets x Provide co-financing and technical support for the

implementation of targets x Have data on biodiversity and ecosystems

x Invite to be member of SC advisory group as a critical stakeholder

x Involve in national consultations x Invite to join ABT SWG

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Government Local Government in south-west & north-west

x Involved in governance of biodiversity areas of interest and support NBSAP implementation

x Work with local indigenous, rural & ethnic minority groups x Have local-level data on land use and management

x Involve in sub-regional consultations

Indigenous peoples

Indigenous tribal

authorities & communities in south-west

of country

x Directly depend on and manage biodiversity in areas with protected areas and biodiversity hotspots

x Have strong interest in promotion of traditional knowledge & strengthening rights on customary land

x Have long-term traditional knowledge of biodiversity and ecosystems and knowledge of issues impacting biodiversity

x Involve in sub-regional consultations Pre-meetings to introduce the 6NR project and discuss expectations around engagement. Include women representatives.

Civil society Ethnic Minority

Representative Body

x Large ethnic minority group in north-west of country bordering on two protected areas

x Strong interest in clarifying user rights of marginal farmland x Involved in protected area buffer zone activities x Have members with knowledge of on-the-ground issues

impacting biodiversity

x Invite to join ABT SWG x Involve national representatives in

consultations x Partner and collaborate to co-design any

sub-regional consultations involving local ethnic minority communities

Pre-meetings to introduce the 6NR project and discuss expectations around engagement. Include women representatives.

Multilateral UNDP Country Office

x Supporting implementation of biodiversity targets and reporting process, and supporting implementation of multi-lateral environment agreements

x Helping to facilitate dialogues between government and indigenous peoples and ethnic minorities

x Consult on 6NR SC decisions via any existing advisory groups for ABT/NBSAP implementation

x Invite to join ABT SWG x Involve in national consultations x Partner and collaborate to co-design and

co-facilitate any sub-regional consultations with indigenous peoples and ethnic minorities

Private sector Palm Oil Industry

Roundtable

x Impact biodiversity rich areas, particularly forests x Implementing industry standards on forest protection x Considering contributing financially towards restoring forest

ecosystems previously under cultivation x Have data on land management in cultivated areas

x Invite to join ABT SWG x Involve in national consultations

Private sector National Ecotourism

Network

x Directly dependent on protected area networks x Implementing biodiversity target in 3 large protected areas x Voluntary tax levied by this industry on tourists goes to

financing for these three protected areas x Have information on tourism-related land use and revenue

history/potential from tourism

x Invite to join ABT SWG x Involve in national consultations x Involve in sub-regional consultations in

areas where they are active

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Step 2: Develop a 6NR stakeholder engagement plan The number and types of stakeholder consultations you undertake will depend on the context in your country. The 6NR SC should agree on the stakeholder engagement process in advance. Ensure that stakeholder engagement activities are consistent with the CBD decisions, and other international and national laws and policies, related to the inclusion and rights of IPLCs and women. This information will help guide development of your stakeholder engagement plan. Steps include: x Develop a timeline for the stakeholder engagement that aligns with the 6NR timeline. x Determine how you will engage stakeholders during these steps in 6NR development:

o Pre-consultations to provide extra capacity support o Consultations to obtain information on a the ABTs and national targets o Consultations at the national and sub-national level o Peer and technical review processes o Dissemination of final 6NR report and findings o Follow up activities, including further planning, design and implementation of NBSAP

targets, strategies and actions based on the 6NR outputs

x Identify any existing multi-stakeholder groups involved in NBSAP implementation that should be consulted. Determine their role, responsibilities, objectives, membership and frequency of meetings. Outline the types of decisions and advice that these groups will be expected to provide advice. Examples include:

o Advise on indicators and information needs o Assist in compiling the most up-to-date, accurate information for targets o Advise on gaps in stakeholder inclusion o Assist in informing stakeholders about target-level findings during consultations o Feedback and guidance on the stakeholder engagement steps for the 6NR process o Review 6NR drafts for data gaps and advise on sources to help address them

x Determine the communication tools that will be used to engage stakeholders throughout the 6NR process, such as face-to-face meetings, email/phone updates, and public announcements.

x Outline next steps for engaging stakeholders in the 6NR follow-up measures. x Determine the process for using 6NR findings to support future NBSAP planning and

implementation. x Develop presentation templates that can be tailored to explain the 6NR process and goals. At

the meeting, each stakeholder can then explain why their involvement is important, and what his/her perceived contributions will be.

x Develop a database with basic stakeholder contact information.

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Step 3: Budget and financing There are expenses associated with each stakeholder engagement activity. Therefore, it is important to develop a budget that estimates the costs of the project’s stakeholder engagement activities, and to provide a financing plan to show how these costs will be covered. It is important to determine if the 6NR project funds will cover all costs, or if extra co-financing will be needed. Table 3 lists some costs related to common stakeholder engagement activities. Actual expenses will vary by country.

Table 3. Possible budget items related to 6NR stakeholder engagement activities

Possible 6NR activities/outputs Possible budget items Meetings, consultations and workshops: x Steering Committee Meetings x ABT Stakeholder Working Group meetings x Pre-meetings to build capacity of stakeholders who

need support to participate effectively x Inception workshop x National consultation workshop x Sub-national consultation workshops x Follow up consultations and workshops to verify

data and/or revise 6NR

Meetings, consultations and workshops: x Hiring of venue space + food/water x Transport and per-diem for non-local

participants x Hiring of meeting facilitators x Language interpretation during the meeting

(when local/ indigenous/ minority language provisions are necessary)

x Travel for core staff to sub-regional consultations

Communications materials: x Capacity building materials and information

documents for consultations and workshops x Final 6NR report in printed form and translated

into local languages x Short video/radio reports on 6NR findings

Communications materials: x Printing and translation x Dissemination/postage costs x Video/radio production

1.4 Effectively engaging IPLCs during the development of national reports Indigenous peoples, local communities, and ethnic, religious and linguistic minority groups may live in or near areas with high biodiversity. Their livelihoods often depend on ecosystem services. They may also be important managers of biodiversity. These stakeholder groups often have valuable data and knowledge to contribute to the national reporting process. Sufficient attention should be paid to these stakeholder groups during the consultation process. Box 1 describes how the CBD recognizes the special status of these groups in biodiversity management.

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Box 1. The Unique Status of Indigenous Peoples and Local Communities under the CBD

The CBD recognizes the unique status of IPLCs in issues pertaining to the conservation, sustainable use, and equitable sharing of benefits arising out of the use of biodiversity. This perspective is enshrined in the Convention’s preamble and the key provisions. Article 8(j) outlines the commitment of Parties to respect, preserve and maintain the knowledge, innovations, and practices of the indigenous and local communities that are relevant to biodiversity conservation, as well as its wide application with the approval of knowledge holders. It also encourages the equitable sharing of benefits arising from biodiversity use. IPLCs often depend on biodiversity for their livelihoods and cultural integrity; therefore, they often have important knowledge on how to sustainably use biodiversity. IPLCs often have pre-existing customary and statutory rights of biodiversity access and use. As such, indigenous and local communities’ “stake” or “interest” in biodiversity issues should be considered as a right. The CBD also adheres to the UN Declaration on the Rights of Indigenous Peoples (Decision IX/13 Eng-Sp-Fr). It highlights the importance of indigenous peoples’ participation in decision-making on the full spectrum of matters that affect their lives, as a basis for the fulfillment of the full range of human rights. This includes the right to lands, territories and resources, and the right to free, prior and informed consent. These steps will help ensure the full and effective engagement of IPLCs during the 6NR process:

1. Allow IPLC’s to self-select their representation: Ensure that IPLC representatives are self-selected by their community for consultations and inclusion on consultative bodies, using the community’s own internal procedures for identifying representatives. Where possible, use existing advocacy bodies or networks that represent these groups.

2. Identify the most relevant IPLC groups: If your country is large, or contains a large network of

IPLC groups, you may need to identify a representative subset of IPLCs to participate in the consultations. In these cases, you will need to determine which IPLCs are the most relevant to the 6NR project. Consider the need for geographical representation, gender, and local actions. Try to be as inclusive as possible, while keeping language and accessibility constraints in mind.

3. Use of appropriate languages and formats: IPLCs may speak a minority language that differs from

the language that the report is being developed in. Ensure that materials are translated into local languages or explained verbally. In-person consultations should include interpretation.

4. Provide extra capacity-building support: IPLCs may not have the capacity to participate equally

with other stakeholders. Before holding a meeting, determine any extra capacity needs that IPLC participants may have. Holding separate meetings with IPLC groups in advance of meetings with other stakeholders to introduce the project concepts and clarify the scope of what is being discussed. You can also hold separate consultations with groups that require more support.

5. Geographically focused consultations: For communities that are geographically distinct and/or

remote, but still critical from a biodiversity perspective, consider holding sub-regional consultations that are developed in partnership with leaders from these communities.

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The Effective Engagement of IPLC Women Including IPLC women, as well as and men, in the national reporting processes will results in better outcomes for biodiversity and more accurate data collection. IPLC women and men play important roles in biodiversity management, use, and conservation. Yet, they often have different tasks and responsibilities. Consequently, they have different but equally important needs, priorities, and knowledge about crops, plants, fisheries, forestry, hunting and animals. However, patterns of gender discrimination often pose a barrier to women’s equal participation in discussions and decision-making related to biodiversity management. Even within their own communities, IPLC women may be marginalized in decision-making processes and governance structures. You can take several steps to help overcome these challenges5:

1. Include IPLC women representatives in multi-stakeholder groups that support your reporting process.

2. Involve and consult women representatives from target communities when designing and conducting consultation activities.

3. Promote a gender balance within groups and at workshops, and review invitee lists to ensure that there I a balanced representation of women.

If consultations are being held in a community where women are customarily not included in decision-making processes, consider holding women-only sub-groups. In this environment, women are likely to:

x Participate more frequently; x Receive equal time to share their biodiversity knowledge and customary uses; and x Feel more confidence in the meeting outcomes and follow-up activities.

5 Adapted from: UN-REDD (2013). Guidance Note on Gender Sensitive REDD+. UN-REDD Programme. (Eng only)

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Box 2. Resources that build capacity to effectively engage IPLCs

CBD Training Module B-5: Ensuring Inclusive Societal Engagement in the Development,

Implementation and Updating of NBSAPs (2012) (Eng-Sp-Fr)

x CBD Training Module B-9: Mainstreaming Gender Considerations in the Development and Implementation of National Biodiversity Strategies and Action Plans (Eng-Sp-Fr)

x COP 12 Decision XII/7. Mainstreaming gender considerations and 2015-2020 Gender Plan of Action (Eng-Sp-Fr)

x UN Office of the High Commission on Human Rights (OHCHR) Fact Sheet No. 9/Rev 2: Indigenous Peoples and the United Nations Human Rights System (Eng-Sp-Fr): overview of the UN human rights system and the rights of indigenous peoples, Including an overview of relevant international human rights bodies, legal instruments and mechanisms.

x OHCHR Fact Sheet No. 18/Rev 1: Minority Rights (Eng-Sp-Fr): overview of laws, UN procedures and activities minority protection, including non-discrimination clauses and the special rights contained in international human rights instruments, and the role of non-governmental organizations in protecting and promoting minority rights

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IPLC-related guidance under the CBD The CBD recognizes the unique status of IPLCs on issues pertaining to the conservation, sustainable use, and equitable sharing of benefits arising out of the use of biodiversity. Table 4 summarizes the main IPLC-related CBD guidance.

Table 4. Summary of main IPLC related CBD guidance

Guidance Related COP

Decision

Summary

The Tkarihwaié:ri Code of Ethical Conduct to Ensure Respect for the Cultural and Intellectual Heritage of Indigenous and Local Communities (Eng - Sp - Fr)

COP 10 Decision

X/42

Provides guidelines on how countries can: x Interact with indigenous and local communities

to develop local, national, or regional codes of ethical conduct, with the aim of promoting the respect, preservation and maintenance of traditional knowledge, innovations and practices relevant for the conservation and sustainable use of biodiversity.

Akwé: Kon Voluntary Guidelines for the Conduct of Cultural, Environmental and Social Impact Assessment regarding Developments Proposed to Take Place on, or which are Likely to Impact on, Sacred Sites and on Lands and Waters Traditionally Occupied or Used by Indigenous and Local Communities (Eng -Sp - Fr)

COP 7 Decision VII/16

Provides guidelines on how countries can: x How to incorporate cultural, environmental

(including biodiversity-related), and social considerations of indigenous and local communities into new or existing impact-assessment procedures, to ensure appropriate development; and

x How to support the full and effective participation of indigenous and local communities in screening, scoping and development planning exercises, taking into account their traditional knowledge, innovations and practices.

Mo’otz Kuxtal Voluntary Guidelines (Eng -Sp - Fr)

COP 13 Decision XIII/18

Provides guidelines on how countries can: x Develop mechanisms, legislation or other

appropriate initiatives to ensure the “prior and informed consent”, “free, prior and informed consent” or “approval and involvement”, depending on national circumstances, of indigenous peoples and local communities for accessing their knowledge, innovations and practices;

x Develop approaches and mechanisms for the fair and equitable sharing of benefits arising from the use of IPLC knowledge, innovations and practices relevant for the conservation and sustainable use of biological diversity; and

x Outline how to deal with compliance to the above through approaches for reporting and preventing unlawful appropriation of traditional knowledge

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2. Engaging Stakeholders Effectively Throughout the National Reporting Process 2.1 Effectively organizing stakeholders During the 6NR development process, parties are requested to assess each ABT or national target equivalent using a stakeholder consultation process. Stakeholders should also be invited to participate in a technical review of the draft report. These steps will help Parties to ensure the report is comprehensive and that stakeholders are involved in its development. This section of the document describes how to effectively engage stakeholders through the report process. The steps include organizing your stakeholder groups, forming a 6NR Steering Committee, hosting an inception workshop, identifying stakeholders to help report on each ABT, and building the capacity of the project team. Table 5 provides an example of the types of conservation measures and indicators6 that stakeholders can help you report at the ABT level. This is not an exhaustive list and Parties should determine which indicators and measures are most appropriate in their own country. Box 3 lists some stakeholder engagement goals during this stage in the process.

Box 3. Stakeholders Engagement Goals: Organizing Stakeholders

o Conduct a stakeholder analysis to identify:

x How to involve different stakeholders in the reporting cycle x What kind of information each stakeholder can contribute x What contribution is expected from each stakeholder x Which stakeholders should be consulted for different ABTs

o Include major stakeholders in the 6NR Steering Committee (SC). o Ensure the 6NR SC involves existing stakeholder working groups throughout the process. o Confirm the list of stakeholders to engage, and pathways and funding streams to engage them. o Define a process for the full and effective participation of stakeholders during the national

reporting process. o Build the capacity of the 6NR SC to effectively include stakeholders in the national report

process by sharing online modules, webinars, and technical guidance on stakeholder engagement and gender inclusion.

The analysis you undertake, the rationale for it, and final organization of the 6NR Steering Committee and ABT Stakeholder Working Groups should be clearly documented and shared with all participants in an appropriate format before the first project meeting. This information should also be included in the 6NR. The ABT Stakeholder Working Group configuration may change over the course of the reporting period in response to emerging needs. This framework should remain flexible and adaptive.

6 UNDP, UN Environment and the CBD Secretariat have prepared detailed technical guidance on potential indicators to track for each ABT. Access it here: http://nbsapforum.net/forums/sixth-national-report-6nr-cbd.

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Table 5. Example: conservation measures and indicators7 that can be reported by ABT

ABT Indicators/measures ABT 2: Biodiversity values integrated

x To what extent have biodiversity considerations been integrated into development and poverty reduction strategies, planning processes and national reporting and accounting systems that may be overseen by different government stakeholders?

ABT 3: Incentives reformed

x To what extent have harmful subsidies that are harmful for biodiversity been eliminated, phased-out or reformed?

x What incentives are in place to ensure the recognition and support for IPLCS that conserve territories and areas through effective community conservation initiatives?

x To what extent are positive incentive measures being implemented? ABT 4: Sustainable production & consumption

x What rights-based management systems are in place to sustainably manage resources? x To what extend do indigenous peoples and local communities retain rights to

sustainably manage wildlife (COP decision XIII/8 (Eng-Sp-Fr))? x To what extent are the principles of sustainable tourism mainstreamed across sectors

(COP decision XIII/3 (Eng-Sp-Fr))? ABT 11: Protected areas

x What is the current extent of terrestrial and marine protected areas (overall, by ecoregion, by habitat type, etc.)?

x To what extent are IPLCS involved in protected areas management? x What support or processes have been established to support IPLCs in documenting,

mapping, or registering community conservation areas and developing, implementing or monitoring community conservation plans?

x Which stakeholders are involved in the management of country’s protected areas? ABT 14: Ecosystem services

x Which ecosystems are particularly important for the wellbeing of women, indigenous peoples and local communities, and the poor and vulnerable?

x How are the needs, of women, indigenous people and local communities and the poor and vulnerable being taken into account in ecosystem management?

ABT 15: Ecosystem restoration and resilience

• How are social, economic, and environmental objectives being accounted for in ecosystem restoration activities?

• To what extent has the contribution of ecosystems to human wellbeing being accounted for in your country and have you mapped those values?

• What is the condition of important ecosystems in your country? ABT 18: Traditional knowledge and customary sustainable use

• What measures exist to protect and promote the knowledge, innovations, practices and customary use of biological resources by IPLCs?

• To what extent are IPLCs participating in the implementation of NBSAPs/ the CBD? • Are systems in place for granting prior informed consent from IPLCs regarding

access to their knowledge, innovations and practices? • Are measures in place at the national level to recognize and encourage the rights to

customary sustainable use of biodiversity? • Trends of linguistic diversity and numbers of speakers of indigenous languages (COP

decisions VII/30 (Eng-Sp-Fr) and VIII/15 (Eng only)). • Trends in land-use change and land tenure in the traditional territories of IPLCs

(COP decision X.43 (Eng-Es-Fr)).

7 UNDP, UN Environment and the CBD Secretariat have prepared detailed technical guidance on potential indicators to track for each ABT. Access it here: http://nbsapforum.net/forums/sixth-national-report-6nr-cbd.

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Step 1: Effectively organizing stakeholders Let the overview you developed of how stakeholders will be engaged in the 6NR process guide you to effectively organize your stakeholders. First, engage the CBD national focal points and the national authority that is responsible for NBSAPs and national reports. Work with them to determine how to structure your stakeholder consultations. Consider which stakeholders will play a greater role in developing of the 6NR, and how government ministries, research agencies, IPLC’s, and NGOs will be requested to participate. Table 5 lists guiding questions to help guide your team design the 6NR Steering Committee, the ABT Stakeholder Working Group, and individual stakeholder consultations. Table 6 lists examples of the types of conservation measures and indicators8 that stakeholders can help you to report at the ABT level.

Table 6. Key questions to guide formation of stakeholder engagement opportunities

Type of Stakeholder Group

Question to Consider

The 6NR Steering Committee

x Which stakeholders should be included? x Is there an existing NBSAP multi-stakeholder group?

ABT Stakeholder Working Groups

x Can you convene a different group of stakeholders to oversee each ABT report? x Should you form fewer groups of stakeholders that oversee the development of

more than one ABT report? x Is it more effective to have one group of stakeholders develops all of the ABT-

level reports? Consultations with individual stakeholders

x How many individual consultations are needed? x What types of stakeholders should be included? x Should the consultations be held at the national, regional or local level?

8 UNDP, UN Environment and the CBD Secretariat have prepared detailed technical guidance on potential indicators to track for each ABT. Access it here: http://nbsapforum.net/forums/sixth-national-report-6nr-cbd.

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Step 2: Identify and organize stakeholders for each ABT One of the central challenges of stakeholder engagement is determining how to most effectively organize stakeholder groups to obtain their inputs throughout the reporting process. There is no single “right” way of doing this. Each Party should develop an approach that suits its national circumstances and needs, and that will, if possible, also support the implementation of future NBSAP measures. Parties will need to decide how to best to organize stakeholders to provide input into the different ABTs. Counties will likely choose to convene stakeholders in one of three ways:

1. Different group of stakeholders to oversee each ABT report; 2. Fewer groups of stakeholders that oversee the development of multiple ABT reports; or 3. One group of stakeholders that oversees all of the ABT-level reports.

The most appropriate approach or combination of approaches will vary among countries. Using one approach does not preclude the use of another. In fact, in their Fifth National Report, most Parties used a combination of approaches. This document presents some options on how to resolve this question, but there is no single, “right” way of doing this. Table 7 provides an example of how a stakeholder engagement approach could be organized. By reviewing the interests and knowledge of each stakeholder against each ABT, it is possible to assess which ABTs are most relevant to each stakeholder. Stakeholders working groups can help you to collect data and draft the ABT reports. Form these groups based on stakeholder interests, expertise, and ability to provide qualitative and quantitative data on relevant targets. Different stakeholders will help you collect high quality information on different ABTs. For instance, assessing progress to achieve ABT 18 (Traditional Knowledge) will require the input of IPLC representatives, academic experts on traditional knowledge, experts related to women’s traditional knowledge and use of biodiversity, and NGOs associated with local biodiversity-dependent communities. Assessing progress to achieve ABT 13 (Safeguarding Genetic Diversity) may require academic experts on genetic diversity, government departments related to plant and animal agricultural resources, and government departments and NGOs related to wild plant and animal species conservation. Table 5 provides examples of the types of indicators that stakeholders may be able to provide information on for several ABTs. Stakeholder working group roles may include:

x Assisting the project team to locate accurate and up-to-date information for ABT reports; x Reviewing ABT report drafts to provide feedback on how to fill gaps, including advice on

identifying other stakeholders to include in follow up consultations; x Reviewing drafts of the ABT reports before they are sent for approval; x Conducting follow-up NBSAP planning and implementation activities based on 6NR results.

Key activities to organize stakeholder input around the ABT or nationally equivalent targets include:

x Develop a list of stakeholders that have an interest in or influence over each ABT. Begin by reviewing any previous analyses. Identify the key stakeholders that should be involved in this project and gaps. See Table 2 for an example of ABT-level stakeholder analysis.

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x Determine how to organize stakeholders into ABT Stakeholder Working Groups:

o Convene a different group of stakeholders to help develop each report; o Form fewer groups of stakeholders to help develop of more than one report; or o Convene one group of stakeholders to help develop all of the ABT-level reports.

x Develop a workplan for gathering and consolidating reporting inputs from each ABT

Stakeholder Working Group. Outline the timeline and milestones of the reporting process, what level of information is needed, and which indicators will be used for the targets in each group, how often the group will meet, and how information should be shared.

x Present the proposed ABT Stakeholder Working Groups and workplan to the 6NR SC for

their review, input and approval. x Hold an initial meeting of all stakeholders involved in the ABT-level reports to explain how

the ABT Stakeholder Working Groups will be organized. Present the analysis that was carried out to determine how stakeholders would be organized against the ABTs so all stakeholder understand how and why they were selected. Present the proposed workplan for the ABT Stakeholder Working Groups, and refine it in response to input from the attending stakeholders if necessary.

x If your country chooses to convene one group of stakeholders that oversees all of the ABT-

level reports, Parties will face the challenge of holding large meetings efficiently. In this case, consider organizing the meeting agendas so that the ABTs with relevance to the largest number of stakeholders are discussed first. Stakeholders can have the option to leave the meeting as soon as discussions on the ABTs that they are responsible for are concluded.

Using existing stakeholder analyses and based on the history of the involvement of different stakeholders in different ABT design and implementation, the 6NR team can map out which ABTs are most relevant to the different stakeholders identified.

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Table 7. Example; Analysis of stakeholder groups against the ABTs

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Table 8 provides an example of a spread sheet you can use to organize and record this information This kind of mapping provides a visual understanding of which stakeholders are most relevant to the different ABTs.

Table 8. Example: Organizing stakeholder groups against multiple ABTs

ABT Suggested members of the ABT Stakeholder Working Group

ABT 1 Department of Environment; National Network of Indigenous Authorities; Landless Small-Farmer Network; National Network on Rural Women's Issues; National Network of Conservation Groups; International Conservation NGO Network

ABT 2, 3 All government bodies; UNDP; Private Sector

ABT 4, 7, Departments of Environment, Agriculture and Forestry; Scientists and Academics; National Network of Indigenous Authorities; Landless Small-Farmer Network; National Network on Rural Women's Issues; National Network of Conservation Groups; International Conservation NGO Network; Ethnic Minority Representative Body; UNDP Country Office; Private Sector

ABT 5, 6 Departments of Environment, Agriculture and Forestry; Scientists and Academics; National Network of Conservation Groups; International Conservation NGO Network; UNDP Country Office

ABT 8, 9, 10, 12

Departments of Environment, Agriculture and Forestry; Scientists and Academics; National Network of Conservation Groups; International Conservation NGO Network; UNDP Country Office

ABT 11 Departments of Environment, Finance and Defence; Scientists and Academics; National Network of Indigenous Authorities; Landless Small-Farmer Network; National Network on Rural Women's Issues; National Network of Conservation Groups; International Conservation NGO Network; Ethnic Minority Representative Body; UNDP Country Office; National Ecotourism Network

ABT 13, 14, 15, 16, 17, 18, 19

Departments of Environment, Agriculture and Forestry; Scientists and Academics; National Network of Indigenous Authorities; Landless Small-Farmer Network; National Network on Rural Women's Issues; National Network of Conservation Groups; International Conservation NGO Network; Ethnic Minority Representative Body; Private Sector; UNDP Country Office

ABT 20 Departments of Environment and Finance; UNDP Country Office; Private Sector

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Step 3: Build the capacity of the project team The 6NR project team, any partner organizations that will be responsible for drafting the 6NR and overseeing the reporting process should receive training on how to effectively integrate stakeholder engagement into their work. The project team should also determine which stakeholders need access to capacity building opportunities. Box 4 suggests several capacity building resources. Box 5 suggests entry points for engaging stakeholders during formation of the 6NR steering committee and the 6NR inception workshop. It also describes the elements that could be included in a stakeholder engagement concept note.

Box 4. Capacity-building resources

x Ensuring Inclusive Societal Engagement in the Development, Implementation and Updating of NBSAPs Module 5 (B Series) – NBSAP Training Package (Eng - Es - Fr)

o Section on “NBSAP Steering Committee”, p15 o Section on “Stakeholder Analysis”, p20

x Melvin, L and Pederson, L. (2017). National Commodity Platform Guidance: Stakeholder Engagement Planning Process (Eng – Sp)

o Section on “Stakeholder Mapping, Analysing and Prioritising”, pp4-9 x Vogler, D., Macey, S. and Sigouin, A. (2017) Stakeholder Analysis in Environmental and Conservation

Planning in Lessons in Conservation – Stakeholders, Issue 7, pp. 5-16, American Museum of Natural History. (English only.)

x Annex 1: Stakeholder engagement steps for the 6NR process x Annex 2: Example of an ABT-level stakeholder analysis

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Box 5. Engaging stakeholders in the 6NR steering committee and inception workshop

Forming a 6NR Steering Committee

The 6NR Steering Committee (SC) coordinates and oversees the national reporting process. Your country likely developed and applied a stakeholder engagement strategy during the development of its post-2010 NBSAP. Therefore, your country may already have a multi-stakeholder NBSAP SC in place. If so, consider reviewing the composition of the NBSAP SC for gaps, and adding and changing members as needed, to form a 6NR SC. Other groups that currently supporting NBSAP planning and implementation should also be engaged in the national reporting process, as appropriate. Depending on the country context, it may not be efficient to involve all stakeholders in the 6NR SC. However, the 6NR SC can still invite other multi-stakeholder advisory groups and to review critical decisions and make recommendations at different points in the reporting process. Key 6NR SC activities related to stakeholder engagement include:

x Identify the 6NR SC members and role in overseeing the reporting process; x Conduct a stakeholder analysis to identify where to involve stakeholders in the 6NR

process; x Develop a simple set of 6NR stakeholder engagement steps; and x Determine a schedule of periodic meetings with any existing multi-stakeholder advisory

groups to update them on progress and get their feedback on key activities. Hosting a 6NC inception workshop The inception meeting is an important opportunity to launch the reporting process, present a clear plan of how stakeholders will be engaged, and determine a plan for communicating with all stakeholders to ensure that they have a full understanding of how they are expected to contribute to the process. At the inception meeting, to build support for stakeholder engagement: x Share a project stakeholder engagement concept note. x Introduce the importance of engaging stakeholders during 6NR development and

dissemination. x Define the role of the SC in guiding the process. x Describe how the stakeholder engagement process will be carried out, including the process

and timeline for engaging the ABT Stakeholder Working Group process. x Disseminate the meeting report to all participants in appropriate languages and formats. x Use inception meeting feedback to improve the stakeholder engagement steps and Stakeholder

Working Group process. Components of Stakeholder Engagement Concept Note x Provide clear stakeholder engagement goals and roles. x List of stakeholders to be invited based on stakeholder analyses. State the capacity of different stakeholders to engage and any outreach and capacity building needs (e.g., understanding of the ABTs/national targets, familiarity with technical reporting processes)

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2.2 Engaging stakeholders to assess progress towards each ABT or national target Work with the ABT Stakeholder Working Groups to develop draft reports for each ABT and/or national target equivalent. Compile the qualitative and quantitative information that stakeholders provide. Identify information gaps and the stakeholders that can address them. Box 6 lists some stakeholder engagement goals during this stage in the process. Suggested steps include:

x Develop the reporting indicators for each ABT with the relevant ABT Stakeholder Working Groups. Include indicators that capture stakeholder contributions towards the achievement of the targets, such as the actions of IPLCs and women (see Table 4);

x Collaborate with the Stakeholder Working Groups to collect qualitative and quantitative data;

x Allow the Stakeholder Working Groups to review the existing information for each ABT report and to identify any information gaps in reporting;

x Identify additional stakeholders to consult to complete the ABT reports.

Box 6. Stakeholder Engagement Goals: Assessing Progress to Achieve the ABT

o Form ABT Stakeholder Working Groups to guide the

drafting of ABT reports. o Convene these groups and facilitate the inclusion of

inputs from their Stakeholder Working Group(s) into the ABT scoping reports/ zero drafts.

o Carry out an inclusive and comprehensive consultation process with other stakeholders to fill any gaps in the ABT reports.

Step 1: Engage your stakeholders Given the breadth of the ABT and the national targets adopted by countries, multiple consultations may be needed. See Section 2.1 for additional guidance. Steps for designing the stakeholder consultation process include:

x Identify skilled facilitators who understand the project needs and can engage specialist stakeholders such as IPLCs, women and youth, and that have local language skills if required.

x Provide adequate background information in advance, and in appropriate languages. Consider providing pre-information sessions and preparatory materials by phone, in person, and/or by email to ensure that stakeholders with different needs can participate effectively in consultations that include a number of different stakeholder types.

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x Allow all stakeholders to participate fully and effectively. Box 49 provides some general guidance on preparing and facilitating meetings in a participatory manner.

x Develop a plan to fill information gaps. The plan should include estimations for the cost of the consultation process and find matching funding to fill any financing gaps, if needed. See Table 2 for a breakdown of potential costs for a stakeholder consultation process.

x Ensure that the final reports and results of any consultations are disseminated back to the stakeholders involved in the appropriate languages/formats.

Box 7. Meeting Preparation and Facilitation

9 Taken from “Handbook on Stakeholder Consultation and Participation in ADB Operations”

Preparation is key to the success of participatory meetings. Here are some practical tips for planning and preparing participatory meetings and workshops:

x Before the meeting, if possible, meet with groups who need specific support to participate effectively, or if this is the first time participants are meeting and little is known about their views.

x In the case of large workshops, it may be useful to organize a series of small preparatory meetings with individual stakeholder groups. If this is not possible given timing, budget constraints, or country context, use email and phone to reach certain stakeholders in advance of the main consultations.

x Distribute relevant information ahead of time to all participants in languages and formats that is understandable to all participants.

x When feasible, ask participants to submit information about their organization's expectations of the meeting and their preliminary views on the issues to be discussed.

x Take participants’ availability, convenience, and comfort into account when planning the meeting venue and time. Ensure that a “neutral” location is chosen.

x Decide whether you need an outside neutral facilitator for the meeting. If so, involve her/him as early as possible in the planning process.

x Prepare a detailed draft agenda that includes the meeting objective, expected results, format, and duration.

x Send the draft agenda to participants and ask for comments. Consider asking some stakeholders to prepare the introduction to specific agenda points, or a brief presentation on the topic.

x Make special arrangements to ensure that groups with particular needs are able to participate effectively, such as IPLC representatives, women’s groups, and linguistic minorities.

x Visit the meeting location ahead of time. Ensure that there is adequate space, appropriate seating arrangements, and that supplies are available, such as nametags, flip charts, paper, pens, markers and handouts.

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Step 2: Reporting on IPLCs contributions Section VI of the 6NR template “Additional information on the contribution of IPLCs” collects information that is not captured in other sections of the report. These data will be used to help prepare the next edition of the Local Biodiversity Outlooks - Indigenous Peoples’ and Local Communities’ Contributions to the Implementation of the Strategic Plan for Biodiversity 2011-2020. However, we encourage you to integrate the measures taken by IPLCs throughout the 6NR, and not solely under those sections of the report that address ABT 18. Also consider indicating if the measure is related to other multilateral environmental agreements or regional processes, including indigenous rights and gender related agreements such as UN Declaration on the Rights of Indigenous Peoples. Ways to recognize IPLCs contributions in your national report:

x Include case studies of IPLC and women’s actions as part of NR6. The Local Biodiversity Outlooks includes examples of case studies at the ABT level.

x Recognize the contributions of IPLCs and women towards ABT achievement, such as: o Sustainable agriculture, fishing, aquaculture and forestry; o Area-based conservation through formal customary rights under national law,

Indigenous and Community Conserved Areas (ICCAs) and sacred sites; o Actions by private sector and others to successfully apply sustainability standards to

commodity supply chains. x Describe progress on mainstreaming biodiversity into issues relevant to IPLCs stakeholders,

such as measures related to private sector activities; access and benefit sharing; and land tenure rights in the agricultural, forestry and land rights.

x Describe steps to implement these plans and guidance (see Annex 3 for a summary of each): x 2015-2020 Gender Plan of Action Under the CBD (Eng - Sp - Fr) x The Tkarihwaié:ri Code of Ethical Conduct (Eng - Sp - Fr) x Akwé: Kon Voluntary Guidelines for the Conduct of Cultural, Environmental and Social Impact

Assessment (Eng - Sp - Fr) x Mo’otz Kuxtal Voluntary Guidelines for the development of mechanisms, legislation or other

appropriate initiatives to ensure “prior & informed consent” (Eng - Sp - Fr) x List the mechanisms that are being used in the country to increase the participation of IPLCs

and women in planning and decision-making at all levels, including through expert groups. x Describe partnerships with IPLCs that support ABT implementation. x Describe the process for including IPLC stakeholders in the monitoring and evaluation of

results, including the use of community-based monitoring. x Describe cultural dialogues, exchanges and educational programmes that work to increase

awareness and respect for diverse views and values related to biodiversity. x List training opportunities or activities that engage IPLCs, women and traditional knowledge-

holders to increase the effectiveness of conservation measures and national report accuracy.

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Step 3: Developing final reports for each ABT or national target Parties to the CBD are encouraged to develop a 6NR that is data-driven and gender-responsive. Reports are based on the information collected during the activities that are described above. Activities include: (a) developing progress assessments for each ABT and/or national target equivalent; (b) reviewing NBSAP implementation; (c) reviewing actions to mainstream biodiversity; and (d) assessing of the effectiveness of the actions undertaken to implement the Strategic Plan and NBSAPS. The individual assessments serve as a series of small, stand-alone reports, which when combined, constitute the main body of the 6NR. This process builds the capacity of countries to facilitate dynamic monitoring, reporting and decision-making. Suggested steps to engage stakeholders:

x Building on the ABT scoping reports/zero drafts, collected any final information obtained using the ABT Stakeholder Working Groups, or through research, to fill identified gaps.

x Allow the ABT Stakeholder Working Groups and the 6NR SC to review the revised reports. x Incorporate the additional data and input you receive into the revised ABT reports.

Box 8. Resources to support 6NR development

x Ensuring Inclusive Societal Engagement in the Development, Implementation and Updating of NBSAPs Module 5 (B Series) – NBSAP Training Package (Eng - Sp - Fr)

o Section on “Carrying out a Multi-Stakeholder Process”, pp19-26 x Handbook on Stakeholder Consultation and Participation in ADB Operations (English only)

o Section “4.3 Participatory Meetings and Workshops”, pp27-33 x Local Biodiversity Outlooks: Indigenous Peoples’ and Local Communities’ Contributions to the

Implementation of the Strategic Plan for Biodiversity 2011-2020 (Eng – Sp – Fr) x Suggested Indicators for ABT Reporting in the 6NR Technical Guidance Document x Annex 1, Table B: Potential costs for a stakeholder consultation process. x Annex 3: Summary of main IPLC related CBD guidance: The Tkarihwaié:ri Code of Ethical

Conduct, Akwé: Kon Voluntary Guidelines, and Mo’otz Kuxtal Voluntary Guidelines

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2.3 Engaging stakeholders in 6NR Project Component 3: Report Production and Submission Step 1: Finalizing the report Once the draft ABT reports are developed and approved, it is time to finalize the report. Table 8 summarizes potential entry points for stakeholder engagement during all project implementation activities. There are several steps you can take to involve stakeholders in the finalization of the report.

Box 9. Stakeholders Engagement: Finalizing the Report

x Ensure each section of the draft 6NR is peer reviewed, and that

someone with expertise in stakeholder engagement issues, particularly IPLCs and gender, provides feedback on the report.

x Conduct further stakeholder consultations to address peer review results.

x Ensure the final report is made available to all of the stakeholders that you consulted during the 6NR process in appropriate languages and formats.

x Outline next steps for engaging stakeholders any follow activities that use the report findings support further planning and implementation of NBSAPs.

Suggested steps: x Compile the revised ABT reports into a comprehensive draft 6NR. x Circulate the draft 6NR to the SC, Stakeholder Working Groups, and UNDP or UN

Environment for a technical review. x Ensure that someone with stakeholder engagement expertise, particularly expertise on IPLCs

and gender inclusion, provides a technical review. x Revise the document and facilitate any further stakeholder consultations if needed. x Integrate any feedback and input received in the steps above to develop the final 6NR. x Share the final 6NR with the 6NR SC for final approval. x Submit the 6NR to your ministry for final validation.

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Step 2: Utilizing the 6NR results Once the 6NR is finalized, the information it captures should be used to inform and plan future measures to implement NBSAPS or achieve the ABT. Stakeholders should be included in these follow up activities. The 6NR findings related to stakeholder engagement should also be fully integrated into future activities the 6NR should be made publicly available, and actively disseminated to all of the stakeholders that you involved in the consultation process. The project team should consider concluding the project with some proposed activities to improve NBSAP implementation based on the 6NR results. If appropriate, Parties should consider using the 6NR SC and ABT Stakeholder Working Groups to direct the follow-up planning process. Parties may wish to have a closing meeting with the project stakeholders to review the 6NR results and lessons learned, and to discuss how the 6NR findings cab best be used. Parties will need to find resources to support such follow up activities that are not included in the 6NR project budget. As an initial step, a funding plan and roadmap for using the 6NR findings to inform and strengthen country plans and activities could be developed. Any such planning should include an analysis of how stakeholders, including ABT-level stakeholder groups, can support future activities. Suggested steps: x Disseminate the 6NR directly to all stakeholders involved in its development via email and/or

mail in the appropriate languages and formats. x Disseminate the 6NR via key stakeholder networks, public libraries, academic institutions, and at

relevant events. Make the report publicly available online in all key languages. Publicize the 6NR in national media and present it at related events.

x Determine how the report findings will be used to support future NBSAP planning and implementation. Ensure these the proposed measures are shared with the authorities and bodies that are responsible for NBSAP implementation.

x Outline next steps for engaging stakeholders to implement measures based on the report results.

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Table 9. Checklist: Stakeholder Engagement (Different Phases of the 6NR National Project)

OUTPUT HOW STAKEHOLDER ENGAGEMENT CAN BE INTEGRATED INTO ACTIVITIES

Component 1: Project inception meeting and identification of funding resources

Outcome 1: A functional steering committee (SC) is formed to prepare the 6NR, project timelines and methods, funding is mobilized, where necessary, and training and capacity building activities are complete.

Output 1.1: The 6NR SC and coordination role(s) for 6NR preparation are assigned, and a production plan and timeline are developed

9 Conduct a stakeholder analysis to identify: x How to involve different stakeholders in the reporting cycle; x What kind of information each stakeholder can contribute; and x What kind of contribution is expected from each stakeholder.

9 Conduct an ABT-level analysis to identify which stakeholders should be consulted for different ABTs.

9 Include major stakeholders in 6NR SC. 9 Ensure 6NR SC liaises with existing multi-stakeholder groups. 9 Confirm and approve the list of stakeholders to engage during 6NR

development, and the pathways and funding streams to engage them. Output 1.2: Secure funding and resources for the reporting process.

9 Identify potential partner organizations, agencies and centers of excellence to recruit to support the reporting process.

Output 1.3: Participation in training and capacity building opportunities for the project team and the steering committee.

9 Build capacity to effectively include stakeholders in the national reporting process by sharing online webinars and technical guidance.

Component 2: Assessment of progress towards each national target

Outcome 2: Stakeholder owned reports for each ABT and/or national equivalent are produced and compiled

Output 2.1: A scoping report/zero draft for each ABT and/or national target is prepared.

9 Collect data from stakeholders relevant to each ABT as identified in the stakeholder analysis under Output 1.1, including: x Information on the targets being pursued at the national level; x Implementation measures taken and assessments of

effectiveness; x Assessment of progress towards each national target; x Obstacles and scientific and technical needs to achieve targets; x National contribution to the achievement of each global ABT; x National contribution to the achievement of the Global Strategy

for Plant Conservation targets (optional); x Contribution of IPLCs to the achievement of the ABT

(optional); and x Updates on biodiversity status and trends.

9 Ensure that stakeholder information, including data relevant to IPLCs, women and traditional knowledge, is integrated into each ABT report.

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9 Include information on how stakeholders have participated in NBSAP implementation and target ABTs as part of progress.

9 Identify information gaps in reporting on each ABT, and engage your stakeholders, including IPLCs and gender experts in the gap analysis.

Output 2.2: Consultations with stakeholders are undertaken to verify data and progress assessments and address information gaps.

9 Crosscheck information needs for each ABT report with stakeholder analysis carried out under Output 1.1 to see which stakeholders should be consulted further to fill these information gaps.

9 Convene experts, including from the IPLCs, women, and private sector.

9 Organize consultations that allow all stakeholders to participate fully and effectively (e.g., adequate notice, prior information, correct language) so that they can provide information the different ABTs.

9 Identify mechanisms for identifying and fairly and transparently resolving disputes related to the 6NR revision process.

Output 2.3: Reports for each ABT and/or nationally equivalent commitments are developed, which strive to be gender responsive. They are based on the information collected during the activities that are described above.

9 In each ABT and/or nationally equivalent report, include information from the stakeholder groups (including IPLCS and women) on: x The targets being pursued at the national level, the

implementation measures taken, an assessment of their effectiveness, and associated obstacles, scientific and technical needs to achieve them.

x Descriptions of stakeholder contributions to the implementation of measures to achieve the targets, and the related results.

x Progress on mainstreaming biodiversity for key issues (e.g. access and benefit sharing; tenure rights; industry standards).

Component 3: Sixth National Report production and submission

Outcome 3: A Stakeholder owned 6th National Report is produced and submitted to the CBD

Output 3.1: The 6NR is compiled, reviewed, revised and finalized.

9 Create opportunities for stakeholders to review the reports. 9 If formal peer reviews are commissioned for the ABTs, include peer

reviewers with expertise in IPLCs and gender. 9 Organize any additional consultations in a way that allows stakeholders

who need to be further consulted to participate fully and effectively. Output 3.2: The 6NR is validated and officially submitted to the CBD.

9 Make report outputs available to stakeholder groups in local languages. 9 Disseminate the 6NR widely through your stakeholder networks, at

relevant events, and make it publicly available. 9 Translated the results into local languages to reach a broader audience.

Follow up activities to 6NR

Stakeholder engagement approaches and findings integrated into future ABT/NBSAP activities

9 Integrate the 6NR findings any follow-up planning and implementation of NBSAP activities, and include stakeholders in this process.

9 Engage 6NR SC and/or other multi-stakeholder groups that were engaged in the reporting process to advise on planning for future ABT/NBSAP activities based on the 6NR conclusions.

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