Manual for the Social Impact Assessment of Land- Based

Carbon projects

Dr Michael Richards, Forest Trends (Katoomba Ecosystems Services Incubator)

The Nature ConservancyREDDex

Cancun 13-16 July 2010

The Forest Carbon Offsetting Survey 2009

What do buyers want?

Background

• Literature review: revealed lack of clear guidance/ road map on social impact assessment (SIA) for carbon project developers

• Consortium of 4 NGOs formed to develop Manual

• Manual linked to the CCB Standards

• Donors: World Bank PROFOR, GEF-UNDP, Morgan Stanley, NORAD, USAID

Manual objectives

Main objective:• User friendly guidance for project

developers on how to conduct credible and cost-effective Social Impact Assessment (SIA)

Sub-objectives:• Strengthen & deepen application of

CCB Standards• Increase socio-economic benefits,

and avoid negative impacts via good practice SIA

• Increase stakeholder engagement• Contribute to adaptive project

management

Some key challenges for SIA

• ‘Attribution’: social benefits must be additional – caused by project

• Nature of social impacts: long-term, unpredictable (-ve or +ve), indirect

• Cost-effectiveness: transaction cost; high cost of traditional SIA methods (US $50-150K)

• Paucity of research data on social impacts

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Attributable impacts

Additionality and attribution

Without-project scenario

With-project scenario

CCB Standards: net and ‘additional’ (to ‘without project’) social impacts

SIA Stage 2: Social reference scenario (‘without project’ situation)

SIA Stage1: Original conditions study and stakeholder identification

SIA Stage 3: Project design and theory of change (‘with project’ situation)

SIA Stage 4: Negative social impacts and mitigation measures

SIA Stage 5: Selection of indicators of positive social change (WHAT to measure?)

SIA Stage 6: Monitoring plan and data collection methods (HOW to measure?)

SIA Stage 7: Data analysis, reporting & stakeholder verification

Proposed Social Impact Assessment (SIA) Stages

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s Additionality at CCB Validation stage

SIA Stage 1: Original Conditions Study (G1)

Expected impacts

SIA Stage 2: Social reference scenario (G2)SIA Stage 3: Project design and theory of change (G3)

SIA Stage 3: Project design & theory of change

• Causal model or theory of change: the project’s hypothesis of how it will achieve its social objectives

• If short to mid term outcomes can be identified, and then linkages to impacts → good chance of impacts happening

IMPACTS OUTCOMES Strategy

OUTPUTS ACTIVITIES

Ends Means

Assess causative linkages/assumptions between outputs, outcomes and impacts via developing IF … THEN statements. Then monitor whether linkages or assumptions hold true in reality

SIA Stage 5: Selection of indicators

• WHAT to measure? Indicators

• Clear social objectives or desired results are essential

• Best to use causal model: indicators should capture key linkages

• Sustainable Livelihoods Framework

• Community decided evaluation indicators

• SMART indicators

SIA Stage 6: Community Monitoring Plan

• HOW to measure? Data collection methods for measuring the indicators

• Toolbox: Part II of Manual

• Participatory data collection methods are essential for credibility & cost-effectiveness

Some good practice guidelines for SIA

• Invest in early technical assistance - SIA design

• Invest time in clarifying social objectives and how to achieve them using causal model or theory of change approach

• Invest time in selecting indicators

• Use participatory data collection methods

• Keep the stakeholders informed

• ‘Appropriate imprecision’ – tell a convincing story with some data (indicators) to back it up. More of an Art than a Science!

Timeline for developing the SIA Manual

• Field testing phase – ‘hands-on’ and ‘hands-off’ - July to November

• Spanish translation: early August

• Training workshops: Peru, Tanzania

• Peer review comments: Aug – Oct.

• Analysis of field testing: Nov/Dec

• Revision & publication in early 2011

Accessing Manual and contact details

www.forest-trends.org/ publications.php

Please send comments orfeedback on SIA Manual to:

mrichards@forest-trends.orgspanfil@climate-standards.org

THANK YOU!