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Acknowledgements This Manual was written by Michael Richards (Katoomba Ecosystem Services Incubator, Forest Trends) and Steve Panfil (Climate, Community and Biodiversity Alliance) with key inputs by Steven Price (Rainforest Alliance consultant), Natasha Calderwood and Julie Fischer (both Fauna & Flora International). The first author is responsible for any errors. We firstly thank World Bank PROFOR, Morgan Stanley, USAID-TransLinks 1 , GEF-UNDP, and NORAD for their financial support. The Manual may not reflect the views of these organizations. We also wish to acknowledge the following individuals or institutions for kindly providing permission to reproduce original figures, and for sending us the originals of key publications: Mark Aldrich (WWF International); Andrew Catley (Feinstein International Centre); Rob Craig (Wildlife Conservation Society, formerly with Conservation Development Centre); Boro Douthwaite (CGIAR Challenge Program on Water and Food); Viju James (Consultant); Joyce Kasyoki (World Agroforestry Centre); Kate Schreckenberg (University of Southampton); and David Wilkie (Wildlife Conservation Society). A complete list of institutional acknowledgements for figures or tables will be included in the final edition of this Manual. Others who have sent valuable information or comments include: Project Advisory Group members Natasha Calderwood (FFI), Joanna Durbin (CCBA), Julie Fischer (FFI), Jeff Hayward (Rainforest Alliance) and Jacob Olander (Forest Trends); Julianne Baroody (Rainforest Alliance); Paul Francis (World Bank); Phil Franks (CARE International); Rohit Jindal (Michigan State University); Magnus Macfarlane (independent consultant); and Leo Peskett (Overseas Development Institute). We also thank participants of the CCBA Workshop on Social and Environmental Impact Assessment for Land-Based Carbon Projects, held in Washington, DC, 11-12 May 2010; suggestions or observations from this meeting have been incorporated into the Manual. Finally, we thank Anne Thiel of Forest Trends for her invaluable help with formatting and presentation. 1 “This publication is made possible by the generous support of the American people through the United States Agency for International Development (USAID), under the terms of the TransLinks Cooperative Agreement No.EPP- A-00-06-00014-00 to The Wildlife Conservation Society. TransLinks is a partnership of WCS, The Earth Institute, Enterprise Works/VITA, Forest Trends and The Land Tenure Center. The contents are the responsibility of the partnership and do not necessarily reflect the views of USAID or the US government.” Social Impact Assessment of Land-Based Carbon Projects (1.0) – Part II | vi
List of Acronyms (Core Guidance and Toolbox) A/R Afforestation/Reforestation BNS Basic Necessities Survey CCB Climate, Community and Biodiversity (Standards) CCBA Climate, Community and Biodiversity Alliance CDM Clean Development Mechanism CMP Conservation Measures Partnership FUG Forest User Group (Nepal) GEB Global environmental benefit GEF Global Environment Facility GFI Governance of Forests Initiative IAIA International Association for Impact Assessment INAFI International Network of Alternative Financial Institutions ISEAL International Social and Environmental Accreditation and Labeling (Alliance) LOAM Landscape Outcome Assessment Methodology M&E Monitoring and Evaluation MEA Millennium Ecosystem Assessment MFI Micro-Finance Institution MPA Marine Protected Area MSC Most Significant Change (method) NGO Non-Governmental Organization NTFP Non-Timber Forest Product PDD Project Design Document PEV Participatory Economic Valuation PIA Participatory Impact Assessment PIPA Participatory Impact Path Analysis PLA Participatory Learning and Action PRA Participatory Rural Appraisal QPA Quantitative Participatory Assessment REDD Reduced Emissions from Deforestation and forest Degradation ROtI Review of Outcomes to Impacts (methodology) RRA Rapid Rural Appraisal SAPA Social Assessment of Protected Areas (initiative) SCM Social Carbon Methodology SEEP Small Enterprise and Education Network SEYMEMP Seychelles Marine Ecosystem Management Project SIA Social Impact Assessment SLF Sustainable Livelihoods Framework SMART Specific, Measurable, Achievable, Realistic/Reliable, Time-bound WTP Willingness to Pay Note: Only acronyms that are used more than once are listed here. Social Impact Assessment of Land-Based Carbon Projects (1.0) – Part II | vii
Page 1 and 2: MANUAL FOR SOCIAL IMPACT ASSESSMENT
Page 3 and 4: Table of Contents T1 Introduction t
Page 5 and 6: List of Boxes Box T1. General Data
Page 7: Forest Trends’ mission is to main
Page 11 and 12: Sections T5 and T6 present a range
Page 13 and 14: Figure T1: The Main Stages and Step
Page 15 and 16: Figure T2: Example of a Conceptual
Page 17 and 18: Figure T4: Generic Conceptual Model
Page 19 and 20: Stages 3-5 of Open Standards The re
Page 21 and 22: Figure T7: Diagram of the ROtI Anal
Page 23 and 24: table so they can be read, discusse
Page 25 and 26: Table T1: Theory of Change for Seyc
Page 27 and 28: T2.4 Participatory Impact Pathways
Page 29 and 30: Table T4: The PIPA Outcomes Logic M
Page 31 and 32: Main Sources and Further Guidance h
Page 33 and 34: T3 Sustainability Framework Approac
Page 35 and 36: Figure T12: SAPA Initiative Modifie
Page 37 and 38: 1. Identify a small group of key in
Page 39 and 40: Table T6: Example of LOAM Livelihoo
Page 41 and 42: T4 Matching Methods T4.1 Introducti
Page 43 and 44: Advantages and Disadvantages of ‘
Page 45 and 46: Box T1. General Data Collection and
Page 47 and 48: Box T3. Data Collection Methods Pro
Page 49 and 50: T6 Specific Data Collection Methods
Page 51 and 52: Table T8: Example of a Household BN
Page 53 and 54: The poverty index can range from 0%
Page 55 and 56: The PIA guide proposes the followin
Page 57 and 58: day. The ‘before project’ score
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Figure T15: “Before and After”
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Table T10: Pair-Wise Ranking Showin
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Impact calendars Impact calendars c
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A large sample is needed to be conf
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Table T15: Scoring of Changes in Ag
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Table T17: QPA Scoring of Social Eq
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T6.4 Participatory Economic Valuati
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Advantages and Disadvantages of Par
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The stories are collected from thos
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Main Sources and Further Guidance D
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Table T19: Stakeholder Analysis Pro
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Figure T18. Venn Diagram with Stake
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T7.2 Problem Trees Assuming it is p
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T7.3 Scenario Analysis Scenarios ar
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Box T7. Driving Forces in a Communi
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Maack, J.N. 2001. Scenario analysis
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In terms of non-monetary benefits,
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and duration of employment, the sta
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Physical Capital Positive changes i
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these strategic resource off-limits
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einforce existing institutions or n
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PROJECT: PROFAFOR TYPE: Plantations
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their occurrence will depend in lar
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HUMAN CAPITAL Increase in perceptio
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Table T26: Potential Mid- to Long-T
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Figure T20: Example of Relationship
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Figure T22: Additional Potential So
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T9 Further Guidance on Indicator Se
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Box T9. Goals and Indicators Defini
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When selecting indicators, it is be
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Table T27: Indicator Quality Assess
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Box T10. Indicators Derived from th
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T9.5 Disaggregating Indicators Mult
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Mayoux, L. 2001. What Do We Want to
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Landscape Outcomes Assessment Metho
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• Access to essential services (w
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T10.3 Social Indicators Derived fro
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Empowerment of women indicators:
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CCBA, 2008. Climate, Community & Bi
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James A., Pangtey V., Singh P. & Vi
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SEEP Network. 2006. Social Performa
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