Climate Change & Development Authority

Guidelines
on FPIC for
REDD+ in
Papua New
Guinea
Climate Change &
Development Authority
 Final Guidelines on FPIC for REDD+
In Papua New Guinea

Published by the Climate Change & Development Authority

Port Moresby
National Capital District
Papua New Guinea
17th August 2017

Apart from any use permitted under the Copyright Act 2000, no part of this document May be reproduced without
written permission from the Government of Papua New Guinea through the Climate Change and Development
Authority.

Enquiries should be made to:

Managing Director
Climate Change & Development Authority
P.O. Box 4017
BOROKO
National Capital District
Papua New Guinea
Telephone: (+675) 70910300
Facsimile: (+675) 3257620
Email: [email protected]
Website: www.occd.gov.pg

Written by: Danny Nekitel

Copyright © 2017 Climate Change & Development Authority

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i. Acknowledgement

The Guidelines were drafted by Danny Nekitel (Manager for Mitigation & Low Carbon Growth within the REDD+ and

Mitigation Division of Climate Change & Development Authority, Papua New Guinea) with the support and guidance

from the UN-REDD Programme. The Climate Change and Development Authority (CCDA) would like to take this

opportunity to thank all those organisations, individuals and interest groups, including, Government Agencies, Non-

Governmental Organisations, Private Sector Institutions, Academic Institutions, International and Development

Partners, and the REDD+ Technical Working Group for providing valuable feedback, comments and inputs in the

development of this Guidelines. The organisations namely includes; Papua New Guinea Forest Authority, Department

of Lands and Physical Planning, University of Papua New Guinea, Wildlife Conservation Society (PNG), FORCERT

Limited, The Natures Conservancy (PNG), Oxfam International Inc. (PNG and Australia), Palm Oil Council, AusAID,

ESSO Highlands Limited (Exxon Mobil), National Research Institute, Center for Environmental Law and Community

Rights, National Cultural Commission, Constitutional Law Reform Commission, PNG Eco-Forestry Forum and

Transparency International (PNG).

A joint field visit to some of the REDD+ pilot sites were also conducted by CCDA, UN-REDD Programme, DLPP and

PNGFA to collect views and understand some of the issues underlying community engagement in the project sites.

The field visit conducted by the joint team provided some useful data to demonstrate our understanding on some of

the important requirements of Free, Prior and Informed Consent, particularly in awareness-raising, representation

and participation, decision-making, documentation, and grievances and disputes. A “Mission Report:

Strengthening Draft National FPIC Guidelines for REDD+ in Papua New Guinea” was established by UN-REDD

Programme after the field visits to support and strengthen this Guidelines. Also comments from all REDD+

stakeholders have been collected and with the support of the UNDP/UN-REDD Programme, a final working draft of

the Guideline has been developed, field tested and the recommendations from field testing incorporated into the final

FPIC Guideline.

ii. Status of the Guidelines

This is the ‘Final Guideline’ for FPIC implementation in Papua New Guinea. This Guideline has undergone extensive

stakeholder comments and expert reviews, including a final Validation Workshop on the 9th of July 2014 before it was

field tested in three selected pilot sites in the country by CCDA in collaboration with WCS and FORCERT through the

support from UNREDD Programme.

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This Final Guideline will be further presented to the Government of Papua New Guinea to be endorsed and be

applicable in FPIC engagement in PNG. Upon endorsement by the Government, these Guidelines will become

mandatory for all REDD+ actions, activities and projects in PNG, and are to be complied with by all REDD+

proponents.1

Furthermore, based on the application of these Guidelines, increase information and experience related to its

application FPIC in REDD+ activities in PNG, and continued inputs and feedback from the Governments, customary

landowners and forest dependent customary landowners, practitioners and experts, NGOs and civil society

organisations, the Guidelines will be improved on a continuous basis.

1Although these Guidelines are specifically meant for implementing FPIC in REDD+ programs and/or activities, it may also be applicable to other PES activities in the
country where the rights of customary landowners may be affected.
4
 Abbreviations

CBO Community Based Organisations

CCDA Climate Change and Development Authority

CCDS Climate-Compatible Development Strategy

CDM Clean Development Mechanism

CEDAW Convention to Eliminate Discrimination Against Women

CEPA Conservation and Environment Protection Authority

CERD Committee on the Elimination of Racial Discrimination

COP/MOP Conference of the Parties, serving as the Meeting of the Parties

CRC Committee on Rights of Child

CSO Civil Society Organisations

DAL Department of Agriculture and Livestock

DEC Department of Environment and Conservation

DFO District Forestry Officer

DLPP Department of Lands & Physical Planning

DMT District Management Team

FCPF Forest Carbon Partnership Facility

FPIC Free, Prior and Informed Consent

GDP Gross Domestic Product

GoPNG Government of Papua New Guinea

ICCPR International Convention on Civil and Political Rights

ICESCR International Convention on Economic, Social and Cultural Rights

ILG Incorporated Land Group

ILO International Labour Organisation

JDP & BPC Joint District Planning and Budget Priority Committee

JICA Japanese International Cooperation Agency

JPP & BPC Joint Provincial Planning and Budget Priority Committee

KP Kyoto Protocol

LLG Local Level Government

MDGs Millennium Development Goals

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MEAs Multilateral Environmental Agreements

MRV Measuring Reporting and Verification / Monitoring Reporting and Verification

MoA Memorandum of Agreement

NDC Nationally Determined Contribution

NEC National Executive Council

NGO Non-Governmental Organisation

NSO National Statistical Office

OCCD Office of Climate Change and Development

PEC Provincial Executive Council

PES Payment for Environmental Services

PFO Provincial Forest Officer

PMT Provincial Management Team

PNGRIS PNG Resource Information System

PNGFA Papua New Guinea Forest Authority

PNG Papua New Guinea

RED Reducing Emissions from Deforestation

REDD Reducing Emissions from Deforestation and forest Degradation

REDD+ Reducing Emissions from Deforestation and forest Degradation plus

Conservation, Sustainable Management of Forests and Carbon Stock

Enhancement

SGS Societe General de Surveillance

UN United Nations

UNDP United Nations Development Programme

UNDRIP United Nations Declaration on the Rights of Indigenous Peoples

UN-REDD Programme The United Nation Collaborative Programme on Reducing Emissions from

Deforestation and forest Degradation in Developing Countries

UNFCCC United Nations Framework Convention on Climate Change

VCS Verified Carbon Standard

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Contents Page
i. Acknowledgement .......................................................................................................................................................3
ii. Status of the Guidelines ..............................................................................................................................................3
Abbreviations ..................................................................................................................................................................5
1. Introduction ................................................................................................................................................................9
1.1 Objectives of Guidelines .......................................................................................................................................9
1.2 Intended Users ......................................................................................................................................................9
1.3 Background .........................................................................................................................................................10
1.4 Climate Change in the Forestry Context .............................................................................................................10
1.5 REDD+ and Social Safeguard ...............................................................................................................................12
2. Free, Prior and Informed Consent.............................................................................................................................14
2.1 Defining Different Elements of FPIC ...................................................................................................................15
2.1.1 Free.............................................................................................................................................................16
2.1.2 Prior ............................................................................................................................................................17
2.1.3 Informed .....................................................................................................................................................17
2.1.4 Consent ......................................................................................................................................................18
2.2 When is FPIC required? .......................................................................................................................................19
2.3 At what Level is FPIC Applied? ............................................................................................................................20
2.4 Who Seeks Consent? ...........................................................................................................................................20
2.5 Who Gives Consent? ...........................................................................................................................................21
2.6 Outcome of the FPIC Process ..............................................................................................................................24
PART A: NORMATIVE & POLICY FRAMEWORK ..............................................................................................................26
3. Normative Framework ..............................................................................................................................................27
3.1 National Obligations............................................................................................................................................27
3.2 International Obligations ....................................................................................................................................29
3.3 PNG and UNFCCC ................................................................................................................................................29
3.4 PNG and Other Related Conventions ..................................................................................................................31
3.5 International Treaties on Human Rights .............................................................................................................31
4. Policy Framework ......................................................................................................................................................33
4.1 What is the role of the Government of Papua New Guinea? .............................................................................33
4.2 National-level Governance Structure for REDD+ Management in PNG .............................................................33
4.3 Climate Change & Development Authority ........................................................................................................34
4.4 Papua New Guinea Forest Authority ..................................................................................................................35
4.5 Other related Agencies .......................................................................................................................................35
PART B OPERATIONAL FRAMEWORK ............................................................................................................................38

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5. Operational Framework ............................................................................................................................................39
5.1 Objective of Operational Framework .................................................................................................................39
5.2 Type of Users.......................................................................................................................................................39
5.3 Three-Stage Approach ........................................................................................................................................40
5.4 Stage 1: Determine Applicability of FPIC.............................................................................................................41
5.5 Stage 2: Identify User Category. .........................................................................................................................42
5.6 Stage 3: Indicative Steps to Conduct FPIC...........................................................................................................43
5.6.1. Section A: Implementing FPIC at the National Level..................................................................................43
5.6.2 Section B: Implementing FPIC at the Provincial and District Levels.............................................................47
5.6.3 Section C: Implementing FPIC at the Project Level ......................................................................................52
6. National-Level Grievance Mechanisms .....................................................................................................................65
7. ANNEXES ...................................................................................................................................................................67
Annex 1: Key Principles of FPIC Process in REDD+ Development .........................................................................67
Annex 2: Stakeholder Engagement: Effective and Equitable Gendered Participation and Representation in
Decision-Making....................................................................................................................................................70
Annex 3: Papua New Guinea National Constitution .............................................................................................72
Annex 4: PNG National Goals and Directive Principles .........................................................................................73
Annex 5: National and International Legal and Policy Framework .......................................................................79
Annex 6: Summary Guide For Affected Customary Landowners In The FPIC Process.........................................86
Annex 7: Obtaining and Verifying Consent ...........................................................................................................89
Annex 8: Role of Independent Evaluators ............................................................................................................95
Annex 9: National-Level Grievance Mechanism (FCPF Readiness Fund: Guidelines For Establishing Grievances
and Redress Mechanism at the Country Level) ....................................................................................................97
Annex 10: FPIC Proposal Template .......................................................................................................................98
Glossary .......................................................................................................................................................................100
References ..................................................................................................................................................................104

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1. Introduction
The Guidelines on FPIC for REDD+ in Papua New Guinea builds on the Joint Stakeholder Engagement Guidelines

developed by the UN-REDD Programme and the World Bank hosted Forest Carbon Partnership Facility (FCPF), the

UN-REDD Programme Guidelines on FPIC, and broad multi-stakeholder consultations. It is divided into two main parts:

“Part A” outlines the Normative and Policy Framework by setting out the roles and responsibilities of the

Government of Papua New Guinea in seeking Free, Prior and Informed Consent (FPIC); while “Part B” looks into the

Operational Framework and provides a logical flow to the implementation of FPIC process.

1.1 Objectives of Guidelines

The Guidelines will:

Assist users to identify when FPIC is required; at what level it shall be applied; who seeks consent; who

gives consent; and how outcomes shall be documented; and,

Provide guidance in the design and implementation of consultative and participatory processes where FPIC

is required for REDD+ programs and activities.

1.2 Intended Users

The intended users of this guide are:

REDD+ proponents, including national and sub-national levels of government, as well as project

proponents/developers.

Non-Governmental Organizations (NGOs), Civil Society Organizations (CSOs) and other independent

experts working to support customary landholders and local communities or supporting REDD+ proponents.

Certifying bodies and independent observers/verifiers.

The guidelines also applies to stakeholders, in particular, customary landholders and local communities in or near

REDD+ project areas whose free, prior and informed consent is sought for the proposed REDD+ program or activities.

As will be subsequently outlined, users need to be aware of the requirements of FPIC and therefore shall follow the

guidelines accordingly when implementing REDD+ programs and activities in Papua New Guinea.

The guideline will use the term “customary landholders2 and local communities” to refer to clans and communities who

have customary rights of ownership or user rights over land and sea resources or of ownership or user rights over flora

2Landholder refers to persons having customary rights, and in occupancy of Government land by virtue of an agreement with the State or the lawful occupant of land
other than customary land or Government land. (Source: Climate Change Management Act 2015).
9
and fauna growing on land or sea, or in relation to the use of land or sea. It also recognizes those who do not own

land, but may be accorded user rights over land and resources on the land and sea. Therefore for the purpose of this

guideline the term will also include other primary users of forests such as women, youth, marginalized 3 and vulnerable4

groups who play either a direct or indirect role in forest management and use.

1.3 Background

PNG is the largest Pacific Island nation, in terms of population, which was estimated around 7.2 million people in 2012,

and in terms of land mass, it covers approximately 460,000 square kilometres. Around 87% of the population lives in

rural areas of PNG’s varied and rugged terrain that supports an extraordinary range of ecosystems and biodiversity,

most of which are inaccessible by road. The country has a rich and unique cultural and ethnic diversity, with some 854

languages spoken by a population distributed over the mainland and the many islands. The population is forecasted

to grow to more than 11 million by 2050. Currently 40% of the population is under the age of 18.

Legitimate land ownership and the right to exploit most natural resources are vested with the people and protected by

the constitution. Land tenure is divided into two categories, Alienated Land and Customary Land. The former takes up

3% of total land mass, and is owned and administered by the State through leasehold and freehold interest. The latter

consists of the remaining 97% and is owned by the indigenous peoples5 of PNG whose ownership rights and interest

is regulated by their customs.

1.4 Climate Change in the Forestry Context

PNG has one of the most significant areas of largely intact tropical forest in the world, though these forests appear to

be facing acute and imminent threats. Together with Irian Jaya (Papua) Province of Indonesia, the forests of PNG are

the third largest expanse of rainforest on earth after the Amazon and Congo basins.

Forests are vital resource for the local population particularly in remote PNG. They provide food, fibre, building

materials, and support a variety of wildlife, ecosystem services such as carbon sequestration, watershed protection,

water supply, soil stability and fertility. Almost, 85% of the population rely directly on subsistence farming and the

forests for their basic needs and have little if any contact with the formal economy.

3 Marginalized refers to individuals or group of people within a community that are regarded as less important
or insignificant due to their lower status within the community,
e.g. individuals or group of people who have user rights to a forest area or land.
4 Vulnerable refers to elderly, young and poor (source: World Health Organization).

5 The Guidelines will use the term “customary landholders” to refer to indigenous peoples and communities who have customary rights and user-rights over land and
resources on the land and on sea. It also recognizes that there may be communities who do not own land, but may be accorded use rights over land and resources on
the land. It includes other primary users of the forests who may not be formal “customary landholders”, such as women, youth, marginalized and vulnerable groups who
play either a direct or indirect role in forest management and use.
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The forest resources also represent an important renewable and natural asset, which can be utilized on a sustainable

basis to generate wealth in support of socio-economic development. In Papua New Guinea, the forest industry is one

of the few industries that operate in remote areas of the country. The industry creates opportunities for rural

communities to enter the formal workforce and improve their standard of living using money earned as wages. Also,

forest companies operating in the logging area create basic infrastructure such as roads, bridges, schools and health

centres. In the absence of government support, the presence of the forestry industry in rural areas is usually seen as

a proxy for government with communities becoming entirely dependent on the forestry operations to act as the

government body and the business entity to provide service to the community.6

In terms of financial contribution, PNG’s real GDP was about K8,084.4 million in 2005.7 The agriculture, forestry and

fisheries sector contributes about 38.5% to the real GDP.8 Using the relative values of exports generated by the forestry

sector alone in 2005, this suggests that forestry’s contribution to real GDP in 2005 was as high as 9.2% of total real

GDP. Other contributions from the forestry sector include – Central government revenue contribution. Apart from

royalty payments made to landowner groups and the provision of services in remote areas, the forestry industry also

makes substantial contributions to state revenues in the form of both income tax payments and log export tax

payments. Log export tax payments alone in 2005 equates to 2.4% of total central government revenue (excluding

receipts from borrowings)9.

Also, export earnings from forestry contribute significantly to government revenue, which underpin and enable a very

large percentage of national and provincial government spending. The forest industry has mainly been log export

oriented. About two million cubic metres of tropical logs are exported annually making PNG the world’s second largest

exporter of tropical logs after Malaysia. 10 According to PNGFA, in 2005, the export of forest products represented 4.7%

of the value of all exports from PNG (K10,147.5 million) making forest products the largest non-mineral export from

PNG in terms of value11. This makes forestry the second largest contributing sector to PNG’s economy after the mining

and petroleum sector.12 However, it is expected that export earnings from the forestry sector will decline in the coming

years due to a slowdown in export markets.

6 http://www.forestry.gov.pg/site/page.php?id=40
7 Ibid.
8 Ibid.
9 Ibid.
10 Ibid.
11 In 2007 Percentage of GDP by Economic Activity in the Agriculture/forestry/fisheries sector is estimated at 32 percent. In 2008 and 2009, there was an estimated

increase in percentage from 34 – 35 percent. In the following years from 2010 to 2016, the percentage is predicted to drop considerably from 35 percent at 2009, to about
31 percent in 2010 and 2011. Again, this is predicted to drop further to about 24 percent in 2016 (source: NSO and Treasury forecast).
12 Ibid.

11
Another area of contribution is employment. The forestry sector employs directly about 7,000 people with half working

in logging operations and the other half employed in other activities such as veneer processing, timber processing,

carpentry, and supporting workshop/engineering services.13 Downstream processing of forest products in PNG have

for the last several years, been the fastest growing manufacturing sector of the economy. Log exports have declined

by over 33% since the Asian currency crisis of 1997, and declined again in 2004 compared to 2003; this at a time

when other exporting countries are increasing production and exports. On the other hand, exports of downstream

processing products have increased by over 200% since 1997 (in US dollar value) and by almost 10% in 2004

compared to 2003.14

The changing global climate has been attributed to increasing greenhouse gases, and deforestation and degradation

of tropical forests has been estimated to be responsible for approximately 18% of global anthropogenic emissions of

carbon dioxide (CO2), larger than the entire global transportation sector.15 In PNG alone deforestation and degradation

through logging and agricultural activities (including subsistence agriculture, agriculture leases and commercial

agriculture) contribute 95% of the country’s total emission, while the other 5% comes from mining, petroleum,

manufacturing, transport and the energy sectors.16

It is very challenging for PNG’s economy to completely do away with logging activities in the forestry sector; however,

the sector may need to adapt to changes in market demands and trends in order to still contribute to the country’s

economy. REDD+ is therefore seen as a suitable mechanism for PNG to reduce its higher emissions in the land use

and land-use change and forestry sector, yet can contribute to its economic developments and GDP. REDD+ benefits

are multiple, and provides an opportunity for the country to bring about sustainable development to rural communities

as-well as to encourage the local communities to preserve their forests from logging, oil palm and other land use

activities that will cause destruction to their standing forests.

1.5 REDD+ and Social Safeguard

PNG being a strong advocate of REDD+ under the UNFCCC and a partner country under the UN-REDD Programme,

the GoPNG has recognised the critical role of customary landholders in the long-term sustainability and effectiveness

of REDD+, and has prioritised stakeholder engagement from its inception, with the goal of supporting the

implementation of the UNFCCC Cancun safeguards for REDD+ that requires: “Respect for the knowledge and rights

13 http://www.forestry.gov.pg/site/page.php?id=40
14 http://www.forestry.gov.pg/site/page.php?id=40
15 http://www.redd-oar.org/
16 Source: REDD+ Technical Working Group (2010).

12
of indigenous peoples and members of local communities, by taking into account relevant international obligations,

national circumstances and laws, as well as noting that the United Nations General Assembly has adopted the United

Nations Declaration on the Rights of Indigenous Peoples [UNDRIP]” and “The full and effective participation of relevant

stakeholders, in particular indigenous peoples and local communities” A key component of effective stakeholder

engagement and consultation is FPIC (FPIC), which is set out in the UNDRIP.

Learning from the experiences of other income generating industries such as mining, petroleum and logging,

introducing REDD+ will also bring with it greater risks to customary landholders and other stakeholders, such as

women, youth, other marginalized and vulnerable forest users, who will be directly affected by the activities. It does

not just affect their livelihoods, welfare, and income, but also their social order, identity, and culture. Given that these

customary landholders and stakeholders either own and/or depend on forest resources that are on ancestral and

customary lands managed sustainably over the generations, lessons from these industries also show that the success

of REDD+ implementation will be affected by their full and effective participation. It is fundamental that their needs,

rights and interests are recognized and addressed in the design and implementation of REDD+. In this effort, ensuring

participatory and inclusive REDD+ interventions, consultation and participation, which effectively engage both men

and women stakeholders in decision-making, can help result in a greater likelihood of sustained change in the way

forest resources are used, thereby contributing to the sustainability of the REDD+ activities.

An Officer from CCDA conducting FPIC consultation with a group of villagers in the April-Salumei REDD+ Pilot Project area.

13
2. Free, Prior and Informed Consent

The right to Free, Prior and Informed Consent (FPIC) is seen as one of the key principles of international human rights

law to protect customary landholders and local communities from serious negative impacts on their lives, cultures and

livelihoods. Obtaining FPIC of customary landholders and local communities, before undertaking any REDD+

programs or activities on lands they own and/or use, is therefore an important requirement for all REDD+ proponents

in PNG.

To date, there is no internationally agreed definition of Free, Prior and Informed Consent (FPIC). A plain and general

description of FPIC is:

“The right to participate in decision-making and to give, modify, withhold or withdraw consent to an activity affecting

the holder of this right. Consent must be freely given, obtained prior to implementation of such activities and be founded

upon an understanding of the full range of issues implicated by the activity or decision in question”.17

FPIC in the context of PNG is “the collective right of the people to give or withhold consent and applies to all activities,

projects, legislative or administrative measures, and policies that take place in or impact the lands and resources or

otherwise may affect the livelihoods of customary landholders and local communities”. Apart from being a collective

right, it is also “a consultative process where potentially affected landowners engage in an open and informed dialogue

with REDD+ proponents that are interested in developing REDD+ programs or activities in areas traditionally owned

and/or used by customary landholders and local communities”.

The implementation of the right to FPIC can be very challenging. It requires the identification of all potentially affected

customary landholders and local communities with customary rights to land or resources in and around the proposed

REDD+ project area and then, if these right holders are interested, an extensive and repetitious process of engagement

is carried out. During this process the affected communities must be given enough time and information to be able to

give or withhold their consent, free of coercion or manipulation, at various stages of the process. This process entails

among others, communication in ways the communities can understand, agreeing on inclusive decisions models,

capacity building, participatory mapping and participatory impact assessment and fair negotiations. It may result in a

negotiated consent agreement on the proposed REDD+ activities, or the affected communities may decide to withhold

their approval indefinitely, or until certain conditions are met.18

17 Taken from FSC guidelines for the implementation of the right to free, prior and informed consent (FPIC), Version 1, 30 October 2012.
18 Adapted from FSC guidelines for the implementation of the right to free, prior and informed consent (FPIC), Version 1, 30 October 2012.
14
Moreover, the affected customary landholders need to be fully informed and consulted during the process, and where

required, to freely give or withhold their consent for any REDD+ programs or activities that may potentially impact

them. These processes shall build on institutions and mechanisms to ensure effective and inclusive consultation and

participation that will act as a social safeguard to customary landowners who may be directly involved and be potentially

affected by any means or actions from the REDD+ program or activity. Customary landholders shall not only know

how they will benefit from the REDD+ program or activity, but also what the risks are before any decisions from their

part are required. However, respecting the right to FPIC cannot be reduced to a process with boxes that can be ‘ticked’

as they are completed. The right of customary landholders to give or withhold their consent to any developments that

may affect their land or territory is part of their collective right to self-determination as embodied in Papua New Guinea’s

National Constitution and enshrined by the National Goals and Directive Principles, including the right to determine

what type of process of consultation and decision making is appropriate for them.

2.1 Defining Different Elements of FPIC

The “principles of consultation and consent together constitute a special standard that safeguards and functions as a

means for the exercise of indigenous people’s substantive rights. It is a standard that supplements and helps effectuate

substantive rights, including the right to property, and other rights that may be implicated in natural resource

development”.19

FPIC can have the effect of reversing the historical pattern of exclusion from decision-making in order to avoid the

future imposition of important decisions on indigenous peoples, allowing them to continue to live as distinct landowners

on lands to which their cultures remain attached. 20

FPIC can be applied in REDD+ and any other activities that could significantly impact the substantive rights of the

indigenous peoples. It is important to note that FPIC is a collective or community right and not just an individual right.

(Refer to Annex 1: Key Principles of FPIC Process in REDD+ Development)

FPIC shall be sought before any of the following actions can be taken:

a) When making decisions on projects or programs that may take place in or impact the land and the sea,

resources or otherwise affect the livelihoods of customary landholders and local communities, including

REDD+, CDM, mining, petroleum, and other developments, including the use of sacred cultural sites, etc.;

19 Report of the Special Rapporteur on the rights of indigenous peoples, supra note 12, para. 49
20 Ibid., at para. 41.
15
 b) When making decision on the use of biological materials, traditional medicines and knowledge, including

artwork, dance and song;

c) When making agreements or treaties between government and the people;

d) When creating laws or policies that affect the people; and,

e) When undertaking actions that could lead to force removal of people from their land or country, etc.

The above list of actions is not exhaustive.

When considering activities, projects, legislative or administrative measures, and policies that may potentially affect

the lands, resources (or livelihoods) of customary landholders and local communities; governments and REDD+

proponents shall provide the potentially affected customary landholders the opportunity to give or withhold their

consent. Through mechanisms for consultation and participation, REDD+ proponents shall negotiate with the affected

customary landowners in good faith, without a predetermined outcome before making any decisions regarding the

development of the activity.

For government, this is much stronger than an obligation to just provide information or ‘consult’ to gauge the views of

the people at the implementation site. Governments and project proponents shall not impose their position onto the

people, without first taking their rights into consideration.

The following defines the different elements of Free, Prior and Informed Consent:

2.1.1 Free

Free refers to a process that is self-directed by the customary landholders from whom consent is being sought,

unencumbered by coercion, expectations or timelines that are externally imposed:

Process is free from coercion, bias, conditions, bribery or rewards;

Stakeholder determine process, timeline and decision making structure;

Information is transparently and objectively offered at all stakeholders request;

Meetings and decisions take place at locations and times and in language and formats determined by the

stakeholders; and,

All community members are free to participate regardless of gender, age or standing.

16
2.1.2 Prior

Prior refers to a period of time in advance of an activity or process when consent shall be sought, as well as the period

between when consent is sought and when consent is given or withheld.

Prior implies that no project activity implementation takes place, before a decision by the customary landowners

and local communities has been made.

Enough time is provided to understand, access, and analyse information on the proposed activity. The amount

of time required will depend on the decision-making processes of the customary landowners;

Consultation must occur before the proposed activity is finalized and implemented.

The decision-making timeline established by the customary landowners must be respected, as it reflects the

time needed to understand, analyse, and evaluate the activities under consideration.

2.1.3 Informed

Informed refer to the type of information that shall be provided prior to seeking consent and also as part of the on-

going consent process. This means that information shall:

Be provided before activities can be initiated, at the beginning or initiation of an activity, process or phase of

implementation, including conceptualization, design, proposal, information, execution, and following evaluation;

Be accessible, clear, consistent, accurate, and transparent;

Be delivered in appropriate language and format (including video, graphics, radios, documentaries, photos,

etc.);

Be given to the landowner communities about their rights as relevant to the project and possible impacts;

Be objective, covering both the positive and negative potential of REDD+ activities and consequences of giving

or withholding consent;

Be complete, covering the spectrum of potential social, financial, political, cultural, environmental impacts,

including scientific information with access to original sources in appropriate language;

Be delivered in a manner that strengthens and does not erode indigenous or local cultures;

The consultation shall be carried out in a culturally appropriate manner, be delivered by culturally appropriate

personnel, in culturally appropriate locations, and include capacity building of indigenous or local trainers;

Be delivered with sufficient time to be understood and verified;

Reach the most remote, rural customary landowners, women, marginalized and vulnerable; and,

Be provided on an on-going and continuous basis throughout the FPIC process.

17
To understand the type of information that shall be provided to customary landowners and local communities, REDD+

project proponents, shall refer to the “Guiding questions for affected landholders representatives and affected

customary landholders” in Annex 6 of the Guidelines. As structured, these questions may assist REDD+ project

proponents to devise and put together appropriate information to be disseminated to the customary landholders and

local communities.

2.1.4 Consent

Consent refers to the decision made by the customary landowners through their customary decision-making process21.

The collective right to give or withhold consent applies to all projects, activities, legislative and administrative measures

and policies (and their associated processes and phases) that may directly impact the lands, territories, resources,

and livelihoods of the customary landowners. Consent must be sought and granted or withheld according to the unique

formal or informal political-administrative dynamic of each community22.

Consent is:

A freely given decision that may be a “Yes” or a “No”, including the option to reconsider if conditions agreed

upon are not met, there are changes in the proposed activities or if new information relevant to the proposed

activities emerges;

A collective decision determined by affected people in accordance with their forms of decision making (e.g.

consensus, majority, etc.);

Based on full understanding of opportunities and risks associated with the proposed activity;

The expression of rights (to self-determination, lands, resources and territories, culture); and,

Given or withheld in phases, over specific periods of time for distinct stages or phases of REDD+

All parties are equal, neither anyone of them having more power or strength over the other;

Customary landowners’ decision-making processes must be respected and allowed to operate in an open and

transparent manner;

Customary landowners’ right to choose how they want to live is respected by REDD+ proponents; and;

If consent is not given, this shall be respected.

21 During decision-making processes, it is important that customary landholders need to guard against project developers who might attempt to establish their own
imposed processes when traditional decision-making processes already exist that can be easily used by customary landholders in making any decisions regarding
REDD+.
22 It is imperative that careful consideration be given to the traditional decision-making structures and most importantly existing disputes which may have been existent

between clans during FPIC consultations.

18
Hence, the greater the potential negative impact and damage that a decision or project will have on the peoples’ lives,

cultural integrity and country, the greater the need to reach an outcome that all parties can agree to. If an action is a

direct threat to the customary landowner, customary landowners’ survival or cultural integrity then they shall be entitled

to say ‘no’ to that action.

2.2 When is FPIC required?

An FPIC process is applicable in any programs or activities that may have potential impacts on the lives of the

customary landholders that are involved, and that consent is given or withheld collectively by the community. The

greater the impact of the program or activity, the more important it is to ensure adequate provisions to seek consent

are in place.

There are several scenarios recognized by UNDRIP in which the State/or Government is under an obligation to not

just seek, but secure the consent of the customary landholders and local communities concerned. States must consult

and cooperate in good faith with the customary landholders and local communities concerned through their own

representative institutions in order to obtain their free and informed consent prior to:

Relocating an indigenous population from their lands;

Taking “cultural, intellectual, religious and spiritual property”;

Causing “damages, takings, occupation, confiscation and uses of their lands, territories 23 and resources”;

“Adopting and implementing legislative or administrative measures that may affect them”; and,

Approving “any project affecting their lands or territories and other resources, particularly in connection with

the development, utilization or exploitation of mineral, water or other resources”.

Before storage or disposal of hazardous materials shall take place in the lands or territories of indigenous

peoples;24

PNG has signed and ratified five core Human Rights treaties. Relevant to this are ICCPR, ICESCR, CEDAW, CRC

and CERD. These conventions and treaties assert that States must secure consent from indigenous peoples through

their own freely identified representatives or institutions, with respect to any decisions “directly relating to their rights

and interests” and in connection to: mining and oil and gas operations (extraction of subsurface resources); logging;

the establishment of protected areas; construction of dams; development of agro-industrial plantations; resettlement;

23 In Papua New Guinea context the term ‘territories’ refers to customary and/or communal land “boundaries”.
24 UNDRIP, supra note 16, at Arts. 10, 11(2), 19, 28(1), 32(2).
19
compulsory takings; and any other decisions affecting the status of their land rights.25 The Convention on Biological

Diversity (CBD) which PNG is a signatory to also provides that FPIC is required before “access[ing] traditional

knowledge, innovations and practices of indigenous and local communities”. 26

For all REDD+ activities that is developed on a customary land and/or directly or indirectly may affect customary rights

of local communities, FPIC is shall be required.

2.3 At what Level is FPIC Applied?

FPIC is most often applied at the community or village or clan level where the program or activity will happen. However,

there may be components of a national REDD+ strategy that may affect the rights of customary landholders, such as

policies, laws or regulations related to changes in land tenure or benefit sharing. These components will require some

form of consent. As such, REDD+ proponents shall take note that when considering what level FPIC is applied, it is

important to differentiate between who seeks and who gives consent at the national, provincial, district and village or

clan levels.27

2.4 Who Seeks Consent?

There are generally two main groups of REDD+ proponents who will be required to seek consent for REDD+ programs

or activities. The first is government agencies, further categorised into national, provincial, district and local levels. The

second is project developers.

The following diagram illustrate on “Who is responsible for REDD+” and are required to “seek consent” from customary

landholders. It is the government that is ultimately responsible for securing FPIC in the REDD+ activity. Accordingly, it

is the duty and obligation of the government and a right of the affected landholder communities (project communities).

25 See supra note 33 and the Legal Companion.

26 Convention on Biological Diversity, Art. 8(j).
27 Note that REDD+ Proponents hereafter referred to as National and Sub-national Governments, hence any activities of REDD+ in the country at the national and sub-

national level will require consultation with respective governments before they can be implemented. Similarly, REDD+ customary landholders are the indigenous people
within the identified REDD+ resource community and are required to give their consent to any activity of REDD+ taking place at their land or boundary.
20
2.5 Who Gives Consent?

Village/Clan Level

REDD+ programs or activities are expected to take place at the village or community level, mostly on customary owned

land. Therefore consent shall be given by customary landholders and/or local communities directly or indirectly affected

by the REDD+ program or activity. Consent has to be obtained at the clan level, as the clan is the landowning entity

able to make overall land and resource use based decisions.

Where landholders are represented through Incorporated Land Groups (ILGs) or any other body, the group or body

shall be formed transparently, with the free and informed consent of clan members, including the free and informed

consent of women:

On genealogy of the group.

On the customary rules, norms and values that apply to land and resource rights.

On the written constitution of the group which shall reflect their customary rules and laws and may refer to

general verbal agreements on these in case of low literacy rates within the group.

On the appointment of the groups dispute resolution authority.

21
If no ILG or other representative body exists, free, prior and informed consent has to be given by all traditionally

recognised landowning groups (at the minimum at the clan level representation) through public meetings at the village

level. It is important that interviews with customary landholders and local community members at village level confirm

that public meetings have been held at the village level and that free, prior and informed consent was given.

Hence, there shall be no evidence of a genuine dispute over the authenticity of the Incorporated Land Groups

representation or any other body representing the customary owners within the REDD+ project area. Likewise, there

shall be no evidence of a genuine dispute over the authenticity of the free, prior and informed consent of the

clans/communities to join a REDD+ program or activity.

Furthermore, it is understood that in PNG, about three (3) per cent of the land is privately owned while 97 percent is

traditionally owned. The latter also owns resources on the land. With exception, there are minorities who do not own

the land that they live or reside in, but have user-rights over the land. These minorities may include women, youth, and

the marginalized and vulnerable groups.

Also, while respecting the norms, values and customs of the customary landholders and local communities involved

and the consultation and decision-making methods they utilize28, it is strongly encouraged that women from the

affected local communities or clans, are represented in the decision-making process (Refer to Annex 2: Effective and

Equitable Gendered Participation and Representation in Decision-Making). PNG’s national constitution also, openly

proclaimed Equality and Participation as one of the country’s four aims under the country’s ‘National Goals and

Directive Principles’. Gender balance in participation and decision-making is declared in the country’s national

constitution and therefore it shall be strongly encouraged and followed by all interested parties of REDD+.

However, utmost care shall be taken by REDD+ proponents when facilitating consent from customary landholders or

local communities to ensure that urban based clan/community members do not dominate or steer decision-making

processes, as there are many examples of town based people using their privileged position in terms of education and

access to take advantage of their own community/clan members. The preferred process is to point out the multiple

benefits and risks (or pros and cons) of this possibility to the community/clan involved, who can then decide themselves

on if and how their urban based community/clan members could best be included in the FPIC process. FPIC must be

always conducted in the local community (project site) for transparency. Therefore project proponents should avoid

conducting FPIC in urban centres by bringing in pre-selected community and clan leaders together to discuss on the

28What is view as gender imbalance is a result of the Matrilineal and Patrilineal societies in PNG. Being mindful not to imply that gender inequality takes precedence over
decision making within the country, strong consideration should also be given to the country’s norms and customs – especially within the rural areas where strong ties to
customary practice still linger. Hence traditional responsibilities as a result of subsistence lifestyle have to be taken into consideration during the FPIC process.
22
project as this is not a fair representation of the communities, and the views of those who will be affected. On the other

hand, community members with substantive rights who may be living away from the community should also be

considered for initial consultations. Project proponents should also be mindful of the time they choose to carry out their

FPIC processes, ensuring that ample time for the community to be notified and be available. Hence enough time shall

be allowed for consultations with the affected communities to safeguard the REDD+ activity from future potential

grievances that may affect its implementation.

National, Provincial and District Levels

In the development or implementation of a National or Provincial REDD+ strategies, it is possible that policies, laws

and regulations may be introduced, revised or terminated. Some of these changes may impact the lives of many

customary landholders, whose consent must be sought. It may not be possible or feasible to seek consent from each

village or local community at one time. A suggestion is to get three to four neighbouring villages at a time for one

meeting at a central location;

Table 1: Summary of Who Seeks and Who Gives Consent/Permission
however, this will depend on Level Consent points Key proponents responsible Key proponents responsible
to seek consent to give or withhold consent?
the overall costing of the National Policies, laws and regulations National government through a National representatives of
related to REDD+ that affect designated agency such as customary landholders
customary landholders CCDA, PNGFA, CEPA, DLPP,
exercise, again this may be DAL, etc.
Provincial Land-use plans directly or Provincial government through Provincial representatives of
impractical for the government indirectly related to REDD+ that a designated agency affected customary
affect the customary nominated by the Provincial landholders
in terms of securing the landowners, for example, Administrator such as JPP &
provincial forest plan BPC, Provincial Executive
Council, Provincial
required funding and Management Team, Provincial
Forest Officer, etc.
resources to completely cover District Land-use plans directly or Provincial government through Provincial and/or District
indirectly related to REDD+ a designated agency representatives of affected
all the potentially affected nominated by the District customary landholders
Administrator such as district
level JDP & BPC, District
communities. In this case, the Executive Council, District
Management Team, District
key is to identify who the Development Authority, District
Forest Officer, etc.
legitimate representatives of Village/Clan REDD+ activity Project proponent Affected Clan and Village
representatives
the customary landholders at Village/Clan Interest to develop REDD+ Village / Clan representatives CCDA
activity PNGFA
each of these levels are, and Provincial Administrator
District Administrator
where representation does not

exist, how they will be selected in ways recognized by both the customary landholders and the government.

In practice, the government shall not only conduct good faith consultations with customary landholders associations

and networks, but also with its three-tier governance system of national, provincial, district and local levels of

23
government. Table 1 provides a summary of “who seeks” and “who gives” consent or permission at all the levels

mentioned.

2.6 Outcome of the FPIC Process

The outcome of the FPIC process shall be well-documented in writing and made publicly available and accessible.

The written document shall clarify if consent was provided or withheld, what the terms and conditions of the consent

were, and it shall affirm that the decisions therein are binding and enforceable. 29 Particular attention shall be given to

the accuracy of records; the methods in which feedback from affected REDD+ customary landholders and/or local

communities is incorporated; how the records are disseminated; and how these REDD+ customary landholders and/or

local communities can access records.

It is the duty of the REDD+ proponents to document the whole FPIC process. Ideas, questions and concerns raised

by different stakeholders, including related government institutions, NGO, CSOs, and women’s groups, private

institutions, landholder groups, local village community and/or resource-owners, shall be captured, well documented

and shared with the national government bodies responsible for REDD+ management. This is very useful in reviewing

the whole process in the event a grievance or dispute arises. Moreover, it also helps in making it much easier for future

evaluations of the whole FPIC process by a third party and to verify if consent is actually given by customary

landholders and/or local communities. Documenting sensitive issues about the customary landholders and/or local

communities can be very difficult. However, REDD+ proponents shall ask the potentially affected customary

landholders what is sensitive and what is not, and what is permissible to document (i.e., location of sacred sites, details

about cultural rites and other activities).30

REDD+ proponents are also expected to go back to the customary landholders and/or local communities and to inform

them of the outcomes of the FPIC consultations implemented because not all members of the communities may be

present and/or have participated in the entire consultation processes. Suggestions include verbal transmission and in

writing. Also, it is important that customary landholders and/or local communities keep a written copy, provided in an

appropriate language and format, of the outcome of the FPIC consultation for their future references.

Any land or forest resources belonging to customary landholders and/or local communities within the vicinity of the

REDD+ activity that are not subject to the consent shall not be included in the proposed REDD+ activity. Where consent

was given with conditions, these conditions must be monitored against mutually agreed timescale. If they are not met,

29 UN-REDD Programme (January 2013). ‘Guidelines on Free, Prior and Informed Consent’.
30 Ibid.
24
customary landholders and/or local communities may review and either reaffirm or refuse consent. 31 Consent is

therefore an interactive process between REDD+ proponents and customary landholders.

However, given the significant time and resources that may have been invested by REDD+ proponents during the

process, customary landholders and local communities shall be responsible in its decisions and shall not withdraw

consent arbitrarily; thus, if the conditions upon which the original consent was based are being met, on-going consent

is implied.32 If there is disagreement over whether conditions are being met or not, customary landholders and local

communities can express their grievances with the relevant national-level grievance mechanism (which may have

functions at the community and/or sub-national level).33 However to avoid this situation, it is important that the original

consent by customary landholders and local communities shall not be rushed based on proponents implementation

schedule.

31 Ibid.
32 Ibid.
33 Ibid.

25
PART A: NORMATIVE & POLICY FRAMEWORK

26
3. Normative Framework
The Normative Framework basically gives more emphasis on Papua New Guinea’s national and international

obligations on climate change and human rights under the UN Conventions. Particularly where human rights is a

concern in REDD+ implementation in the country, the PNG National Constitution and the recently endorsed Climate

Change (Management) Act 2015 by the National Parliament on the 28th of July 2015 sets the benchmark framework

for implementing FPIC in the country. Section 87 of the Climate Change (Management) Act 2015, provides the legal

backing for implementing free, prior and informed consent process in REDD+ projects and activities in the country,

Similarly, Papua New Guinea is a party to many international treaties and or conventions that advocates climate

change and human rights. As a Party to these conventions, PNG is obliged to fulfil its international obligations under

these conventions. It is understood that these obligations also provides the basis for a legal framework for FPIC

implementation in the country. Consequently, all REDD+ programs and activities in the country shall be developed in

line with these national and international obligations.34 Hence it shall be a requirement for REDD+ proponents to ensure

these national and international obligations are followed in order to respect customary landholders’ and local

communities’ rights in the establishment of REDD+ programs or activities.

3.1 National Obligations

PNG has made efforts to contribute to the global cause to promote a Greener Earth. PNG’s National Constitution

(Refer to Annex 3: PNG National Constitution and Annex 4: PNG National Goals and Directive Principles) reflects the

aspiration to promote sustainable development and to be effective custodians of natural capital. A country filled with

abundant natural resource, the government’s obligation is to ensure the benefits derived from the extraction of these

natural resources trickle down to all Papua New Guineans.

The National Constitution shares the same view as ILO Convention 169 and UNDRIP, thus making references to basic

human rights and democratic good governance process to any form of developments in the country, thereby upholding

the right of customary landholders to an informed consultation process before any form of developments can take

place. The concept of FPIC spells out clearly the importance of human rights and is clearly written in the National

Constitution of PNG that the rights of people need to be respected through informed consultation process before any

development can take place. Further, various national laws under the Oil and Gas Act 1998 35 (No. 49 of 1998), and

34National Obligations refers to the National Constitution and relevant national laws of PNG, whilst International Obligations refers to relevant International laws, treaties
and conventions which PNG is a party to and is obliged to follow when implementing REDD+ programs or activities.
35Division 5, Section 47 of the Oil and Gas Act, No. 49 of 1998 calls for ‘Social Mapping and Landowner Identification Studies’ as a condition to the issuance of petroleum

prospecting license for participation in Papua New Guinea’s oil and gas industry. This section allows for in-depth landowner consultation and agreement before any
petroleum licenses are issued for any project developments in the oil and gas sector.
27
Forestry Act 1991 and Forestry (Amendment) Act 1993, 1996, 2000 and 2005 give some emphasis to the principle of

free, prior and informed consent, but are more focused on the sectors and the industries (Refer to Annex 5 for National

and International Legal and Policy Frameworks). FPIC is fundamental to the rights of participation, consultation, self-

determination, indigenous property rights and the right to culture.

Sections 32-56 of the National Constitution comprise Basic Rights36, Qualified Rights37 and Special Rights of

Citizens.38 Particularly Section 51 clearly emphasized on the right to freedom of information which is the underlying

objective in FPIC. The enforcement of these rights by the Courts and other tribunals are governed by section 57 and

58 of the National Constitution. While these sections concentrate on the rights of citizens, Section 255 of the National

Constitution however talks about having an effective stakeholder consultation process. Section 255 merely

emphasized on having a meaningful consultation that will allow for genuine interchange of information and views

between all parties concerned in the project activity 39. This section is more supportive to the work of free, prior and

informed consent, in the sense that it allows for an effective stakeholder consultation process that requires the right of

all parties to seek equal consent when establishing a project.

PNG’s National Constitution also openly declared the following five aims as crucial for the country when dealing with

issues or activities that will affect all Papua New Guineans – “Integral Human Development; Equality and Participation;

National Sovereignty and Self-reliance; Natural Resources and Environment; and Papua New Guinean Ways” as the

country’s ‘National Goals and Directive Principles’, and thus directed all persons and bodies, corporate and

unincorporated, to be guided by these directives in pursuing and achieving the countries national aims, consequently

promotes the right of Papua New Guineans to be protected from any activities, whether economic, social or political

that may have consequences on the livelihood, land and resources of the people.

Moreover, the recent endorsement of the Climate Change (Management) Act 2015 by the National Parliament

reaffirms the country’s national and international obligations on human rights. Particularly Section 87 of the Act

provides the legal backing for FPIC as a national law in the country. This entails that all climate change-related activities

carried out in land own by traditional communities in Papua New Guinea must undergo an FPIC process prior to its

development. Consequently, it is therefore a legislative requirement for FPIC in REDD+ implementation in Papua New

Guinea.

36 Ss. 32-37 – The right to freedom, life, freedom from inhuman treatment and the right to protection of the law.
37 Ss. 38-49 – Freedom of the person, freedom from forced labour, freedom from arbitrary search and arrest, freedom of conscience though and religion, freedom of
expression, freedom of assembly and association, freedom of employment and the right to privacy. These rights are not absolute but qualified by having regard for what
affects the general welfare of the nation and public order etc. (ss. 38-41)
38 Ss.50-56 – The right to participate in the political process and hold real property.
39 Section 255 of the Constitution states that: In principle, where a law provides for consultation between persons or bodies, or persons and bodies, the consultation must

be meaningful and allow for a genuine interchange and consideration of views.

28
3.2 International Obligations

Free, Prior and Informed Consent has now become a requirement for REDD+ under the UNFCCC. The Cancun

Agreement gives more emphasis on respect for knowledge and rights of indigenous people and members of local

communities by taking into account relevant international obligations, national circumstances and laws, and noting that

the United Nations General Assembly has adopted the United Nations Declaration on the Rights of Indigenous

Peoples. Besides that, it also gives more emphasis on the full and effective participation of relevant stakeholders in

particular indigenous peoples and local communities in REDD+ actions. In strengthening this, the UN-REDD

Programme ‘Guidelines on Free, Prior and Informed Consent’ asserted that UN-REDD Programme partner countries

are required to seek FPIC from right-holders who may be affected by the decision/policy/activity in question. As a

partner country under the UN-REDD Programme and a signatory to the Cancun Agreement, it has become a

requirement for GoPNG to ensure FPIC becomes an important safeguard for making decisions and policies concerning

implementation of REDD+ in the country.

As the Legal Companion40 to the UN-REDD Programme Guidelines on Free, Prior and Informed Consent

demonstrates, Free, Prior and Informed Consent has been affirmed and elaborated upon in multiple binding regional

and international instruments as well as the interpretative decisions of their monitoring bodies 41. PNG’s national

constitution and relevant laws in the extractive industries also give more emphasis on community consultation and

engagement, and that people have the right to be consulted, and to give their consent on activity(ies) that may concern

their land and resources.

3.3 PNG and UNFCCC

PNG has played important key roles in international negotiations on REDD+. As a key player in REDD+ negotiations,

PNG was very instrumental in advocating REDD+ under the United Nations Framework Convention on Climate

Change (UNFCCC) and related meetings. Since introducing the idea on REDD with Costa Rica at COP-11 in Montreal,

Canada in 2005 as a new agenda item for negotiators to debate over at the UNFCCC, PNG has worked very hard

over the years for the world to recognize the value of its forests as the world’s carbon stores. Over the course of the

climate change negotiations, the concept has expanded to REDD+, i.e. reducing emissions from deforestation and

forest degradation, and the role of conservation of forest carbon stocks, sustainable management of forests and

enhancement of forest carbon stocks.

40 http://www.unredd.net/index.php?option=com_docman&task=doc_download&gid=8792&ltemid=53
41 UN-REDD Programme (2013), Guidelines on FPIC, pg. 18, para. 4.
29
In COP-15 at Copenhagen, although the meeting did not lead to a legally binding agreement, the meeting however,

recommended rapid action on REDD+. Papua New Guinea has therefore chosen to support the Copenhagen Accord

and has worked through the Paris-Oslo process to promote an interim REDD+ agreement as a prelude to a globally

applicable, legally binding climate change treaty.

Later in 2010 at the Cancun COP-16 Climate Change Conference in Mexico, Papua New Guinea and other coalition

of rainforest partner countries negotiated strongly to include REDD+ in the Cancun Agreement. The Cancun

Agreement was considered as a success for REDD+. The Agreement contains important prerequisites vital to ensuring

that REDD+ will yield positive results for forest, forest-dependent communities and the climate. These important

prerequisites provides a safeguard to REDD+ and covers a range of issues including the conservation of natural forests

and biological diversity, transparent and effective national forest governance structures, respect for the knowledge and

rights of indigenous peoples and local communities, and the full and effective participation of stakeholders.

PNG has made significant progress domestically to meet its international obligations, in particular by establishing

institutional and management arrangements related to climate change and REDD+. National climate change readiness

efforts began in 2008 with the establishment of an Office of Climate Change and Environmental Sustainability, which

was disbanded and later re-established in 2010 as Office of Climate Change and Development (OCCD). Since its

creation OCCD has made broad progress in identifying and developing key overall climate change and REDD+

strategies. These have included a Climate-Compatible Development Strategy (CCDS), REDD+ Roadmap and national

REDD+ Guidelines. Furthermore, GoPNG has also endorsed five REDD+ pilot initiatives, including demonstration

activities initiated by conservation NGOs to learn from lessons gained to guide its policy development process on

REDD+. The objective of these pilot activities is to test the strategies developed in collaboration with key implementing

partners’ in-country and abroad in order to guide REDD+ policy and legislative development process in the country.

In 2015, the Office of Climate Change and Development was superseded by the Climate Change and Development

Authority (CCDA), with the enactment of the Climate Change (Management) Act 2015, as a legal entity and focal point

for all climate change related issues in PNG. Since its establishment it has negotiated, agreed and signed the Paris

Agreement 2015, and has been the first country to submit its National Climate Change Action Plan called the Nationally

Determined Contribution (NDC) under the Paris Agreement 2015, and being one of the first few countries in the world

to have ratified the Paris Agreement 2015 in the consecutive year.

30
3.4 PNG and Other Related Conventions

Papua New Guinea signed and ratified many other international conventions and treaties that also recognized the

importance of conserving the environment and human rights. PNG made its commitment to the protection of the

environment by signing the Convention on Biological Diversity (CBD) on 13 June 1992 and later ratified to shows its

full commitment to the Convention on 16 March 1993.42 The CBD recognize that indigenous knowledge may only be

used with prior approval and requires national governments to protect indigenous cultures and peoples. The signing

and ratification of the Convention is a demonstration of PNG’s commitment to its obligations under the Convention.

This also provides the interests and opportunities and at the same time issues of concern that PNG expresses on the

development and conservation of our rich and unique biological diversity, and to build linkages to UNFCCC and the

United Nations Convention to Combat Desertification and Drought in those Countries Experiencing Serious Drought

and/or Desertification.43

In the subsequent years, PNG also signed and ratified many other international treaties for the protection of

environment and indigenous community rights.

3.5 International Treaties on Human Rights

PNG has ratified five of the core human rights treaties ranking PNG, the third highest number in the Pacific behind

New Zealand and Australia. These include the International Covenant on Civil and Political Rights (ICCPR),

International Covenant on Economic, Social and Cultural Rights (ICESCR), the International Convention for the

Elimination of All Forms of Racial Discrimination (CERD) and the Convention on the Rights of the Child (CRC). More

emphasis on the role women play can also be found in human rights law such as the Convention on the Elimination of

All Forms of Discrimination against Women (CEDAW) and the United Nations Declaration on the Rights of Indigenous

People, which assert that “women have the right to equality in the exercise of the right of indigenous peoples to

participate in both internal and external decision-making processes and institutions”.44 PNG joined the United Nations

in 1975 and on the 11 May 2011 extended a standing invitation to all the thematic mechanisms of the United Nations

Commission on Human Rights to visit the country.

In 1997, GoPNG approved in principle the establishment of a human rights commission for PNG with the minimum

standards set by the Paris Principles.45 This commitment was reaffirmed in 2007 with the presentation of the 2007

42 http://www.cbd.int/information/parties.shtml
43 Government of Papua New Guinea (December 2006). Papua New Guinea’s National Biodiversity Strategy and Action Plan.
44 EMRIP Final Report on the right to participate, supra note 11, para. 36.
45 http://lib.ohcr.org/HRBodies/UPR/Documents/session 11/PG/A_HRC_WG.6_11_PNG_1_E.pdf

31
Final Option Paper on the establishment of the PNG human rights commission;46 and in 2008 a draft organic law on

the establishment of human rights commission was prepared; 47 however, the draft Bill is yet to go through the

parliamentary process to establish the institution. 48

46 Ibid.
47 Ibid.
48 http://en.wikipedia.org/wiki/Human_rights_in_Papua_New_Guinea

32
4. Policy Framework

The Policy Framework of the Guideline stresses on the importance of having a government approach to implementing

free, prior and informed consent in REDD+ programs or activities. Inter-agency collaboration in REDD+ is very

important to ensure sustainability of REDD+. Proponents of REDD+ need to identify relevant key government

institutions and agencies that may play an important role in the implementation of REDD+. These are key government

institutions that need to be consulted and were necessary should be involved in the planning of the REDD+ activity or

program. It is understood that having an effective government approach in implementing free, prior and informed

consent process may lead to long-term sustainability of REDD+, thus minimizes the risks of reversal and allow for

permanence in REDD+ project.

4.1 What is the role of the Government of Papua New Guinea?

Policy options for REDD+ are required to clearly determine and align key greenhouse gas abatement activities to

national policies and strategies on climate change. This include the identification of drivers of deforestation and forest

degradation and proposed strategies to address these drivers in a coordinated manner taking into account the social

and environmental impacts, safeguards and governance issues and overall impacts to PNG’s development aspirations.

It also includes the alignment of key sectors and stakeholders and the identification of synergies among these sectors

to ensure successful REDD+ implementation. The role of the GoPNG is to ensure required policies, regulations and

Guidelines are established to safeguard and support the coordination of REDD+ implementation in-country. In ensuring

this happens, all key government agencies must collaborate and work together to ensure that required safeguards are

established to protect the local communities rights during REDD+ implementation in-country.

4.2 National-level Governance Structure for REDD+ Management in PNG

33
4.3 Climate Change & Development Authority

The GoPNG established the CCDA through the enactment of the Climate Change (Management) Act 2015, as a

legal entity responsible for the overall coordination of climate change mitigation and adaptation issues in the

country. The CCDA is the national focal point for all climate change related issues under UNFCCC, and is

responsible for the establishment of PNG’s National Climate Change Policy and legislation. The National Climate

Change Policy as approved by the cabinet provides the basis for which all cross-sectoral policies are developed to

manage climate change mitigation and adaptation issues in the country.

The mandate for CCDA is founded upon the principles of the Fourth Goal of PNG’s National Constitution, which

stipulates that “Papua New Guinea’s natural resources and environment are to be conserved and used for the

collective benefit of all and are replenished for the benefit of future generations.” The mandate is further derived

from NEC decision 54/2010, which specifies:

The National Climate Change Committee (NCCC) 49 and the OCCD50 as its secretariat take full and exclusive

responsibility for all policies and actions under Pillar Five of the Vision 2050, concerning Climate Change

and Environment Sustainability;

That the OCCD engages and involves all stakeholders to build a common vision and pathway on action to

tackle climate change; and,

That the OCCD works in close collaboration with, and in support of other departments and agencies to

achieve these goals.

The CCDA is entirely responsible for the overall coordination and management of REDD+ programs and activities

in the country, and is not directly involved in implementing these programs and activities in the country. The activity

or program is implemented by respective government agencies, NGO’s and private sector bodies or institutions.

However, it is the sole responsibility of CCDA to ensure relevant safeguards51 are put in place and followed by

REDD+ proponents when implementing the activity in the country in order to protect customary landholders’ rights

and livelihoods.

49 The National Climate Change Committee (NCCC) has been disbanded following a NEC decision No.137/2012 of 27 November 2012, which came into effect on 18
February 2013 and all responsibilities to oversee PNG climate change policy and legislations has been transferred to the State Minister for Climate Change
50 Currently referred to as CCDA (or Climate Change & Development Authority).
51 This include FPIC Guidelines, benefit sharing mechanisms, grievance mechanism, alternative livelihood options study for REDD+, REDD+ Project Guidelines, and

others.
34
 To ensure good governance in the implementation of REDD+, CCDA is tasked to ensure relevant Policies,

Guidelines, and Regulations are put in place by the national government to oversee and manage the

implementation of REDD+ in the country.52 The REDD+ Technical Working Group53 directly influences the

management and implementation of the activity or program in the country. It provides technical advice to the

government on policy and legislative matters on climate change mitigation, particularly on REDD+, thereby ensuring

a more coordinated approach to establish required Policies, Legislations and Guidelines to safeguard and manage

REDD+ in the country. The technical working group is managed and coordinated by the CCDA through the role of

its REDD+ and Mitigation Division.

4.4 Papua New Guinea Forest Authority

PNGFA takes the lead in driving REDD+ initiatives on the ground due to its existing policy framework on climate

change54 that guides the implementation of the activity. PNGFA is responsible for implementing the Forestry Act

1991 in its entirety and its associated regulations. The Act allows for the development of the National Forest

Development Guidelines which gives a significant direction to the “National Forest Plan” which underpins all forest-

based activities.

As the leading government agency, PNGFA plays a very close collaborative role with the CCDA, NGOs and the

Private Sector in trying to progress REDD+ initiatives, and utilize its technical expertise and experience from the

field to influence policy development process at the national level. Like the Department of Lands and Physical

Planning, PNGFA’s position as the custodian of the Forestry Act 1991 brings with it wealth of experience in ILG

consultation and awareness in the forestry industries, and provides useful contributions to the development and

implementation of REDD+ safeguards.

Also, as REDD+ implementing government agency, it will be directly involved in free, prior and informed consent

implementation in REDD+ activities. Similar experience is seen in the mining, petroleum and the liquefied natural

gas (LNG) sectors.

4.5 Other related Agencies

Other governmental bodies that will also play a crucial role in assisting REDD+ proponents to implement the FPIC

Guidelines for REDD+ successfully in Papua New Guinea include, but are not limited to the following:

52 This includes the national climate change policy and legislation, and specific sectoral regulations for the management of REDD+ in-country.
53 The REDD+ Technical working Group consists of key government institutions (including OCCD, PNGFA, DEC, DAL, National Planning, etc.) NGO partners, Civil
Societies, and Private Sector bodies. The TWG meets regularly on a monthly basis to discuss on REDD+ policies and implementation in PNG.
54 Forestry Climate Change Framework for Action (2008).

35
Department of Lands and Physical Planning (DLPP) – responsible for managing the alienated and

customary land in PNG, including support for land use plans at the national, provincial and district levels.

DLPP has wider experience in ILG consultation and awareness and its involvement with the local

community in land-use planning is vital for successful implementation of REDD+. Also, it’s involvement in

the establishment and implementation of REDD+ safeguards is very vital for successful REDD+ in the

country;

The Papua New Guinea University of Technology (UNITECH) – is mandated to build capacity in lands,

surveying and forestry, involving research and training on GIS, remote sensing and biomass. UNITECH

will prove useful in building the capacity of the potentially affected customary landowners on REDD+;

Department of Agriculture and Livestock (DAL) and/or National Agricultural Research Institute

(NARI) – responsible for managing agriculture and livestock in PNG. Managing food security is an

important function of DAL/NARI. DAL/NARI’s involvement in ensuring food security through provision of

alternative livelihood options for the community is important for successful implementation of REDD+;

Department of National Planning and Monitoring – is responsible for the overall national planning in

PNG. A bottom-up planning is required for REDD+ activities at the community level. In order to plan

development activities at the community level, national planning’s involvement will ensure activities are

captured in the District, Provincial and eventually the National level planning;

Department of Education – is responsible for the overall educational planning and implementation in the

country. Its involvement will identify opportunities to improve the educational standards and the literacy

level in the potentially affected communities;

Department of Health – is responsible for the overall health planning and implementation in the country.

Its involvement will ensure better health care and services are delivered to the community to improve

their health standards and life expectancies, decrease infant mortality rates, decrease maternity death

rates, and other health issues in the community;

Department of Community Development – its involvement will ensure necessary development and

associated community services are reached to the community, particularly the youths, the vulnerabilities

and/or disabilities, and the womenfolk;

36
 Department of Law and Justice Sector – oversees the overall management and implementation of land

court system through its National, Provincial and District court systems. Particularly, for REDD+, the

district court house will play an important role in solving land issues in the community in the event the

village mediation process does not succeed. Their involvement as well in the design of the grievance

mechanism is crucial to support the implementation of a national-level grievance mechanism for PNG.

In linking the National and Sub-National government systems in the coordination and management of REDD+

activities, PNG has a three-tier governance system consisting of (i) National, (ii) Provincial, and, (iii) District and

Local (Ward and Village) Levels of Government. Activities of REDD+ will be implemented in a coordinated manner

using the three-tier system thus linking the sub-national level to the national level government system.

Consequently, all REDD+ related activities, including free, prior and informed consent will be implemented at the

village community level in respective Provinces identified for REDD+ and reflected in policy decisions of the

government on national-level REDD+ implementation. The government at the national level will use its existing

three-tier government mechanisms to accommodate implementation at the community level. National Agencies

and/or Institutions at the national level include mainline Government Departments, Central Agencies and

Authorities. Most of these agencies have their headquarters located in the capital of Papua New Guinea, in Port

Moresby, while they also have provincial offices throughout the country. This system will be adapted for the

implementation of free, prior and informed consent processes in the country.

37
PART B OPERATIONAL FRAMEWORK

38
 A village along the lower Sepik swamp of the April-Salumei REDD+ Pilot Project.

5. Operational Framework

The Operational Framework of the Guideline provides a step-by-step process to implementing the process of free,

prior and informed consent in Papua New Guinea. The current approach adopted by GoPNG is a national approach

to implementing free, prior and informed consent at all levels of government (i.e., National, Provincial and District) and

at the Project or Community level (see section 3 below to distinguish type of users).

Users of the Guideline shall follow these steps and processes when they are undertaking a free, prior and informed

consent process in a REDD+ program or activity in Papua New Guinea.

5.1 Objective of Operational Framework

The main objective of the operational framework of the Guideline is to provide guidance to its users in the design and

implementation of a consultative and participatory process where free, prior and informed consent is required for

REDD+ programs and activities. This component of the Guideline provides a step-by-step approach to implementing

FPIC processes for REDD+ programs and activities at the National, Provincial/District, and at the Project Level (Village

Level).

5.2 Type of Users

The different level of users of this Guideline includes – National Government, Provincial Government, District and

Local Level Governments, and Project Developers/Proponents. However, to further distinguish type of users that are
39
required to use this guideline in implementing the free, prior and informed consent process, the following are few

examples; however this list may not be exhaustive:

REDD+ proponents, including National and Sub-national levels of government, as well as project

proponents/developers.

Non-Governmental Organizations (NGOs), Civil Society Organizations (CSOs) and other independent

experts working to support customary landholders and local communities or supporting REDD+ proponents.

Certifying bodies and independent observers/verifiers.

The guidelines also applies to stakeholders, in particular, customary landholders and local communities in or near

REDD+ project areas whose free, prior and informed consent is sought for the proposed REDD+ program or activities.

As will be subsequently outlined, users need to be aware of the requirements of FPIC and therefore shall follow the

guidelines accordingly when implementing REDD+ programs and activities in Papua New Guinea.

5.3 Three-Stage Approach

This Guideline uses a three-stage approach to guide its users to design a process for implementing free, prior and

informed consent in REDD+ programs (i.e., development of policies, legislations or regulations on REDD+) and

activities (i.e., projects). These approaches are further divided according to different categories and levels of users –

National, Provincial, District and LLG, and village/community level (i.e., project level).

The table below explains the three-stage approach in using the Guideline when conducting a FPIC process.

Table 2. The Three-Stage Approach

Stage Approach
This Stage helps to guide the user of the Guideline to determine if FPIC is required, and if so, the
Stage 1
level at which it is required.

This Stage helps the user of the Guideline to identify who they shall seek consent from and at
Stage 2
which level they fall under.

Outlines “indicative steps to implement FPIC” and is further segmented into three (3) sections – Section
Stage 3
A, at the National Level; Section B, at the Provincial and Sub-national Levels; and Section C, at the
Project level (or village/community level).

40
Diagram 3 represents the three-stage approach that will guide users of the Guideline to design a process for them to

implement free, prior and informed consent:

Diagram 3. The Three-Stage Approach in implementing FPIC.

Stage 1: Stage 2: Stage 3:

Applicability Identify user Steps to
of FPIC category conduct FPIC

5.4 Stage 1: Determine Applicability of FPIC

To determine whether an activity will require free, prior and informed consent, users should firstly determine if consent

is required for the activity proposed, and if so, at which level. Table 3 identifies the steps that users of the Guideline

shall take to determine the applicability of free, prior and informed consent.

Table 3: Steps to determine Applicability of FPIC

Steps Steps to determine Consent needed Consent not needed

applicability of FPIC
Determine if consent is If activities listed in Table 4 are marked YES, users If activities listed in Table 4 are marked
Step 1 needed (See Table 4, shall continue on to Step 2. NO, no further actions are required.
checklist to determine if However, it is recommended that good faith
consent is needed). consultations shall still be implemented for
activities proposed with a view to
agreement.
Determine “What” and at  If consent is needed at the National Level, users
Step 2 which “Level” consent is shall refer Stage 3, Section A.
needed.  If consent is needed at the Provincial or District or
Not applicable.
Local Level, users shall refer to Stage 3, Section B.
 If consent is needed at the Project Level, users
shall refer to Stage 3, Section C.

Step 1: Users shall start with a sample checklist below and determine if consent is needed.

Table 4 below provides a checklist55 to assist users in appraising their activity and whether or not the activity will

require FPIC in the context of their REDD+ programmes or activities. The list is not exhaustive, however, it is useful

that users of the Guideline shall take note of these requirements of free, prior and informed consent when establishing

55
Adapted from UN-REDD Programme (January 2013), “Guidelines on Free, Prior and Informed Consent”

41
REDD+ activities in the country. The proposed REDD+ activities shall always be checked against disaggregated

customary landowners to include men, women, youth, marginalized and vulnerable groups.

Table 4. Checklist for Appraising whether an Activity will require FPIC Yes/No
1. Will the activity involve the relocation/resettlement/removal of men, women, youth, marginalized and vulnerable groups
of an indigenous population from their lands?
2. Will the activity involve the taking, confiscation, removal or damage of cultural, intellectual, religious and/or spiritual
property from men, women, youth, marginalized and vulnerable groups from indigenous peoples/forest-dependent
community?
3. Will the activity adopt or implement any legislative or administrative measures that will affect the rights, lands, territories
and/or resources of men, women, youth, marginalized and vulnerable groups from indigenous peoples/forest-
dependent community (e.g. in connection with development, utilization or exploitation of mineral, water or other
resources)?
4. Will the activity involve mining an oil and/or gas operations (extraction of subsurface resources) on the lands/territories
of men, women, youth, marginalized and vulnerable groups from indigenous peoples/forest-dependent community?
5. Will the activity involve logging on the lands/territories of men, women, youth, marginalized and vulnerable groups from
indigenous peoples/forest-dependent community?
6. Will the activity involve the development of agro-industrial plantations on the lands/territories of men, women, youth,
marginalized and vulnerable groups from indigenous peoples/forest-dependent community?
7. Will the activity involve any decisions that will affect the status of men, women, youth, marginalized and vulnerable
groups from indigenous peoples/forest-dependent community’s rights to their lands/territories or resources?
8. Will the activity involve the accessing of traditional knowledge, innovation and practices of men, women, youth,
marginalized and vulnerable groups from indigenous and local communities?
9. Will the activity involve making commercial use of natural and/or cultural resources on lands subject to traditional
ownership and/or under customary use by men, women, youth, marginalized and vulnerable groups from indigenous
peoples/forest-dependent community?
10. Will the activity involve decisions regarding benefit sharing arrangements, when benefits are derived from the
lands/territories/resources of men, women, youth, marginalized and vulnerable groups from indigenous peoples/forest-
dependent community?
11. Will the activity have an impact on the continuance of the relationship of the men, women, youth, marginalized and
vulnerable groups from indigenous peoples/forest-dependent community with their land or their culture?
Source: UN-REDD Programme (January 2013), “Guidelines on Free, Prior and Informed Consent”

5.5 Stage 2: Identify User Category.

In this stage, the user of the Guideline needs to identify which category he/she fall under. There are two categories in

this stage – Category A “Government Proponent” and Category B “Project Developer”. This stage helps to identify

who is required to seek consent on the REDD+ program or activity.

Category A: Government proponent

 If the user of the Guideline is a REDD+ Proponent at the National Level, he/she shall refer to Stage 3,

Section A;

 If the user of the Guideline is a REDD+ Proponent at the Provincial and District Levels, he/she shall refer to

Stage 3, Section B.

42
Category B: Project developer

 If the user of the Guideline is a REDD+ Project Proponent, he/she shall refer to Stage 3, Section C.

For affected customary landholders and local communities who want to be prepared for free, prior and informed

consent process, they should refer to “Annex 6: Summary Guide for Affected Customary landowners in the FPIC

Process” to help them prepare for the process.

5.6 Stage 3: Indicative Steps to Conduct FPIC.

Stage 3 provides the indicative steps for users to conduct a FPIC process using the Guideline. These steps are

then further divided into three sections, i.e., Sections, A, B and C. Below explains in detail each section

Section A applies to all responsible government agencies, for example, CCDA, PNGFA, DAL and others, at

the National Level. Specific items for which consent is needed could be policies, laws and regulations on

REDD+ that may affect customary landholders;

Section B applies to government agencies at the Provincial, District and Local Levels for activities such as

Provincial REDD+ Strategies or activities; and,

Section C applies to proponents at the Project Level for REDD+ projects and activities.

5.6.1. Section A: Implementing FPIC at the National Level

When implementing free, prior and informed consent process at National level, the user of the Guideline shall follow

the key steps as highlighted in Diagram 4. Diagram 4 shows the indicative steps for implementing FPIC process by

Government agencies at the National level for policies, laws and regulations, etc. that relates to REDD+ which may

affect the livelihood of customary landholders and local communities.

The following steps summarises the key indicative steps for FPIC at the national level.

Step 1: Draft a proposal of REDD+ program or activity

 Develop a proposal of the program or activity for which consent is required in consultation with relevant key

stakeholders at the national and provincial levels including the private sectors, the non-governmental

organisations, civil society organisations and community based organisations. For instance, policies, laws and

regulations that may need to be created or revised in the development of a national REDD+ strategy.

43
Step 2: Identify stakeholders to be engaged

 In collaboration with relevant key stakeholders at the national and sub-national level (provincial and district

levels), identify those stakeholders whose consent is required at the national and sub-national level including

at the village community level. These may be those whose rights, livelihoods, identity, security, among others,

are likely to be affected by the proposed activity, for example customary landholders. These stakeholders

need to be disaggregated according to gender, by men and women, and shall include affected youths,

marginalized and vulnerable groups.

 Assess substantive right of these affected stakeholders.

 Identify the roles, priorities and contributions these affected stakeholders play in forest management and forest

use. For these affected stakeholders, identify legitimate national representatives, whether an entity or

individual.

 Determine whether these national representatives have been accorded rights to negotiate and/or decide on

behalf of the affected customary landholders.

 Identify other stakeholders that need to be consulted, for example, provincial or district government agencies,

civil society, women’s organizations and private sector.

 Collaborate with relevant civil society organisations, community based organisations, non-governmental

organisations, and women’s organizations to identify potential barriers to participation. Identify best practices

in overcoming barriers to participation.

Step 3: Design and implement appropriate consultation and participation plan for identified stakeholders

 Ensure design of consultation and participation plan is disaggregated by men, women, youths, marginalized

and vulnerable groups. Where relevant, include best practices identified in Step 2 above to ensure full and

effective participation.

 Collaborate with relevant key stakeholders including the private sector, civil society organisations, non-

governmental organisations, community based organisations, women’s organizations and/or ministries etc.,

in the design process, if necessary.

 Identify resources available to design and implement appropriate consultation and participation plan at the

national level.

 Determine what information shall be communicated.

44
  ‘Develop capacity development plans”56, where necessary, and awareness raising materials appropriate to

the capacity of affected stakeholders, by building on information collected in Step 2 above: roles, priorities,

contributions in forest management and forest use, best practices to address barriers to full and effective

participation.

 Identify how materials will be disseminated, for example, online via email or uploaded to websites, or through

meetings. These materials shall be easily accessible by all affected stakeholders. Ensure the fashion and

format of these materials are easily understood by men, women, youths, marginalized and vulnerable groups.

Written materials, where necessary, shall be developed to appropriate literacy levels of affected stakeholders.

 Determine how feedback and input will be received and documented, and how queries will be addressed.

 Consult affected national and sub-national (provincial, district and community) representatives to determine

how consent will be given or withheld.

 Conduct consultation processes as frequently as necessary.

Step 4: Revise and finalise proposal

 Incorporate feedback and ensure format of proposal can easily be understood by affected stakeholders.

 Disseminate to stakeholders in a timely manner, through various channels, while ensuring the duration for

feedback is adequate and sufficient. Document whether consent from designated national representatives of

affected stakeholders is given or withheld.

 Submit to relevant institutions for relevant action, for example, National Parliament or National Executive

Council.

Diagram 4 in page 46 summarizes the key indicative steps for implementing FPIC processes at the National Level.

56 Capacity Development Plans are very important to bring knowledge, experts and financialresources to build capacity of relevant key stakeholders including government,
NGOs, CBOs, CSOs such that they can carry out their responsibilities in the consultation and consent process.
45
 Diagram 4: Indicative steps to conduct FPIC process at the National Level

Step 1: Draft proposed policy or legal

proposal for initial consultation with
key stakeholders at National Level.

Will the relevant key stakeholders’ rights be No FPIC is required for the proposed
affected by the proposed Policy or Legal No policy or legal proposal.
proposal, etc.?

Yes
Example of key stakeholders:
• Government agencies
• Private Sector
• CSOs, CBOs and NGOs,
Step 2: Identify stakeholders to be engaged at the National level including • Women's Groups/Organisations
legitimate national representatives of affected customary landholders and • National Representatives of affected landholders whose
local communities. consent is sought, e.g. Landholder Associations, etc.

Are National Representatives of customary landholder and No further negotiations should be conducted by
landholder communities given the rights or mandate to No National Representatives on behalf of
negotiate/decide on behalf of customary landholders and customary landholders and local communities.
landholder communities.

Yes What is required when designing stakeholder consultation and

participation plan:
• Collaborate with key stakeholders.
• Determine what information needs to be communicated during
consultations.
Step 3: Design appropriate stakeholder consultation and participation
• Develop ‘Capacity Building Plans’ to upscale knowledge of
plan for the identified stakeholders at the National Level.
stakeholders.
• Identify and determine how awareness materials will be
disseminated.
• Determine the type of Grievance and Redress Mechanism that will
Negotiate with national level stakeholders to get their buy-in be applied.
and support on the proposed policy or legal proposal, etc. • Conduct consultation process as frequently as necessary.

Are relevant key stakeholders satisfied and willing to Proponents should cease or terminate
No
accept the proposed policy or legal proposal, etc.? development of the proposed policy or legal
proposal.

Yes

Proponents submit the proposed policy or legal proposal,

Step 4: Revise and finalise the proposed policy/legal proposal, incorporating all etc., to relevant National Level institutions for approval (e.g.,
comments and feedback received from stakeholder consultations. National Executive Council or National Parliament, etc.)

46
5.6.2 Section B: Implementing FPIC at the Provincial and District Levels

At the Provincial and/or District levels, when implementing free, prior and informed consent process for land use plans

that directly or indirectly relates to REDD+, users of the Guideline shall follow the key steps as highlighted in Diagram

5 on page 51. Diagram 5 shows the indicative steps to implement FPIC process by government agencies at the

Provincial and District levels for land use plans (i.e., Provincial and District forest plans, strategies, or REDD+ activities,

etc.) that directly or indirectly relates to REDD+ and may have consequences on the livelihood of customary

landholders.

The following steps summarises the key indicative steps for FPIC at the provincial and district level.

Step 1: Inform CCDA and other key stakeholders of its intention to participate in the intended REDD+

program or activity

 The Provincial Administrator through its appointed designated representative agency or divisions, for example,

Provincial Climate Change Office, and/or Provincial Forest Office, etc. shall inform CCDA and other related

key stakeholders of the intended REDD+ program or activity. An example could be a Provincial/District REDD+

Strategy or land use plans.

 Upon receiving the intention of the Provincial Government, CCDA shall acknowledge their interest to

participate in the intended REDD+ program or activity and thus advise them to pursue the intended REDD+

program or activity.

 The Provincial Government upon receiving acknowledgement shall initiate collaboration with OCCDA and

other key stakeholders (i.e., stakeholders at the National, Provincial, District and village community levels) on

the proposed REDD+ program or activity.

Step 2: Draft details of proposed REDD+ program or activity

 In collaboration with relevant key stakeholders at the National and Sub-national (i.e., Provincial, District and

Village community) levels, the Provincial Government shall develop a proposal of the activity or program for

which consent is required. For instance, a Provincial/District REDD+ Strategy that complements the National

REDD+ Strategy or a Provincial/District forest plans, etc.

47
Step 3: Identify who shall be engaged

 In collaboration with relevant key stakeholders at the national and sub-national (i.e., Provincial, District and

village community) levels, the Provincial Government shall identify those stakeholders at the National and

Sub-national levels whose consent is required. These may be those whose rights, livelihoods, identity,

security, among others, are likely to be affected by the proposed activity, for example customary landholders.

These stakeholders need to be disaggregated according to gender, by men and women, and shall include

affected youths, marginalized and vulnerable groups.

 Assess substantive right of these affected stakeholders.

 Identify the roles, priorities and contributions these affected stakeholders play in forest management and forest

use.

 For these affected stakeholders, identify their legitimate representatives, whether an entity or individual.

 Determine whether these representatives have been accorded rights to negotiate and/or decide on behalf of

the affected customary landholders.

 Identify other stakeholders that need to be consulted, for example, other provincial or district government

agencies, civil society, women’s organizations and private sector.

 Collaborate with relevant CSOs, NGOs, and women’s organizations to identify potential barriers to

participation and Identify best practices in overcoming these barriers in participation.

Step 4: Design consultation and participation plan for identified stakeholders at Provincial, District and

Local/Village levels

 Provincial/District Administrator shall identify a designated agency to lead consultation and participation

processes at Provincial, District or local levels.

 Ensure design of consultation and participation plan is disaggregated by men, women, youths, marginalized

and vulnerable groups. Where relevant, include best practices identified in Step 2 above to ensure full and

effective participation.

 Collaborate with relevant CSOs, NGOs, women’s organizations or ministries in the design process, if

necessary.

 Identify resources available to design and implement appropriate consultation and participation plan at the

provincial, district and local levels.

 Determine what information shall be communicated.

48
  Develop capacity development plans 57, where necessary, and awareness raising materials appropriate to the

capacity of affected stakeholders, by building on information collected in Step 2 above: roles, priorities,

contributions in forest management and forest use, best practices to address barriers to full and effective

participation. Identify how materials will be disseminated, for example, online via email or uploaded to

websites, or through meetings. These materials shall be easily accessible by all affected stakeholders. Ensure

the fashion and format of these materials are easily understood by men, women, youths, marginalized and

vulnerable groups. Written materials, where necessary, shall be developed to appropriate literacy levels of

affected stakeholders.

 Determine how feedback and input will be received and documented, and how queries will be addressed.

 Consult representatives of affected stakeholders to determine how consent will be given or withheld.

 Conduct consultation processes as frequently as necessary.

Provincial level stakeholders shall include;

* Provincial Executive Council (PEC).

* Provincial Forest Management Committee (PFMC).

* Joint Provincial Planning and Budget Priority Committee (JPP & BPC).

* Provincial Administrator.

* Representatives of affected customary landowners disaggregated by men, women, youth, marginalized

and vulnerable groups.

District level stakeholders shall include;

* Joint District Planning and Budget Priority Committee (JDP & BPC).

* President of Local Level Government (LLG).

* District Administrator

* Ward Councillors.

* Women’s representatives, including women’s groups/CSOs/NGOs and CBOs.

* Representatives of affected customary landowners disaggregated by men, women, youth, marginalized

and vulnerable groups.

57Capacity Development Plans are very important to bring knowledge, experts and financial resources to build capacity of relevant key stakeholders including
government, NGOs, CBOs, CSOs such that they can carry out their responsibilities in the consultation and consent process.
49
Step 5: Revise, finalise and implement proposal

 Incorporate feedback ensure format of proposal can easily be understood by affected stakeholders.

 Disseminate to stakeholders in a timely manner, through various channels, while ensuring the duration for

feedback is adequate and sufficient.

 Document whether consent from designated representatives of affected customary landowners is given or

withheld.

 Submit to relevant institutions for relevant action, for example, CCDA, National Parliament.

 Commence implementation of proposal in collaboration with relevant key stakeholders.

Diagram 5 on page 51 summarizes the key indicative steps for implementing FPIC processes at the Provincial and

District Levels.

50
 Diagram 5: Indicative steps to implement FPIC at the Provincial and District Level

Step 1: Provincial Administrative representative

agency inform CCDA and other relevant
government agencies and key stakeholders of the
intended REDD+ program, plan or strategy, etc.

Step 2: Provincial Government draft details of proposed program, plan No FPIC is required on the proposed
or strategy (e.g., REDD+ strategy, plans, or activities, etc.). Will the No program, plan or strategy.
proposed program, plan or strategy affect the rights of stakeholders?

Documentation required on the Provincial Level Stakeholders include:

proposed program, plan or strategy. • Provincial Executive Council
• Provincial Forest Management Committee
Yes • Provincial Climate Change Committee
• Joint Provincial Planning & Budget Priority Committee
• Representatives of affected customary landholders (men, women,
youth, marginalized and vulnerable groups)
Step 3: Identify who should be engaged? Important to identify District Level Stakeholders include:
legitimate representatives of stakeholders whose consent is sought • Joint District Planning & Budget Priority Committee
in the proposed program, plan or strategy. • President of Local Level Government
• Ward Councillors
• Women Representatives, including women groups, etc.
Note: Stakeholders and Landholders can • Legitimate representatives of affected customary landholders.
seek relevant independent technical or
legal advice.

Will the stakeholders consider the development of FPIC is withheld, therefore Provincial or District
the proposed program, plan or strategy? No Level Government proponents should cease or
terminate the proposed REDD+ program, plan or
strategy.

Yes

Step 4: Design appropriate consultation and participation plan for the

identified stakeholders at the Provincial, District and Local Levels (as in Step
3 of National Level FPIC Process).

Negotiate with Provincial and District Level stakeholders (address disputes,

conflicts, new information and planned activities).

Are Provincial, District and Local Level

FPIC is withheld, therefore Provincial
stakeholders willing to accept the
No Government or District Level Government
proposed program, plan or strategy?
should cease or terminate the proposed REDD+
proposal (i.e., program, plan or strategy).
Provincial and District Level
stakeholders’ decision-making process.

Yes

Step 5: Revise, finalize and implement proposal.

51
 A group of mothers and their children in Tavolo village, East New Britain Province, a PES REDD+ Pilot site.

5.6.3 Section C: Implementing FPIC at the Project Level

At the project level there are three phases to implementing free, prior and informed consent process. As shown in

Diagram 6, these phases include:

Phase 1 – Project Establishment;

Phase 2 – Project Design, Validation and Certification; and,

Phase 3 – Project Implementation, Monitoring and Reporting.

When implementing FPIC process, the user of the Guideline shall follow the steps highlighted in each of the key phases

of REDD+ project cycle. Diagram 7, 8 and 9 shows a detail break-down of indicative steps for each of the three-

phases for implementing FPIC process at the Project Level (i.e., Village or Community level) for REDD+ projects or

activities that directly or indirectly affect the livelihood of concerned customary landowners in the project area, whilst

Diagram 10 on page 64 provides the overall summary of the indicative steps for implementing FPIC for the three key

phases at the project level.

Diagram 6 below identifies the three “Key Phases” in a REDD+ Project Cycle. In all the three phases of REDD+

project cycle, consent is required by the project proponents of REDD+ activity. Refer to “Annex 7 – Obtaining and

52
Verifying Consent” for more information on the possible points that need to be considered in designing a robust process

for obtaining FPIC.

Diagram 6: Key Phases of Consent in a REDD+ Project Cycle

Phase 3: Project
Phase 2: Project
Phase 1: Project Implementation,
Design, Verification
Establishment Monitoring and
and Certification
Reporting

Phase 1 - Consent during project establishment

Step 1: Conduct FPIC Scoping Review

Conduct free, prior and informed consent scoping review at the project site or community. The scoping review shall

consist of the following components:

 A description of proposed project activity;

 A description of affected customary landholders, how they are governed, how they wish to be engaged, who

or what is empowered to represent them;

 A description of legal status of the affected land, territory and resources;

 A description of conflict over land-use or legal status of affected land, territory and resources, where applicable;

 A description of formal, informal and/or customary use by affected customary landholders. This shall include

whether and how women have access to the formal, informal and/or customary use of land and resources;

 Assessment of social, environmental and cultural impacts of proposed activity on affected customary

landholders, and how these impacts will be addressed. These stakeholders need to be disaggregated

according to gender, by men and women, and shall include affected youths, marginalized and vulnerable

groups.

 Identify the roles, priorities and contributions these affected stakeholders play in forest management and forest

use;

 Assessment of substantive rights of affected customary landholders and local communities to determine

whether FPIC consultation should also be organized for elites and business people living in major towns and

cities; and

 Resources allocated to seek Free, Prior and Informed Consent.

53
Step 2: Inform relevant REDD+ Government Authorities of intended REDD+ Activity

 At the National Level, project proponents shall inform and seek permission from relevant authorities such as

CCDA, PNGFA, DAL, etc.

 At the Provincial Level, they shall seek permission from the Provincial Administrator and relevant Provincial

authorising bodies.

 Similarly, at the District Level, project proponents shall inform and seek permission from the District

Administrator and relevant District authorising bodies.

Step 3: Conduct initial consultations with affected Customary Landholders

 Initial consultations with the legitimate village or community representative should be carried out in the site

where the project will be implemented and where the majority of the resource owners are.

 Identify legitimate village or community representatives from areas that will be affected by the proposed

project/activity to facilitate consultations with the community. These representatives could take the form of

Village Chief, Incorporated Land Group (ILG) Chairman or designated representatives, Ward Councillors and

Village Elders.

 Ensure the representative is recognized, accepted and authorized by the majority of the affected customary

landholders.

 In consultation with the customary landholders and local community, determine if the representative is

authorized to negotiate and/or to decide on behalf of affected customary landholders. This is made with

sensitivity to local political dynamics in cultural and political leadership.

 Ensure the representative(s) actively consult and allow affected men, women, youths, marginalized and

vulnerable groups identified in Step 1 above to participate in this initial process.

 Hire local staff to carry out information exchange and lead the FPIC process.

 Consent sought from affected customary landholders shall be limited to whether project proponents shall

proceed with project establishment.

Step 4: Proceed to Phase 2 of Project Cycle or Terminate Engagement

 If consent is given, proceed to steps outlined in Phase 2.

 If consent is withheld, project proponents shall not proceed but terminate the proposed activity.

54
Diagram 7 summarizes the key indicative steps for implementing FPIC processes in Phase 1, consent during project

establishment. It provides detail step-by-step process for phase 1 only and does not cover phase 2 or 3 as both phases

have their separate FPIC processes.

Diagram 7: Phase 1 – Indicative steps for consent during project establishment.

Undertake full assessment of social, environmental and

Step 1: Conduct FPIC cultural impacts, determine the legal status of the
Scoping review and activity, identify roles, priorities and contributions, and
develop Project Idea undertake assessment of substantive rights, etc.
Note. Project Proponents should also develop a project idea
note (PIN) for consultation with relevant stakeholders.

REDD+ Government Agencies include:

• National Level – relevant Authorities (eg., CCDA,
PNGFA, DAL, CEPA, etc.).
Step 2: Inform relevant REDD+ Government • Provincial Level – Provincial Administrator and
Agencies on the intended REDD+ project activity relevant key Provincial Authorizing bodies.
or plan. • District Level – District Administrator and relevant
key District Authorizing bodies.
• Project Level – Village Ward Councillors.

Step 3: Conduct initial consultation with

affected customary landholders and local Consent is withheld, therefore
communities. Is consent given by the affected Project Proponent should not
No
customary landholders and local communities to proceed but terminate the proposed
establish the proposed REDD+ project activity? REDD+ project activity.

Yes

Step 4: Proceed to Phase 2 of the Project Cycle –

Consent during Project Design, Validation and
Certification.

55
Phase 2 - Consent during Project Design, Validation and Certification

Step 1: Prepare Customary Landholders and Local Communities ILGs and Draft FPIC proposal

 Project proponents shall assist Customary landholders and Local Communities to prepare and register their

Incorporated Land Groups (ILGs):

Consult the responsible government authority to prepare customary landholders and local communities ILGs,

i.e., Department of Lands and Physical Planning, PNG Forest Authority, Department of Community

Development (Civil Birth Registry), etc.

All cost for ILG preparation and registration shall be met by the project proponent.

All original copies of completed certificates and other registered documents belonging to the customary

landholder and/or local communities shall be given to customary landholders and local communities while

the project proponent shall keep their copies (e.g., ILG certificates and Birth certificates, etc.).

 Project proponent shall draft a FPIC Proposals. The FPIC proposal shall contain the following detail58:

Details of Project Proponent(s) – include name, address and contact details of project proponents both in

PNG and overseas;

A brief description of project proponents business plans;

Description of project, location where project is implemented, type of greenhouse gas abated, and the

projects contributions to sustainable development;

A description of capacity and information needs of affected customary landholders and local communities

that shall be addressed before the FPIC process can take place;

Determine whether the process will require a facilitator, and if so, who it shall be;

A description of consultation and participation plan for affected customary landholders and local

communities, including where and how it will be implemented;

A description of how consultation with respective LLGs for the community that is participating in the REDD+

program shall be conducted;

Ensure design of consultation and participation plan is disaggregated by men, women, youths, marginalized

and vulnerable groups. Where relevant, include best practices identified in Step 2 of Phase 1 to ensure full

and effective participation;

58 See Annex 10 for more details on the “FPIC Proposal” outline.

56
 Shall collaborate with relevant CSOs, NGOs, women’s organizations or ministries in the design process, if

necessary;

Timeline for proposed consultation and participation plan;

A description of how conflict over land use or legal status of affected land, territory and resources will be

addressed, for example, through participatory mapping or land use planning, etc.;

A description of appropriate language and media for information sharing and dissemination with affected

customary landholders and local communities;

A description of how free, prior and informed consent will be given, recognized, recorded and documented in

accordance with customary landholders and/or local communities’ traditions and customs. This shall include

women and other vulnerable groups, and what special measures will be taken if existing practices do not

include them;

A description of the roles National, Provincial, District government officials and other relevant stakeholders

such as UN Agencies, institutions, donors and independent observers, may play, where applicable;

A description of the methods to validate the process, including where relevant, participatory monitoring

arrangements;

Describe the terms and frequency of review for the agreement between project proponent and affected

customary landholders and local communities to ensure terms and conditions are upheld;

A description of the process to receive and address complaints or grievances for the free, prior and informed

consent process and proposed REDD+ activity;

A description of the customary landholders Incorporated Land Groups (ILGs), business groups or other

existing community groups and/or corporative society, etc.; and,

Collaborate with relevant CSOs, NGOs, and women’s organizations to identify potential barriers to

participation. Identify best practices in overcoming barriers to participation.

Step 2: Implement Consultation and Participation Plan for affected Customary Landholders and

Local Communities

 Ensure the consultation and participation plan is developed jointly with the affected customary landholders and

local communities. It shall be built on the capacity and information needs of the affected customary landholders

and local communities, including an approach that respects their traditions and customs;

 Identify appropriate measures to include women and other vulnerable groups;

57
  Undertake consultation with customary landholders and respective LLGs for the local community that is

participating in the REDD+ program;

 Ensure awareness-raising activities are implemented at suitable times that would facilitate broad participation.

These activities shall include information related to:

Associated benefits and risks;

Costs and implications involved;

Environmental and social safeguards to be introduced to mitigate impacts from the proposed activity;

The freedom for affected customary landholders to withhold their consent for the proposed activity;

 Ensure affected customary landholders understand the information shared by:

Allowing for sufficient time in between activities identified in the plan;

Allocating adequate financial and human resources, including seeking independent advice. 59

Step 3: Conduct negotiation process with affected Customary Landholders and Local

Communities

 Identify if the landholder representative has been delegated authority to negotiate and/or decide on behalf of

the affected customary landholders and local communities;

 Prepare information on items to be negotiated, which may include:

Impacts of the project, multiple benefits and risks, and possible mitigation measures to these risks.

What, and how benefit from the activity will be shared and distributed equitably among all registered ILGs

in the project area, the project developer, the government, etc.;

What and how roles and responsibilities for both parties will be determined;

What alternative livelihood options exist;

What compensation, whether material or financial, will be required, if relevant, and

What milestones shall be set in place to determine when consent is required at other points during the

project life cycle;

 Ensure sufficient time is allocated for representatives to consult with affected customary landholders;

 Repeat process where necessary;

59This means giving financial and human resources to the affected communities so that they can understand and process material, and hold meetings to discuss
among themselves, and contract an expert to give them independent advice on the REDD+ activity.
58
  Determine with designated representatives whether consent is given or withheld;

 Jointly draft an agreement, stipulating terms and conditions, where consent is given or withheld;

 Evidence of majority of people living in the affected village/or REDD+ project community agrees with the

REDD+ project agreement; and,

 Identify roles and responsibilities in participatory monitoring of agreement.

 Conduct negotiation process at Provincial and LLG level of respective communities to allow good participation

of landholder representatives.

Step 4: Record and Documentation

 Document key outputs from implementation of the consultation and participation plan. Highlight points of

contention or disagreement, and how these were addressed;

 Determine with the designated representative of the affected customary landholders how key decisions during

the negotiation process shall be recorded and disseminated;

 Record how consent was given and its accompanying terms and conditions, where relevant;

 Document when consent given or withheld will be periodically reviewed against terms and conditions of the

agreement or a set of indicators, whichever is applicable;

 Record milestones for seeking consent at different stages of the project life cycle;

 Disseminate records of consent to relevant REDD+ governing authorities at National, Provincial and District

levels;

 Ensure documented records are disseminated to participating communities in a simpler version.

 Ensure records of consent given are made available upon request by interested parties.

Step 5: Revise and Finalise Project Document

 Revise project document to reflect terms and conditions of agreement between both parties;

 Submit project document to relevant government authorities (e.g. CCDA established REDD+ approval

technical bodies, etc.) and certification bodies (UNFCCC, CCBS, VCS, etc.) to get approval and/or

certification;60

 Inform affected customary landholders of the progress with approval from relevant government authorities and

project validation/verification and certification.

59
  Continuously update the customary landholders and relevant government authorities on the status of progress

in the REDD+ project/activity.

Step 6: Evaluate FPIC Process

 Identify an independent entity to evaluate the process of seeking consent at the proposed activity site (Refer

to Annex 8: Role of Independent Evaluators);

 Ensure all parties are involved in reviewing and revising future milestone for the REDD+ project.

 Take corrective action if the independent evaluators identified discrepancies in the process;

 If discrepancies cannot be addressed, the process may be nullified, with agreement from both parties; and

 Ensure the final evaluation report is made available upon request by interested parties.

 Continuously update the customary landholders and relevant government authorities on the status of progress

in the REDD+ project/activity.

Diagram 8 on page 61 summarizes the key indicative steps for implementing FPIC processes in Phase 2, consent

during project design, validation and certification. It provides detail step-by-step process for phase 2 only and does not

cover phase 1 or 3 as both phases have their separate FPIC processes.

60
Diagram 8: Phase 2 – Indicative steps for consent during project design, validation and certification.

Step 1: Prepare Customary

Landholders and local communities Project Proponents should assist Customary
ILGs and draft FPIC Proposal (i.e, Landholders and local communities prepare their ILGs,
Project Design Document) for develop grievance mechanisms and draft FPIC
consultation with key stakeholders. Proposal (i.e, PIN or PDD, etc.) for consultation.

Project Proponent should ensure affected landholders and local

communities fully understand the terms and conditions of the agreement
Step 2: Implement Consultation and Participation Plan that is and are fully informed on the following:
jointly developed for affected Customary Landholders and local * Benefits and risks.
communities. Provisions for independent advice. * Cost implications.
* Environmental, social and fiduciary safeguards.
* Determine roles and responsibilities, alternative livelihood options,
dispute resolution mechanisms, and compensation requirements, etc.
(Note: proponents should ensure awareness raising is implemented at
Step 3: Project Proponent develop a draft Agreement for suitable times and information shared are understood by the landholders
negotiation with affected landholders and local communities. and local communities)

Consent is withheld by the affected landholders

and local communities, therefore project
Negotiation process: Are affected landholders and local
No proponent should cease or terminate the
communities willing to enter into an agreement?
proposed REDD+ project activity.

Yes

Step 4: Project Proponents record, document and Project Proponents should record and document all agreed terms and
finalize written agreement in preparation for signing conditions of the final agreement and safely store it for future referencing.
with affected landholders and local communities.

Step 5: Project Proponents revise and finalize Project Project Proponents should continue to keep the affected
Documents incorporating all the feedbacks received from landholders and local communities updated time-to-time
stakeholder consultations and submit to relevant National on the progress of their submission.
and International bodies for approval and certification.

Project Proponents should engage an Independent Evaluator (refer

Step 6: Project Proponents should undertake to Annex 8 – Role of Independent Evaluation) to evaluate the
FPIC Evaluation Process. whole FPIC Process and take corrective actions where required or
recommended by the independent evaluator.

Proceed to Phase 3 – Consent during Project

Implementation, Monitoring and Reporting.

61
Phase 3 - Consent during project implementation, monitoring and reporting

Step 1: Conduct Periodic Review of Consent

 When consent is required at other points during the project life cycle, identify how and when it shall be

reviewed;

 Measure compliance to the terms and conditions of the agreement, or evaluate against a set of indicators,

whichever is applicable;

 Ensure there is documented evidence of compliance or non-compliance by both parties;

 Determine a time period where non-compliant parties shall respond to discrepancies in fulfilling terms and

conditions of the agreements;

 Take corrective action to address non-compliance, if mutually agreed by both parties; and

 Revisit negotiation process, if applicable; and

 Consider terminating agreement and project, subject to agreement by both parties, if non-compliance cannot

be satisfactorily addressed.

Step 2: Review and Revise

 Determine if both or either parties wish to review and revise future milestones for the project;

 Review consultation, participation and negotiation processes, if applicable; and

 Document and disseminate key changes to relevant parties, for instance, project updates to relevant

government authorities.

Step 3: Proceed or Terminate REDD+ Project/Activity

 Subject to steps 1 and 2 in Phase 3, both or either parties may decide to proceed with project

implementation with revised milestones, terms and conditions; or terminate the project;

Diagram 9 on page 63 summarizes the key indicative steps for implementing FPIC processes in Phase 3, consent

during project implementation, monitoring and reporting. It provides detail step-by-step process for phase 3 only and

does not cover phase 1 or 2 as both phases have their separate FPIC processes.

62
Diagram 9: Phase 3: Indicative steps for consent during project implementation, monitoring and reporting.

Take corrective measures where necessary to address non-

Step 1: Conduct compliance of terms and conditions of the Project
periodic review of Agreement (i.e., REDD+ project agreement) or terminate
the consent. the Agreement or REDD+ Project activity.

Parties review and determine future milestones for the

REDD+ project activity, including consultation, participation
Step 2: Review and Revise
and negotiation processes and document and disseminate
key amendments to relevant Parties.

Step 3: Will both Parties Consent is withheld, therefore

continue with the REDD+ No Project Proponents should cease or
project activity? terminate the REDD+ project activity.

Yes

Project Proponent proceeds with the REDD+ project

implementation, taking into account revised
milestones and the terms and conditions of consent.

In addition to Diagram 7, 8 and 9, Diagram 10 on page 64 however summarizes all these three key-phases

(Phase 1, 2 and 3) in one single step-by-step process for REDD+ proponents and developers to easy follow

through when implementing FPIC process during FPIC consultation at the project level.

63
Diagram 10 below summarizes all the indicative steps to conduct FPIC at the Project Level in a single step-by-step
approach.

Conduct
FPIC scoping
review

Phase
Inform relevant REDD+ 1
government authorities

Conduct initial consultations: Will affected customary

No No REDD+ activity
landowners consider proposed REDD+ activity?
No on their land

Yes
No

Prepare ILGs & Develop grievance

FPIC proposal mechanisms

Implement consultation and Provisions for

participation plan independent advice
Phase
2
Negotiation process: Will affected customary
No No REDD+ activity
landholders consider proposed REDD+ activity?
No on their land

Yes
No

Finalize written Independent evaluation

agreement of FPIC process

Implement agreement Participatory monitoring

Conduct periodic Take corrective Will both parties No REDD+

continue with No activity on
review action
REDD+ activity? No their land

Proceed with implementation Yes

No
64
6. National-Level Grievance Mechanisms

Establishing culturally appropriate grievance resolution mechanism based on local requirements and circumstances

are very important for resolving issues and grievances at an earlier stage. It helps prevent the issues and/or grievances

from growing and become much bigger issues later on in the future, thus affecting the implementation of the REDD+

activity or program.

Also, it provides a way to reduce risk for projects, offer affected customary landholders an effective avenue for

expressing concerns and achieving remedies, and promote a mutually constructive relationship between the REDD+

project developer and affected customary landholders. The latter needs a trusted way to voice and resolve concerns

linked to REDD+ development activity, and therefore project proponents (either the national government or the

company involved in the REDD+ Project) need to have an effective way to address concerns raised by the affected

customary landholders.

In PNG, traditional methods of solving grievances exist and are very effective at the community level. All grievances

from customary landholders within the project area shall be taken into account considering the severity of issue at

hand, and resolved accordingly using appropriate methods and/or measures applicable in the community. A locally

based grievance resolution mechanism provides a promising avenue to solving disputes, thus offering a reliable

structure and set of approaches where the local right-holders/people and the project proponents can find effective

solutions together. Where customary practices are inadequate, the grievances related to land may be subsequently

referred to the legal system, either the Village Court or Local Land Court at the District level who, as a first step of

settlement, requests assistance from land mediators appointed by the Provincial Land Disputes Committee. When

mediation proves to be unsuccessful, the land-related grievance or dispute is referred back to the Local Land Court.

An appeal of a Local Land Court decision may be directed to the Provincial Land Court, with a further final appeal to

the National Court.

It is the responsibility of the National government to ensure appropriate National-level grievance mechanism is

established and in operation such that the right of customary landholders (affected communities), like others, is to a

prompt, fair and effective remedy. If the legal personality of an affected community is not recognized such to affirm

their legal standing to access a national-level grievances mechanism, this must be addressed by the project if not

through legal or administrative reform (whichever applicable) than through a mitigation measure ensuring that the

absence of such recognition is not an impediment for the affected community in its own right to seeking recourse and

remedies for violations of their rights.. Having a well-functioning grievance mechanism may provide a fast, predictable,

65
transparent, and credible process for all parties involved in the activity, resulting in outcomes that are seen as fair,

effective and long-lasting. Critical in this process is having a gender-sensitive grievance mechanism in place that is

able to help address violations and allows stakeholders, including civil society, women and other marginalized groups,

to raise complaints and grievances and have them adequately addressed. Consequently, it builds trust between the

customary landholders, stakeholders, and the REDD+ proponents, thereby strengthening the overall relationship

between all relevant parties towards enabling more systematic identification of emerging issues and trends and

facilitating corrective action and pre-emptive engagement to solving conflicting issues arising from the activity.

A National-level grievance mechanism established in the context of REDD+ will be critical to ensuring grievances and

disputes are addressed in a proper manner, including in FPIC processes.61 The proposed grievance mechanism shall

adhere to the principles and standards outlined in the UN-REDD Programme Guidelines on FPIC and the UN-REDD

Programme Guidance on National-level Grievance Mechanisms (Refer to Annex 9: National-Level Grievance

Mechanism).

61 UN-REDD Programme (2013), “Guidelines on Free, Prior and Informed Consent”.

66
7. ANNEXES

Annex 1: Key Principles of FPIC Process in REDD+ Development

REDD+ standards can help address a number of key objectives, within the context of a national approach to REDD+

development, such as:

Ensuring the REDD+ policies and actions are developed in ways that minimize risks and enhance benefits to

local communities and to the nation as a whole. These risks may be environmental, social, governance or

economic in nature. Concerns may be raised by stakeholder groups (such as customary landholders) who

may be, (or are) impacted by the implementation of the REDD+ programme.

Ensuring that the process for developing, implementing and overseeing REDD+ actions at national and local

levels is done in an inclusive and participatory manner, involving those groups who may be impacted (either

positively or negatively) by these actions.

Ensuring that outcomes from REDD+, during and after implementation generate positive outcomes and that

negative impacts are reported and mitigated in the future.

Identifying gaps in national policy and law. These gaps may be areas of law that are not adequately covered

within existing legislation. Alternatively, gaps may occur during implementation, and be caused by lack of

capacity / resources from the state or vested interests that actively seek to undermine implementation of laws

and policies.

Attempt by the GoPNG to put in place the required Social and Environmental Safeguards for REDD+ in PNG has

resulted in the formulation of the following key principles by the Climate Change & Development Authority for

implementation of FPIC in REDD+ programs and activities.

Table 5 provides the key principles of FPIC adopted from the “REDD+ Social and Environmental Standards for Papua

New Guinea”.62 These key principles include:

62See the Climate Change and Development Authority established “Social and Environmental Principles, Criteria and Indicators for Papua New Guinea, Version II, July
2014, pg. 6-23”.

67
 The REDD+ programme63 recognizes and respects64 rights to lands and resources65.
Principle 1
The benefits66 of the REDD+ programme are shared equitably67 among all relevant68 rights
Principle 2 holders and stakeholders69.

The REDD+ programme improves long-term livelihood70 security and well-being of

Principle 3 customary landowners and local communities with special attention to women and the most
marginalized and/or vulnerable people.71
The REDD+ programme contributes to good governance72, broader sustainable
Principle 4 development and to social justice73.
The REDD+ programme maintains and enhances 74 biodiversity, ecosystem services and
Principle 5 ensures integrity of greenhouse gas emissions.
All relevant75 rights holders and stakeholders participate fully and effectively in the REDD+
Principle 6 programme.
The REDD+ programme complies with applicable local76 and national laws and international
Principle 7 treaties, conventions and other instruments77.
Source: “Draft REDD+ Social and Environmental Principles, Criteria and Indicators for Papua New Guinea”, Version II, July 2014, Office of Climate
Change and Development.

Similar standards could also be found in the work of Climate Community Biodiversity Alliance and Care International

and relates to the rights of indigenous people under the ‘REDD+ Social and Environmental Standards’ 78. The UN-

REDD Programme and FCPF have also jointly developed its “Guidelines on Stakeholder Engagement in REDD+

Readiness With a Focus on Participation of Indigenous Peoples and Other Forest Dependent Customary landholders”.

In addition to that, the Programme has also adopted the “UN-REDD Programme Social and Environmental Principles

and Criteria” as a proposed guiding framework to enhance the multiple benefits of, and reduces risks from REDD+.

The seven principles are:

63 The REDD+ programme to which these indicators are being applied must be defined in a published document that should include the following elements, and should
indicate the progress that has been made towards their definition (i) the objectives; (ii) identification of the drivers of deforestation and forest degradation; (iii) description
of the policies, measures and activities, and plans for their design and implementation; (iv) identification of the geographical areas in which activities will be implemented,
where relevant; (v) identification of the institutional arrangements for programme design, implementation and evaluation.
64 ‘Respect’ is taken to include not undermining or prejudicing rights.
65 ‘Resources’ is understood to include ecosystem services provided by these resources.
66 The term ‘benefits’ in Principle 2 is understood to reflect a full consideration of benefits, costs and risks.
67 ‘Equity’ and ‘equitable’ are defined as just, impartial and fair to all parties including marginalized and vulnerable people.
68 ‘Relevant’ rights holder and stakeholder groups are identified by the REDD+ programme in accordance with criterion 6.1 ‘Principle 6’.
69 ‘Stakeholders’ are those who can potentially affect or be affected by the REDD+ programme.
70 ‘Livelihoods’ can be defined by five capital/assets: socio-political, cultural, human, financial, natural and physical.
71 ‘Vulnerable’ people are those with high exposer to external stresses and shocks (including climate change); and with high sensitivity and low adaptive capacity to adjust

in response to actual or expected changes due to their lack of secure access to the assets on which secure livelihoods are built (socio-political, cultural, human, financial,
natural and physical). Forest dependency may be an important factor affecting vulnerability particularly where the REDD+ programme itself may change access to forest
resources. In many situations marginalization exacerbates vulnerability, e.g. marginalization by gender.
72 Good governance is characterized by accountability, effectiveness, efficiency, fairness/equity, participation and transparency.
73 ‘Social justice’ is understood to mean ‘respect, protection and fulfilment of human rights’. Human rights are the fundamental rights and freedoms that belong to every
person in the world, based on core principles like dignity, fairness, equality, respect and autonomy, including but not limited to the rights enshrined in relevant international
treaties, conventions and other instruments.
74 Impacts on biodiversity and ecosystem services including conversion and degradation are relative to the reference scenario which is the most likely land-use scenario

in the absence of the REDD+ programme.

75 The ‘relevant’ rights holder and stakeholder groups are identified by the REDD+ programme in accordance with criterion 6.1 (see Draft Principle 6 of the Draft REDD+

Social and Environmental Principles, Criteria and Indicator for Papua New Guinea, Version II, July 2014, pg. 19)
76 Local laws include all legal norms given by organs of government whose jurisdiction is less than the national level, such as departmental, municipal and customary

norms including those of customary land owners.

77 Including, but not limited to, the Universal Declaration of Human Rights, the United Nations Framework Convention on Climate Change, the Convention on Biological

Diversity, the United Nations Declaration on the Rights of Indigenous Peoples, the Convention on the Elimination of All Forms of Discrimination against Women, the
International Labor Organization Convention 169. “Instruments’ refers to any legal processes recognized in the constitution, such as decrees, ministerial statements and
other processes.
78 See Climate Community Biodiversity Alliance and CARE International (2010, June). ‘REDD+ Social and Environmental Standards’, Version 1.

68
 Apply norms of democratic governance, as reflected in national commitments and Multilateral Agreements;

Respect and protect stakeholder rights in accordance with international obligations,79;

Promote sustainable livelihoods and poverty reduction;

Contribute to low-carbon, climate-resilient sustainable development policy, consistent with national;

development strategies, national forest programmes and commitments under international conventions and

agreements;

Protect natural forest from degradation and/or conversion;

Maintain and enhance multiple functions of forest including conservation of biodiversity and provision of

ecosystem services; and,

Avoid or minimise adverse impacts on non-forest ecosystem services and biodiversity.

Note the above set of Principles and Criteria was developed as the UN-REDD Programme’s response to the

safeguards for REDD+ as agreed to at UNFCCC COP 16 in Cancun 80. The “Social and Environmental Principles”

emerge from the understanding of the major potential opportunities and risks from REDD+, together with commitments

that have been made in the context of Multilateral Environmental Agreements (MEAs), and other REDD+ relevant

standards. The Cancun Agreement may help us to understand the extent to which Parties to UNFCCC are committed

to safeguarding and enhancing the multiple benefits of REDD+ which they agree to ‘promote and support’ the

safeguards listed and to provide information on how the safeguards are being ‘addressed and respected’ throughout

the implementation of REDD+ activities.

‘REDD+ has the potential to deliver substantial benefits beyond carbon. However, there is also a possibility that risks

will be incurred in the implementation of REDD+’. 81 Hence, it is important for project proponents of REDD+ to take

note of these key principles of community engagement that respects the right of customary landholders to FPIC when

developing REDD+ activities in the country. These principles are established to protect and safeguard the rights of

customary landholders from potential risks incurred by REDD+ programs or activities. Besides, they were established

also to provide guidance to project proponents when developing REDD+. The bottom line is, the rights of the customary

landholders are been respected by proponents of REDD+ when entering into a project agreement on REDD+ activities

that may have potential impact on their normal livelihoods in their local communities.

79 This Principle talks about respect for the knowledge and rights of indigenous peoples and members of local communities/customary landowners, by taking into account
relevant international obligations, national circumstances and laws, and noting that the General Assembly has adopted the UNDRIP. Thus give clear emphasis of FPIC
as an important criterion under this principle.
80 Cancun Agreement: Outcome of the work of the Ad Hoc Working group on Long—term Cooperative Action (AWG-LCA) under the Convention, Annex 1

(http://unfccc.int/meetings/cop_16/items/5571.php)
81 UN-REDD Programme Social And Environmental Principles And Criteria, March 2012.

69
Annex 2: Stakeholder Engagement: Effective and Equitable Gendered Participation and

Representation in Decision-Making

Women and men’s specific roles, rights and responsibilities, as well as their particular use patterns and knowledge of

forests, shape their experiences differently. As such, gender-differentiated needs, uses and knowledge of the forest

are critical inputs to policy and programmatic interventions that will enable the long-term success of REDD+ on the

ground. To ensure that national REDD+ systems and programmes are inclusive and resilient, specific attention must

be paid to the specific roles, requirements and contributions of women and men at every stage of policy and

programme development, from design through implementation and evaluation.

A gender-responsive “REDD+ Stakeholder Engagement Strategy” is very crucial for REDD+ programs as it recognizes

the role of women as primary users of forest resources in REDD+ policy and programme design, as well as

implementation and evaluation. REDD+ Proponents shall consult the UN-REDD Programme Guidance Note on

Gender Sensitive REDD+ to guide them to develop their gender-responsive REDD+ stakeholder engagement strategy.

According to data from the health, nutrition and education sectors, the engagement of both women and men in

consultation processes advances the understanding of women’s practical needs and therefore the relevance of the

consultations’ outcomes. Moreover, whenever possible while maintaining respect for the customary laws and practices

of the community or peoples (i.e., customary landholders) in question, a participatory REDD+ initiative would take

appropriate steps to ensure that women have appropriate and adequate representation in decision-making. This has

been shown to better address their strategic needs, resulting in greater uptake of the desired shifts in behaviour.

Participatory REDD+ interventions that effectively engage both women and men in decision-making could also result

in greater likelihood of sustained change in the way forest resources are used, thereby contributing to the sustainability

of the REDD+ mechanism. If women are to be involved in decision-making, their full and effective participation may

depend on additional training.

Gender-responsive participatory processes include the use of women-only interviews and gender-specific focus

groups and group consultations. These approaches enable women to fully participate and make their voices heard

with minimal distortion of message. Other methods to support women’s engagement that are not meeting-based are

also worth considering.

It is important to note, however, that this is not a “box-ticking” exercise: getting women into meetings, ensuring that

they actively participate in those meetings and finally enabling women as decision-makers requires addressing the

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asymmetries of power and other cultural norms that influence gender equality. Ultimately, increasing the role of women

in consultations can help increase implementation efficiency, increasing women’s full and effective participation will

increase efficacy, increasing women’s roles as decision-makers will increase sustainability.

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Annex 3: Papua New Guinea National Constitution

The Constitution of Papua New Guinea entered into force on the 16 September 1975. It is one of the few unique

constitutions around the world that contains almost all the rights and freedoms enshrined in the United Nations Charter

and the Universal Declaration of Human Rights 1948. The constitution contains many civil and political rights that are

able to be enforced by the judiciary. These include right to freedom (Section 32); right to life (Section 35); freedom

from inhuman treatment (Section 36); freedom from conscience, thought and religion (Section 45); freedom of

expression (Section 46) and right to vote and stand for public office (Section 50). Thus Section 32-56 of the Constitution

comprises Basic Rights, Qualified Rights and Special Rights of Citizens. Further enforcement of these rights by the

Courts and other tribunals is governed by Section 57 and 58 of the Constitution. Economic, social and cultural rights

are not included in the constitution and are instead provided for in the National Goals and Directive Principles. These

remain as Guidelines and are non-justiciable.

Moreover it has been observed that the Constitution of Papua New Guinea “is perhaps one of the world’s most prolific

constitutional documents”82 and that it is supported by numerous Organic Laws.”83 The genesis of the Human Rights

provisions of the Constitution is traceable to the Human Rights Act 1971, which was later to influence the deliberations

of the Constitutional Planning Committee in its task of devising an appropriate Constitution for Independent Papua

New Guinea.

82 Ibid., 56.
83 Loc. Cit.

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Annex 4: PNG National Goals and Directive Principles

A paramount attribute of the Constitution is the “National Goals and Directive Principles”. In 1975, Papua New Guinea’s

Constitutional Planning Committee (CPC) foresaw the problems of the western form of economic development.

Through the wisdom of the Constitutional Planning Committee the “National Goals and Directive Principles” was

developed and entrenched into the National Constitution of Papua New Guinea. Under the National Goals and

Directive Principles, five main goals and directive principles were identified by the CPC, which include (i) Integral

Human Development, (ii) Equality and Participation, (iii) National Sovereignty and Self-Reliance, (iv) Natural Resource

and Environment, and (v) Papua New Guinea Ways.

The following portrays the Papua New Guinea’s National Goals and Directive Principles and the Basic Rights and

Basic Social Obligations of Papua New Guinean citizens as per the “Constitution of the Independent State of Papua

New Guinea”.

WE HEREBY PROCLAIM the following aims as our National Goals, and direct all persons and bodies, corporate and

unincorporated, to be guided by these our declared Directives in pursuing and achieving our aims:

1. INTEGRAL HUMAN DEVELOPMENT

We declare our first goal to be for every person to be dynamically involved in the process of freeing himself or

herself from every form of domination or oppression so that each man or woman will have the opportunity to

develop as a whole person in relationship with others.

WE ACCORDINGLY CALL FOR;

(1) everyone to be involved in our endeavors to achieve integral human development of the whole person for

every person and to seek fulfillment through his or her contribution to the common good; and

(2) education to be based on mutual respect and dialogue, and to promote awareness of our human potential

and motivation to achieve our National Goals through self-reliant effort; and

(3) all forms of beneficial creativity, including sciences and cultures, to be actively encouraged; and

(4) improvement in the level of nutrition and the standard of public health to enable our people to attain self-

fulfillment; and

(5) the family unit to be recognized as the fundamental basis of our society, and for every step to be taken to

promote the moral, cultural, economic and social standing of the Melanesian family; and

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 (6) development to take place primarily through the use of Papua New Guinean forms of social and political

organization.

2. EQUALITY AND PARTICIPATION

We declare our second goal to be for all citizens to have an equal opportunity to participate in, and benefit

from, the development of our country.

WE ACCORDINGLY CALL FOR;

(1) an equal opportunity for every citizen to take part in the political, economic, social, religious and cultural

life of the country; and

(2) the creation of political structures that will enable effective, meaningful participation by our people in that

life, and in view of the rich cultural and ethnic diversity of our people for those structure to provide for

substantial decentralization of all forms of government activity; and

(3) every effort to be made to achieve an equitable distribution of incomes and other benefits of development

among individuals and throughout the various parts of the country; and

(4) equalization of services in all parts of the country, and for every citizen to have equal access to legal

processes and all services, governmental and otherwise, that are required for the fulfillment of his or her

real needs and aspirations; and

(5) equal participation by women citizens in all political, economic, social and religious activities; and

(6) the maximization of the number of citizens participating in every aspect of development; and

(7) active steps to be taken to facilitate the organization and legal recognition of all groups engaging in

development activities; and

(8) means to be provided to ensure that any citizen can exercise his personal creativity and enterprise in

pursuit of fulfillment that is consistent with the common good, and for no citizen to be deprived of this

opportunity because of the predominant position of another; and

(9) every citizen to be able to participate, either directly or through a representative, in the consideration of

any matter affecting his interests or the interests of his community; and

(10) all persons and governmental bodies of Papua New Guinea to ensure that, as far as possible, political

and official bodies are so composed as to be broadly representative of citizens from the various areas of

the country; and

74
 (11) all persons and governmental bodies to endeavour to achieve universal literacy in Pisin, Hiri Motu or

English, and in “tok ples” or “ita eda tano gado”; and

(12) recognition of the principles that a complete relationship in marriage rests on equality of rights and duties

of the partners, and that responsible parenthood is based on that equality.

3. NATIONAL SOVEREIGNTY AND SELF-RELIANCE

We declare our third goal to be for Papua New Guinea to be politically and economically independent, and our

economy basically self-reliant.

WE ACCORDINGLY CALL FOR;

(1) our leaders to be committed to these National Goals and Directive Principles, to ensure that their freedom

to make decisions is not restricted by obligations to our relationship with others, and to make all of their

decisions in the national interest; and

(2) all governmental bodies to base their planning for political, economic and social development on these

Goals and Principles; and

(3) internal interdependence and solidarity among citizens, and between provinces, to be actively promoted;

and

(4) citizens and governmental bodies to have control of the bulk of economic enterprise and production; and

(5) strict control of foreign investment capital and wise assessment of foreign ideas and values so that these

will be subordinate to the goal of national sovereignty and self-reliance, and in particular to control major

enterprises engaged in the exploitation of natural resources; and

(6) the State to take effective measures to control and actively participate in the national economy, and in

particular to control major enterprises engaged in the exploitation of natural resources; and

(7) economic development to take place primarily by the use of skills and resources available in the country

either from citizens or the State and not in dependence on imported skills and resources; and

(8) the constant recognition of our sovereignty, which must not be undermined by dependence on foreign

assistance of any sort, and in particular for no investment, military or foreign-aid agreement or

understanding to be entered into that imperils our self-reliance and self-respect, or our commitment to

these National Goals and Directive Principles, or that may lead to substantial dependence upon or

influence by any country, investor, lender or donor.

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4. NATURAL RESOURCES AND ENVIRONMENT

We declare our fourth goal to be for Papua New Guinea’s natural resources and environment to be conserved

and used for the collective benefit of us all, and be replenished for the benefit of future generations.

WE ACCORDINGLY CALL FOR;

(1) wise use to be made of our natural resources and the environment in and on the land or seabed, in the

sea, under the land, and in the air, in the interests of our development and in trust for future generations;

and

(2) the conservation and replenishment, for the benefit of ourselves and posterity, of the environment and its

sacred, scenic, and historical qualities; and

(3) all necessary steps to be taken to give adequate protection to our valued birds, animals, fish, insects,

plants and trees.

5. PAPUA NEW GUINEA WAYS

We declare our fifth goal to be to achieve development primarily through the use of Papua New Guinean forms

of social, political and economic organization.

WE ACCORDINGLY CALL FOR;

(1) a fundamental re-orientation of our attitudes and the institutions of government, commerce, education

and religion towards Papua New Guinean forms of participation, consultation, and consensus, and a

continuous renewal of the responsiveness of these institutions to the needs and attitudes of the People;

and

(2) particular emphasis in our economic development to be placed on small-scale artisan, service and

business activity; and

(3) recognition that the cultural, commercial and ethnic diversity of our people is a positive strength, and for

the fostering of a respect for, and appreciation of, traditional ways of life and culture, including language,

in all their richness and variety, as well as for a willingness to apply these ways dynamically and creatively

for the tasks of development; and

(4) traditional villages and customary landowners to remain as viable units of Papua New Guinean society,

and for active steps to be taken to improve their cultural, social, economic and ethical quality.

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With these National Goals and Directive Principles, are the Basic Rights and Basic Social Obligations of Papua New

Guinean citizens as recognized in the Constitution. Below depicts these rights and social obligations.

Basic Rights

WE HEREBY ACKNOWLEDGE that, subject to any restrictions imposed by law on non-citizens, all persons in our

country are entitled to the fundamental rights and freedoms of the individual, that is to say, the right whatever their

race, tribe, places of origin, political opinion, colour, creed or sex, but subject to respect for the rights and freedoms of

others and for the legitimate public interest, to each of the following:

(a) life, liberty, security of the person and the protection of the law; and

(b) the right to take part in political activities; and

(c) freedom from inhuman treatment and forced labour; and

(d) freedom of conscience, of expression, of information and of assembly and association; and

(e) freedom of employment and freedom of movement; and

(f) protection for the privacy of their homes and other property and from unjust deprivation of property,

and have accordingly included in this Constitution provisions designed to afford protection to those rights and

freedoms, subject to such limitations on that protection as are contained in those provisions, being limitations primarily

designed to ensure that the enjoyment of the acknowledged rights and freedoms by an individual does not prejudice

the rights and freedoms of others or the legitimate public interest.

Basic Social Obligations

WE HEREBY DECLARE that all persons in our country have the following basic obligations to themselves and their

descendants, to each other, and to the Nation:

(a) to respect, and to act in the spirit of this Constitution; and

(b) to recognize that they can fully develop their capabilities and advance their true interests only by active

participation in the development of the national community as a whole; and

(c) to exercise the rights guaranteed or conferred by this Constitution, and to use the opportunities made available

to them under it to participate fully in the government of the Nation; and

(d) to protect Papua New Guinea and to safeguard the national wealth, resources and environment in the interests

not only of the present generation but also of future generations; and

77
 (e) to work according to their talents in socially useful employment, and if necessary to create for themselves

legitimate opportunities for such employment; and

(f) to respect the rights and freedom of others, and to co-operate fully with others in the interests of

interdependence and solidarity; and

(g) to contribute, as required by law, according to their means to the revenues required for the advancement of

the Nation and the purposes of Papua New Guinea; and

(h) in the case of parents, to support, assist and educate their children (whether born in or out of wedlock), and in

particular to give them a true understanding of their basic rights and obligations and of the National Goals and

Directive Principles; and

(i) in the case of the children, to respect their parents.

IN ADDITION, WE HEREBY DECLARE that all citizens have an obligation to themselves and their descendants, to

each other and to the Nation to use profits from economic activities in the advancement of our country and our people,

and that the law may impose a similar obligation on non-citizens carrying on economic activities in or from our country.

78
Annex 5: National and International Legal and Policy Framework

Tables 6 and 7 provides both National and International Legal and Policy requirements that indirectly supports the

implementation of FPIC in REDD+ projects84. While the concept of FPIC is still evolving, elements of it are recognized

by a number of international and national agreements and instruments. Although there are no specific legislations in

PNG that gives additional emphasis on FPIC, there are however, national domestic laws on PNG that somewhat

recognize the principles of FPIC and gives some prominence to the role it plays in having access to customary

landholders land and resources. These legal mechanisms accordingly oblige activities of REDD+ to respect the rights

of customary landholders’ in project establishment.

National Legal and Policy Framework

Table 6: National Legal and Policy Frameworks that needs to be taken into consideration when implementing
Free Prior and Informed Consent
No. Legal Frameworks Administered Organization Remark

1. Papua New Guinea National National Goals and Directive

Constitution Principles; section 32-56 (Basic
Rights and Basic Social
Obligations, Qualified Rights, and
Special Rights of Citizens).
Section 57-58 provides for the
enforcement of these rights.
2. National Climate Change Climate Change and Part 8 - “Recognition of
(Management) Act 2015 Development Authority Landholder Rights”: Division 1 –
“Rights of Customary Landholder”,
Section 87 provides the legal
basis for FPIC implementation in
the country,
3 UNFCCC Paris Agreement Climate Change & PNG is among the 134 Parties
Implementation Act 2016 Development Authority that signed and ratified the Paris
Agreement. The Paris
Agreement’s central aim is to
strengthen the global response to
the threat of climate change by
keeping the global temperature
rise this century well below 2
degree Celsius above pre-
industrial levels and to pursue
efforts to limit the temperature
increase even further to 1.5
degree Celsius.

84 Note that, customary landholders need to be made aware of their legal rights to participate or not to participate in REDD+ projects; made aware of the theory and
practices in implementing REDD+; made aware of the benefits (both monetary, socio-economic and environmental developments) from the project; and, that customary
landholders shall also be made aware of the consequences that may come about when implementing REDD+.

79
4. National Climate Compatible Climate Change and Promotes equitable, effective
Development Management Policy Development Authority participation of stakeholders
2014 through active participation,
consultation and engagement at
national and subnational levels in
climate change programs,
incentives and activities.
5. National Forest Policy (1991) Papua New Guinea Forest
Authority
6. The National Forest Plan (1991) Papua New Guinea Forest
Authority
7. Forestry Act (1991) Papua New Guinea Forest
Authority
8. Forest Regulation No. 15 (1992) Papua New Guinea Forest
Authority
9. Forestry (Amendment) Act (1993). Papua New Guinea Forest
Authority
10. The National Forest Development Papua New Guinea Forest
Guidelines (1993) Authority
11. Forestry (Amendment No.2) Act Papua New Guinea Forest
(1996). Authority
12. Logging Code of Practice (1996) Papua New Guinea Forest
Authority
13. Forestry Regulations (1996) Papua New Guinea Forest
Authority
14. Forestry Regulation (1998) Papua New Guinea Forest
Authority
15. Forestry (Amendment) Act (2000). Papua New Guinea Forest
Authority
16. Forestry (Amendment) Act (2005) Papua New Guinea Forest
Authority
17. Forestry (Amendment) Act (2007) Papua New Guinea Forest
Authority (PNGFA)
18. Mining Act 1992 Department of Mining
19. Oil and Gas Act, No. 49 1998 Department of Petroleum Division 5 - Social Mapping and
and Energy Landowner Identification Study,
20. Mineral Resource Authority Act Mineral Resource Authority
(MRA)
21. Land Act (1996) Department of Lands and
Physical Planning (DLPP)
22. Environmental Act (2000), Conservation and An Act that provides the
Environment Protection administrative mechanism for
Authority (CEPA) environmental impact assessment
and evaluation of activities
regulating impacts on the
receiving environment through an
established environmental
approval and permitting system.
23. Conservation and Environment Conservation and
Protection Authority Act 2014 Environment Protection
Authority (CEPA)

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24. Fauna (Protection and Control) Conservation and This Act provides the mechanism
Act (1966) Environment Protection for the protection and control of
Authority (CEPA) faunal species involved in
international trade activities
25. International (Fauna and Flora) Conservation and This Act provides the mechanism
Trade Act (1978) Environment Protection for the control of exportation and
Authority (CEPA) importation and introduction of
flora and fauna from the sea,
whether dead, alive, their by-
products, parts or derivatives.
26. Crocodile Trade Act (1978) Conservation and This Act provides the mechanism
Environment Protection for the management and control of
Authority (CEPA) crocodile exports and other
related activities.
27. Conservation Areas Act (1978) Conservation and This Act provides the mechanism
Environment Protection for the management and control of
Authority (CEPA) resources in protected areas
including flora and fauna and sites
of cultural and historical
importance.
28. National Parks Act (1982) Conservation and This Act provides the mechanism
Environment Protection for the management and control of
Authority (CEPA) protected areas in PNG including
flora and fauna
29. Flora and Fauna Act (1968) Conservation and
Environment Protection
Authority (CEPA)
30. Water Resource Act 1982 PNG Water Board/DEC This Act provides the mechanisms
for management of national water
resources and responsibility for
that management
31. Provincial Health Authorities Act Health Department
(2007)
32. Industrial Relations Act (1962) Department Labour and
Employment
33. Industrial Health Safety and Department of Labour and
Welfare Act (1962) Employment (DLPP)
34. Land Groups Incorporation Act Department of Lands and
(1974), Physical Planning
35. Land Registration (Customary Department of Lands and
Land) (Amendment ) Act 2009 Physical Planning
36. Land Groups Incorporation Department of Lands and
(Amendment) Act (2009) Physical Planning
37. Land Disputes Settlement Act Department of Lands and
(1975) Physical Planning
38. Investment Promotion Act (1992) Investment Promotion
Authority (IPA)
39. Company Act (1997) Investment Promotion
Authority (IPA)
40. Relevant PNG Customary Laws

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International Legal and Policy Framework

Table 7: International Legal and Policy Framework that needs to be taken into consideration when
implementing Community Rights to FPIC

No. Legal and Policy Framework Remarks

1. International Labour Organization’s Guarantees the rights of indigenous people

Convention No.169 (customary landowners) to their land and to
be consulted whenever consideration is being
given to legislative or administrative measures
or projects which may affect them with the
objective of achieving agreement or consent
to the proposed measures.
2. The Convention on Biological Diversity (1993) Recognize that indigenous knowledge may
only be used with prior approval and requires
national governments to protect indigenous
cultures and peoples.
3. The United Nations Declaration on the Rights of The UNDRIP does have a significant
Indigenous Peoples (UNDRIP) descriptions of the circumstances when FPIC
is required, and has FPIC clear obligations on
States regarding the rights of indigenous
peoples, including their right to own and use
their traditional territories.
4. The United Nations Framework Convention on Climate Refers to UNDRIP in Annex 1 of decision
Change (UNFCCC) Conference of the Parties 16 – the Cancun
Agreement. This annex details the safeguards
that countries shall promote when undertaking
activities under REDD+. By ‘noting’ that
UNDRIP has been adopted by the United
Nations General Assembly, the document
implies (but does not specify) that the
obligations concerning FPIC as expressed in
UNDRIP also apply in the context of REDD+.
5. The UN Collaborative Programme on REDD+ (UN- Strongly worded, explicit commitment to the
REDD) principles of the UNDRIP and FPIC are
included in the guidance and adopted by the
Programme (for more information see the UN-
REDD Guidelines on FPIC).
6. The World Bank’s Forest Carbon Partnership Facility Both refer to the right to ‘Free, Prior, Informed
(FCPF) and Forest Investment Program (FIP) Consultation’, but this does not guarantee the
right of communities to withhold their consent
to proposed developments. While it does not
expressly speak of consent, the meaning of
“good faith consultations means with a view to
achieving agreement or consent”. Note that,
Free, Prior and Informed Consultation could
only be the same if consultation is conducted
with a view to agree other than just
consultation.
7. Voluntary Carbon Market Standards (VCS) The Voluntary Carbon Market Standard (VCS)
makes reference to ‘community

82
 consultations’, but not to FPIC. The Climate,
Community, and Biodiversity Standards
(CCB) on the other hand, require
documentation of a process that respects the
right to FPIC of indigenous peoples and local
communities whose rights may be affected by
the project.
8. REDD+ Social and Environmental Standards Designed specifically to apply to national or
sub-national level REDD+ programs, rather
than projects, these standards explicitly
require adherence to FPIC for indigenous
peoples and local communities. The
standards are the result of a collaborative
process, led by southern civil society
organizations and facilitated by CARE
International and the Climate, Community,
and Biodiversity Alliance.
9. Convention to Combat Desertification (CCD, 2000) The Convention aimed at delivering a new
integrated approach to solving the problem of
land degradation and to support sustainable
development at community level
10. Convention on the International Trade in Endangered This Convention was ratified by PNG
Species of Wild Fauna and Flora (CITES, 1973) Government in 1975 and is for the protection
of endangered species from being used as
commercial products within PNG and abroad.
11. Convention on Wetlands of International Importance, PNG has ratified this Convention in 1993. The
especially as Waterfowl Habitats (RAMSAR, 1971) Convention requires PNG to use its wetlands
and associated flora and fauna in a
sustainable manner.
12. Convention for the Protection of the World Cultural and PNG ratified the Convention in 1997. In 1999
Natural Heritage (1972) a National World Heritage Committee was
established to consider sites in PNG to be
declared as World Heritage Areas base on
the criteria and Guidelines of the Convention.
13. Basel Convention on the Trans-boundary Movement of This Convention was formulated as a result of
Hazardous Wastes and their Disposal (1989) increasing frequency and quantity of
hazardous wastes being transported from
developed countries to developing countries.
14. Protocol on Biosafety (Cartagena Protocol) The Protocol seeks to protect biological
diversity from the potential risks posed by
living modified organisms resulting from
modern biotechnology.
15. Stockholm Convention on Persistent Organic Pollutants This Convention is aimed at controlling the
(POPs Convention) important and/or exportation of twelve (12)
identified persistent organic substances.
16. Rotterdam Convention on the Prior Informed Consent The aim of the Convention is to promote
Procedures for Certain Hazardous Chemicals and shared responsibility and cooperative efforts
Pesticides in International Trade (Rotterdam among Parties in the international trade of
Convention) certain hazardous chemicals in order to
protect human health and the environment
from potential harm.

83
17. Vienna Convention for the Protection of the Ozone This Convention provides is an agreement for
Layer (1985) Party Countries to take action to protect the
protection of the ozone layer.
18. Montreal Protocol on Substances that deplete the The Montreal Protocol is a further agreement
Ozone Layer. to the Vienna Convention which focuses on
the phasing out of potential Ozone Layer
depleting substances.
19. Convention to Ban the Importation in Forum Islands Objective of the Convention is to prohibit the
Countries of Hazardous Wastes and Radioactive importation of hazardous and radioactive
Wastes and to Control the Transboundary Movement wastes into the Pacific Islands Developing
and Management of Hazardous Wastes within the country parties.
South Pacific Region (Waigani Convention).
20. Convention on Conservation of Nature in the South This Convention was ratified by PNG in 1996
Pacific Region (Apia, 1996). and deals with the conservation of nature in
the South Pacific Region.
21. Convention for the Protection of the Natural Resources This Convention forms the basis for the
and Environment of the South Pacific Region and establishment of SPREP and outlines the
related Protocols (SPREP, 1986) broad objectives of SPREP.
22. Other International Human Rights Law Whilst not specifically mentioning FPIC, there
is a body of international law and instruments
that protect human rights, within which many
of the principles are the same as those
contained in FPIC. A robust process that
respects the right to FPIC would guard
against accusations of breaches of human
rights or environmental conventions. There
are eight human rights treaty bodies that
monitor implementation of the core
international human right treaties:
* Human Rights Committee (CCPR)*.
* Committee on Economic, Social and
Cultural Rights (CESCR)*.
* Committee on the Elimination of
Racial Discrimination (CERD)*.
* Committee on the Elimination of
Discrimination Against Women
(CEDAW)*.
* Committee Against Torture (CAT) &
Optional Protocol to the Convention
against Torture (OPCAT) –
Subcommittee on Prevention of
Torture (SPT).
* Committee on the Rights of the Child
(CRC)*.
* Committee on Migrant Workers
(CMW).
* Committee on the Rights of Persons
with Disabilities (CRPD).

The monitoring committees for the

instruments with asterisks noted above have
affirmed that treaties protection of the rights of

84
indigenous peoples (including to their
cultures, self-determination, and lands,
resources and territories) and the rights to
meaningful participation, consultation and
consent.

85
Annex 6: Summary Guide For Affected Customary Landowners In The FPIC Process

The following diagram illustrates some of the important procedures that community representative institutions (i.e.,

ILG/Landowner Company/Business Group/Public Company, etc.) in the identified REDD+ territory shall follow in order

to effectively participate in the process of FPIC in REDD+ activities or projects. These procedures can also be

applicable to any other activities that concern the rights of indigenous peoples and customary landowners.

Diagram 11: Summary guide for affected customary landholders in FPIC process

Community representatives should Community representatives should request

find out who is developing the planned information from REDD+ project developers –
REDD+ project. information pertaining to company background,
financial/investment position, development and
environmental position, etc.

Community representatives to consult Community representatives should hold

project developer and set a time to discussions within their community members to
meet and negotiate on the REDD+ discuss on the planned REDD+ project in their
project in their respective land or territory.
community[ies].

Community representatives have the Making decisions as a community by all

right to seek independent advice customary landholders of the REDD+ project.
(legal, socio- economic, financial, A decision made pertaining to the
environmental, etc.) if they are not too development of REDD+ project must reflect
sure of the project or who they are the decisions of the whole community in the
dealing with in the project. identified REDD+ project area.

Community representatives should have on-

going communication and dialogue with the
members of the community and the project
developers of REDD+ .

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Guiding Questions for Affected Landowner Representatives and Affected Customary Landowners.

During FPIC process, it is important that customary landowners ask many questions to project developers or

responsible government agencies to find out more about the planned REDD+ project that may be developed in their

area. The following questions may provide to customary landowners and their representatives some hints when

discussing with project developers about the REDD+ project.

1. Understanding the Project

What is the project? What will the project do?

How big is the REDD+ project? When will the REDD+ project commence? How long will the REDD+ project be
implemented in the area? What is the crediting period of the REDD+ project.
Who are the project developers (for example private company, government)?
What is the history or past performance of the company? Does the company have a good or bad reputation?
Who is providing the funding for the project (for example, commercial banks, World Bank, UN-REDD
Programme, investment fund, private entities and corporations, etc.)
What is the project developers’/participants main business activities?
What is the nationality of the project developer/ investor?
What will be built for the project (for example roads, dams, large electricity poles, schools, health center,
telecommunication system, etc.)?
What support is the Government providing to the project developer?
What is the opinion of the local governing bodies (National Government, Provincial, District and Local Level
Government, etc.) regarding the REDD+ project?

2. Project Impact

What land will be affected by the REDD+ project?

Are there any maps showing affected lands? Will any effects on the land and other resources be permanent?
What are the effects on the land and other resources?
Will the project developer conduct human rights, environmental, gender and social impact assessment? What are
the likely economic impacts of the project? Will there be any voluntary resettlement involved in the project area?
Are there any map showing the leakage area? What activities can take place in the leakage area?
What are the likely benefits of the project? What are the potential risks that will be involved in REDD+ in their area
(for example entering into a sacred site, boundary overlaps, etc.) and community?
What mitigation measures are being put in place, what the options are, as well as how can the project developer
and/or REDD+ proponent make sure that the rights of the affected community under applicable laws (domestic
and international) are analysed and conveyed to the communities so that they are aware of their rights?
Are there any independent reports detailing these risks and are they available for the community?
What benefits will there be for local customary landowners? Will the benefits be permanent or temporary?
What will the company contribute to the community (for example schools, roads, hospitals and other social
development programs)?
Will the project contribute to securing community land holdings? If the project developers take away their
(community) land, will they be compensated equally? And, how much will the compensation package be for the
project?
Will the community need to be resettled in another area? If so, how can this be done, and who will facilitate with
what resources and support?

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3. During Community Consultation and Negotiation Processes

What inputs will the customary landowners contribute to the project design document (PDD)? How will this
happen? And, who will manage this process?
Will community be afforded resources to enable it to better exercise its rights and uphold its side of the consultation
and consent process? What money is in the project budget for these consultations and support to my community
to carry out these consultations (i.e., financial resources, experts, etc.)?
How can customary landholders be involved in the environmental and social impact assessment process? How
can customary landholders also be involved in the economic impact assessment of the project?
If there are environmental, social and economic impact assessments carried out on the project, who has
conducted the impact assessment study? Will the impact assessment study be translated into local language of
the customary landholders affected in REDD+? Will the assessment report be released to the community?
Who has been consulted by the company on the REDD+ project? Does the company think they have the full
consent of the customary landholders affected by the REDD+ project?
Is there any middleman, project negotiators or attorney involved in the project? What benefit will they receive from
the project, and in what percentage will that be from the project?
In the event, if there are any changes to the project design document, what process will be applied by the project
developer to seek landholder’s consent?
Will the company negotiate with customary landholders at each stage of the project?
How will the project developer respond to community concerns, and how will this happen? What are the processes
that will be involved by the project developer?
Is the project developer prepared to disclose any financial statements, including all profits and payments
connected with the project?
Where will the revenues from the REDD+ project go?
What kind of funding mechanisms for REDD+ are in place (for example; Sovereign Wealth Fund, REDD+ Trust
Fund, etc.)?
What is the likely benefit sharing percentage of the customary landholders?
How will the benefits from REDD+ be distributed? And to what specific projects or programs will REDD+ monies
be sent on?
What grievance mechanisms will be available and will my community have standing to use that mechanisms and
what remedies are available (stopping projects, remediation, compensation, etc.).

The above suggested questions are not exhaustive. Affected customary landholders can ask as many questions as

they wish to project developers or responsible government institutions in order to know more about the REDD+ project

that will impact their lands, resources and territorial boundary.

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 Annex 7: Obtaining and Verifying Consent

The subsequent Tables 8, 9, 10, 11, and 12 present some of the possible points that need to be considered in

designing a robust process for obtaining FPIC in the context of REDD+. According to Anderson (2011), the whole

process is pivoted around three levels of consent 85: (a) consent to discuss the idea for a REDD+ project that will affect

community forests; (b) consent to participate in developing a detailed plan for a project; and, (c) consent to the

implementation of the project. It is understood that the whole process leading to each of the three different levels of

agreements will require gradually more intense surveys, analysis, and negotiation by all parties concerned in the

project.

Table 8: Free
Affected customary landholders are free from coercion, intimidation and influence from making decisions on
whether to give or withhold their consent on the REDD+ activity(ies) that may affect their rights and interests,
lands, resources, territories and traditional livelihoods.
Having a meeting or discussion in an agreed location and time by all parties concerned in the project.
Project developers clearly state their assurance not to continue without consent from customary landholders at
all stages of REDD+ project development and implementation where FPIC is sought;
Customary landholders have been informed of their right to say no and to negotiate conditions with project
developers.
Affected customary landholders are given enough time to study the information provided to them by project
developers, and to take on agreed decision-making processes thoroughly. However, deadlines and schedule
Free

for meetings shall be mutually agreed upon by both parties and not imposed by the project developer on the
landowner community.
Outside facilitators or those assisting with project development are reasonably neutral and able to work in a
competent manner to reach the outcome of consent processes (they shall acknowledge their interest in
developing the REDD+ project, disclose their sources of funding, etc.).
An independent verification process needs to be carried out to confirm that the FPIC process was carried out
correctly.
Customary landers shall be able to access third party assistance (legal representation) at any point of time if
they decide to, and not only when there is a break down in the discussion process.
Where consent is not agreed, the time before which it can be sought or agreed again is jointly decided by both
parties, plus the conditions in which consent reversals can have effect.

85 Anderson, P. (2011); Free, Prior, and Informed Consent in REDD+: Principles and Approaches for Policy and Project Development. Published by RECOFTC – The Center
for People and Forests.

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Table 9: Prior
The initial consent of REDD+ project is vital at the project identification or at the conception stage. Consent
from customary landholders shall also be required even when governments, both national and sub-national, are
developing REDD+ Programs;

Consent is required as well as been preserved at various agreed points in the project development process
prior to continuing on to the next phase;
Prior

Consent is sought prior to REDD+ development through landholder/community initiatives on forest

conservation and management programmes, etc;

Consent is sought via a customary landholders/customary landholders approaching different support

institutions to help conserve and protect their forests from deforestation activities from logging, agriculture,
mining, petroleum, etc., that will degrade their forest.

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 Table 10: Informed

The wider community (including women, youth and vulnerable groups) are also fully informed concerning all aspect of REDD+ project
development. All groups must also be involved in the decision-making process in addition to be fully informed of the REDD+ project.
All information is made available in local languages and communicated in a way consistent with community educational needs (as well as time,
location, support etc.). All meetings between project proponents and local customary landholders must be carried out in the local language.
Direct communication (through face-to-face meeting and other inventive, interactive techniques) shall be the default technique or method of
informing the people in the designated project area unless there is evidence of high level literacy in the area.
Who is informed All information about the REDD+ project shall be disseminated to the people or project area as widely as possible by proponents of REDD+ –
and how? transmission from individual clan leaders or community elders representing the community cannot be assumed that the community is well
informed.
Information distribution strategies are sufficiently resourced – for instance financial, human resources and time-wise in order to aid better
community understanding of the REDD+ project.
Landholder’s customary landholders understanding of scientific/technical content of information and agreements reached during the
consultation process may need to be appraised and where necessary, strengthened.
The efficiency of communication techniques or methods ought to be constantly assessed, and from time to time verified independently.

Information about the right of the customary landholders to consent through FPIC process; when and to what (stages); and how (agreed
Informed

consent process decided by indigenous peoples and local customary landholders) is broadly disseminated at the local community level.
Informing about When REDD+ proponents’ may want to stop their activities at certain points along the way.
the right to
consent: Project proponents must publicly disclose the process that is used to facilitate customary landholders’ consent with all the details of the
agreement in ways people can have access to. For instance, in writing, or though audio, and video recordings, etc.
Project Proponents, responsible state bodies shall inform the customary landholders of available mechanisms for them to register and seek
redress for any grievances and also local customary landholders’ right to seek legal assistance regarding the consent process if they need to.
Information on legal services and community costs of engaging any legal services shall be provided by project proponents. Note, there shall
always be a mechanism available for customary landowners to seek redress for grievances. This shall be provided as part of the national
REDD+ strategy, but in addition to this customary landowners have the right, at any time, to take their grievances to national or
regional/international courts.
Equally fair treatment of potential positive and negative impacts of REDD+ projects taking place, as identified by both parties, including direct
and opportunity costs.
Informing about Project proponents must tell the people about the potential benefits of the project as well as the potential negative impacts of the project to the
REDD+ projects: livelihood of the community.
The community and the project proponent receive updates of their legal rights regarding aspects of the proposed project as they evolve.
Customary landholders are engaged in all stages of project development, especially the Social and Environmental Impact Assessment.
Voluntary participation of customary landholders in monitoring aspects of the REDD+ project implementation in order to provide information on
an on-going basis for both parties consumption (not just paid data collection).

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Table 11: Consent

Neither customary landholders’ engagement nor consultation in order to be informed is the same as consent. Engagement and consultation are only the
necessary means to receiving consent for the project.
The principles of Varying degrees of capacity building will be required to educate the people to understand the process of consent depending on previous or any recent
consent include: authorizations to making decisions which can have greater consequences for the entire community.
The whole process of consent must be agreed to and respected by the community (customary landholders) and the project proponent.
Customary landholders will be allowed to develop their preferred process and institutions for making decisions regarding the REDD+ project. However,
minimum standards for general representation including by women and young people will be promoted.
Identifying86 genuine customary landholders or community representatives to go into negotiations between different forest-dependent customary landowners
within a geographic area (participatory mapping):
* Recognizing the user rights of those within the community that shares the same forest is a good practice in order to minimize potential future conflict;
* Where several groups are affected with conflicting claims to land, there is a need to establish whether there are differential rights. FPIC may need to be
tiered or ranked starting with those with the most recognized customary or legally supported claim (consent) to those with interests rather than rights
(consulted).
Identifying institutions87 within the local project customary landholders that can go into negotiations (participatory institutional analysis), requires:
* Identifying local customary landholders’ preferred decision-making institutions for REDD+ projects. This can be an existing one (traditional or formal, such
Who gives as a State-sanctioned village committee, genuine ILGs associations and landowner companies, etc.), or a specially formed institution to meet expectations
consent? of inclusive representation and the potentially increased sophistication required for REDD+ decisions. What is important is that the community decides on
Consent

this, rather than having to conform to a pre-determined decision-making institution.

* Periodic community review of their chosen decision-making entity and process to meet emerging needs, including identification of capacity building needs
to strengthen this entity. Are women, youth, other marginalized groups (as identified by rights-holder groups) satisfied that they are represented by existing
decision-making institutions and processes?
* Making sure relevant decision-making institutions are functioning well according to wider expectations of the community.
* In the case of policy setting that will have an effect on numerous indigenous customary landowners and local customary landholders, such as the
development of national or provincial laws and regulations on REDD+, consent cannot be sought or attained from each community. In practice,
governments shall consult widely with representatives of customary landholders as well as local customary landholders association and networks, based
on a schedule that is transparent and iterative. For example, draft policies that were developed based on initial consultations and presented again to
community representatives for their consideration and consent. Adequate time and support will be needed so that community representatives can consult
within their networks and association.
Identify the community’s (i.e., customary landholders’) preferred procedures for consent and its actual form (existing or revised), including what constitutes
consent for a given rights-holder group.
How is consent Determine the form consent takes. It is required that all consent is written on paper to satisfy the need for documentation but it may not be the most
given? appropriate form culturally. This will need to be mutually agreed.
The level of detail and format required to specify what was consented to will need to be agreed.
Consent to individual stages of the REDD+ project needs to be explicitly documented – including information on the next stage requiring consent.
What is being That consent shall be given only to the project described by the information given to the customary landholders. This will link both the informed and consent
consented to? aspects of FPIC in the whole implementation processes of FPIC in the REDD+ project development.

86 Cautioned must be made when identifying genuine customary landholders or community representative to go into negotiations between different forest-dependent customary landholders within the geographic area. It is important
to note that identification of landowner representative is by the customary landholders or the landholder community(ies) themselves, while it is the job of the government and/or project proponent to acknowledge that designation
assuming a bit of due diligence has been done to establish that the individual(s) in question do have the designation and authority of the affected community in accordance with their own decision-making systems, their norms,
values and custom.
87 Ibid.

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Table 12: Issues and questions to be considered when verifying consent88

Issues Key Questions

Can the team communicate directly with local people without intermediate
FPIC facilitation team: Suitability translation?
and competency
Does the team reflect the ethnic variation of the customary landholders in
the FPIC process?
Does the gender balance of the team allow for gender equity in the FPIC
process?
Is the age profile of the team conducive to full disclosure by local customary
landholders?
Can the team demonstrate competency in participatory consultation
processes?
Do all team members understand the principles, progress and current status
of the UN-REDD country program?
Does the team understand the international legal basis of the FPIC
process?
Were relevant existing national Guidelines for FPIC processes taken into
FPIC process design consideration in the FPIC process?
Is the local governance context understood by the team and reflected in the
FPIC process design?
Has the legal framework supporting or otherwise affecting the FPIC process
been understood and reflected in FPIC design?
Has the team distinguished between indigenous peoples and other forest-
dependent customary landholders, and their respective customary
practices?
Were the limitations to the FPIC process foreseen and addressed?
Was a system for recording views and concerns incorporated into the FPIC
process?
Did the affected communities contribute to and approve of the FPIC process
design?
Did the team obtain a clear invitation from the customary landholders
Initiation of consultation process themselves to engage?
Did the team communicate through valid/legitimate representatives of the
local customary landowners?
Were the initial meetings arranged in a way to generate local ownership of
the FPIC process?
Did local customary landholders have control over the movement between
stages of the FPIC process?
Were community representatives held accountable for their role in the
decision-making process?
Were discussions in the community conducive to full participation of all
community members, including women and youth?
Was the decision-making process recorded faithfully?
Did FPIC process allow a mechanism for internal and independent
discussions of community members and did it identify and address gaps in
the ability of customary landowners to hold these discussions?

88 Adapted from an early draft of a toolkit for evaluation of FPIC developed by the UN-REDD Vietnam Country Program in 2010.

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 Where the consultations conducted in a culturally appropriate manner given
the circumstances and actors involved?
Was information about the program disseminated to ensure maximum
Information and communication possible awareness among all individuals and in a language and form
strategy appropriate to their level of literacy/understanding?
Was the information accurate and relevant to the concerns of local people,
providing answers to their key questions?

Were the customary landholders able to obtain information on REDD+ from

alternative sources?
Was sufficient time allowed for customary landowners to understand the
REDD+ program before making a decision?
Is there evidence of UN-REDD Program being misrepresented through the
Transparency and ‘good faith’ FPIC process?
indicators
Were community representatives or other important influencers of local
opinion provided with incentives to deliver consent, or threats of negative
consequences from withholding consent?
Did the FPIC process favour the involvement of individuals or organizations
for their political or intellectual viewpoints?
Do the documents produced through the FPIC process represent the actual
process and/or outcome?
Did a grievance and review mechanism (GRM) exist during the FPIC
Grievance and review process? Was this effectively available to all members of all customary
mechanism landholders involved?
Was the GRM linked in any way with the FPIC team?
Was the GRM linked in any way to a particular political or intellectual
agenda?
Were actions and decisions taken under the GRM enforceable?
Did the make-up of the GRM reflect the gender, ethnic, religious and
political balance within the area under the FPIC process?

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Annex 8: Role of Independent Evaluators

The role an Independent Evaluator play is very important in ensuring that the process is applied correctly and in

accordance to the principle of FPIC. Independent evaluators are mutually accountable to the government and the

customary landholders, and must be neutral, trustworthy and competent. To ensure that an independent evaluator is

mutually accountable to the government and customary landowners, their selection would be by mutual consent

between the government/project proponent and the affected people or landowner communities.

Given the country’s national circumstances, independent evaluators shall be sensitive to the cultural context of the

customary landholders in question and play a neutral role in the evaluation of the whole FPIC process. Thus, when

conducting FPIC evaluation, independent evaluators are required to work closely with the government and relevant

concerned stakeholders to confirm that the following requirements are taken into account in the FPIC implementation

process;

Information communicated are complete, accurate and understood clearly by everyone in the community,

including appropriate languages, medium and time frame used to communicate the issues to the community

and to have access to other sources of information;

Appropriate language format (English, Tok Pisin, Motu, etc.) is determined by the community on how it

wished to be addressed, used on written materials and in conveying decisions are taken into consideration

and applied in the process;

Appropriate information and literatures on REDD+ are tailored to suit local community’s knowledge and

understanding of the activity, as well as their level of literacy;

Legitimate representatives to negotiate and/or make decision on behalf of the customary landholders have

been correctly identified and engaged throughout the process;

Decision-making process is determined by the community without any interference from the project

proponents, government or any other interest groups;

A secure, culturally appropriate and trusted decision-making environment exist;

Gender, equality and discrimination is addressed and does not have any impact on effective representation,

participation and decision-making in the community;

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The timeline for undertaking decision-making process is decided by the community and that adequate time is

given to build community knowledge and understanding of the activity;

Respect for customary laws and practices of the community[ies] involved must be adhered to by REDD+

proponents during implementation of the process;

Community members are encouraged to consult project proponents, government, NGOs, and other interest

groups to verify their information shall they require additional information on the activity;

Information communicated to the community is transparent, accurate and complete, outlining the advantages

and disadvantages, including potential short-term and long-term impacts, risks and benefits;

All community members are made aware of the activity through information dissemination process that are

consistent with the community’s mechanism for information sharing; and,

Existence of appropriate mechanisms for addressing grievances and dispute resolutions in the community.

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Annex 9: National-Level Grievance Mechanism (FCPF Readiness Fund: Guidelines For Establishing
Grievances and Redress Mechanism at the Country Level)

As outlined in Attachment 4 of the Readiness Preparation Proposal:

“The complexity of issues and diversity of stakeholders may lead to numerous questions, inquiries, and potentially

grievances about the REDD-plus strategy or process. A feedback and grievance redress mechanism is part of the

country’s REDD-plus management framework. Such a mechanism needs to be available to stakeholders early in the

R-PP implementation phase, in order to be ready to handle any request for feedback or complaint that stakeholders

may have about the Readiness activities.

A grievance mechanism is a process for receiving and facilitating resolution of queries and grievances from affected

customary landowners or stakeholders related to REDD-plus activities, policies or programs at the level of the

community or country. Typically, these mechanism focus on flexible problem solving approaches to dispute

resolution through options such as fact findings, dialogue, facilitation or mediation. Designed well, a feedback and

grievance mechanism shall improve responsiveness to citizen concerns, help identify problems early, and foster

greater trust and accountability with program stakeholders. Additionally data on complaints or feedback can be used

to improve performance.

Effective grievance redress mechanisms shall address concerns promptly and fairly, using an understandable and

transparent process that is culturally appropriate and readily accessible to all segments of the affected stakeholders,

and at no cost and without retribution or impeding other administrative or legal remedies. Effective grievance redress

mechanism are also typified by a number of characteristics, such as multiple grievance uptake locations and multiple

channels for receiving grievances; prompt, clear, and transparent processing Guidelines (including reviewing

procedures and monitoring systems); the availability of variety of dispute resolution approaches for flexible response

to specific grievances; and an effective and timely system for informing complainants of the action taken. If

appropriate, the grievance mechanism shall provide special provisions for women, and the youth”.

Grievance mechanisms are not substitutes for legal or administrative system or other public or civic mechanisms.

They do not remove the right of complainants to take their grievance to other more formal recourse options. Ideally

local grievance process will have been accessed, but may not have provided adequate resolution. Alternatives to

more formal grievance mechanisms also may prove useful and can be considered (e.g., a dialogue based multi-party

dispute resolution)”.

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Annex 10: FPIC Proposal Template

Below is an outline of an example FPIC proposal. Information generated from an FPIC proposal can also be used in

a project design document for REDD+ activities.

Part A: Details of Project Proponent(s) in PNG and overseas.

1. Name(s) of Project Proponent in PNG, address and contact details (including telephone, fax, email, office

and residential address).

2. Name(s) of Project Proponent overseas, address and contact details (including telephone, fax, email, office

and residential address).

3. A brief description of Project Proponents business plans.

Part B: Project Information

1. Description of Project, location where project is implemented, the type of greenhouse gas abated, and the

projects contribution to sustainable development in project community.

2. A description of capacity and information needs of affected customary landowners and local communities that

shall be addressed before the FPIC process can take place;

3. Determine whether the process will require a facilitator, and if so, who it shall be;

4. A description of consultation and participation plan for affected customary landholders and local communities,

including where and how it will be implemented;

5. A description of how consultation will be conducted with respective LLGs for the community that is participating

in the REDD+ program (ensure design of consultation and participation plan is disaggregated by men, women,

youths, marginalized and vulnerable groups. Where relevant, include best practices identified in Step 2 of

Phase 1 “Consent during project establishment” to ensure full and effective participation);

6. A description of how project proponents shall collaborate with relevant CSOs, NGOs, women’s organizations

or ministries in the design process of FPIC, if necessary;

7. A Timeline for the proposed consultation and participation plan;

8. A description of how conflict over land use or legal status of affected land, territory and resources will be

addressed, for example, through participatory mapping or land use planning, etc.;

9. A description of appropriate language and media for information sharing and dissemination with affected

customary landholders and local communities;

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10. A description of how free, prior and informed consent will be given, recognized, recorded and documented in

accordance with customary landholders and/or local communities’ traditions and customs. This shall include

women and other vulnerable groups, and what special measures will be taken if existing practices do not

include them;

11. A description of the roles National, Provincial, District government officials and other relevant stakeholders

such as UN Agencies, institutions, donors and independent observers, may play, where applicable;

12. A description of the methods to validate the process, including where relevant, participatory monitoring

arrangements;

13. Describe the terms and frequency of review for the agreement between project proponent and affected

customary landholders and local communities to ensure terms and conditions are upheld;

14. A description of the process to receive and address complaints or grievances for the free, prior and informed

consent process and proposed REDD+ activity;

15. A description of the customary landholders Incorporated Land Groups (ILGs), business groups or other

existing community groups and/or corporative society, etc.; and,

16. Collaborate with relevant CSOs, NGOs, and women’s organizations to identify potential barriers to

participation. Identify best practices in overcoming barriers to participation.

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 Glossary

Abatement

Refers to reducing the degree or intensity of greenhouse gas emissions.

Adaptation

Adjustment in natural or human systems in response to actual or expected climatic variability or their effects, which

moderates harm or exploits beneficial opportunities.

Afforestation

Planting of new forests on lands that historically have not contained forests.

Carbon market

A popular but misleading term for a trading system through which countries may buy or sell units of greenhouse gas

emissions in an effort to meet their national limits on emissions, either under the Kyoto Protocol or under other

agreements, such as that among member states of the European Union. The term comes from the fact that carbon

dioxide is the predominant greenhouse gas and other gases are measured in units called “carbon-dioxide equivalents”.

Carbon sequestration

The process of removing carbon from the atmosphere and depositing it in a pool.

Certified Emission Reduction (CER)

A credit issued for mitigation achieved by a CDM project activity, equal to one metric ton of carbon dioxide

equivalent.

Climate Change

A change of climate which is attributed directly or indirectly to human activity that alters the composition of the global

atmosphere and which is in addition to natural climate variability observed over comparable time periods.

Conference of the Parties (COP)

The supreme body of the Convention. It currently meets once a year to review the Convention’s progress. The word

“conference” is not used here in the sense of “meeting” but rather of “association” which explains the seemingly

redundant expression “fourth session of the Conference of the Parties.”

100
Clean Development Mechanism (CDM)

The mechanism defined in Article 12 of the Kyoto Protocol to assist Developing countries in achieving sustainable

development and in contributing to the ultimate objective of the Convention and to assist developed countries in

complying with their mitigation targets under the Kyoto Protocol.

Deforestation

The conversion of forest to non-forest.

Designated National Authority (DNA)

An office, ministry, or other official entity appointed by a Party to the Kyoto Protocol to review and give national

approval to projects proposed under the Clean Development Mechanism (CDM).

Emissions

In the climate change context, emissions refer to the release of greenhouse gases and/or their precursors and

aerosols into the atmosphere over a specified area and period of time.

Forest degradation

Occurs when the structure or function of a forest is negatively affected, reducing the ability of the forest to provide

services or products.

Gender

The term "gender" refers to the socially-constructed differences between men and women, as distinct from "sex", which

refers to their biological differences. In all societies, men and women play different roles, have different needs, and

face different constraints. Gender roles differ from the biological roles of men and women, although they may overlap.

For example, women's biological roles in child bearing may extend their gender roles to child rearing, food preparation,

and household maintenance. Gender roles demarcate responsibilities between men and women in – social and

economic activities; access to resources; and, decision-making authority.

Greenhouse Gases (GHGs)

The atmospheric gases responsible for causing global warming and climate change. The major GHGs are carbon

dioxide (CO2), methane (CH4) and nitrous oxide (N2O). Less prevalent – but very powerful greenhouse gases are

hydro fluorocarbons (HFCs), per fluorocarbons (PFCs) and sulphur hexafluoride (SF6).

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Human Right

The basic rights and freedom, to which all human are entitled, often held to include the right to life and liberty, freedom

of thought and expression, and equality before the law.

Kyoto Protocol

An international agreement standing on its own, and requiring separate ratification by governments, but linked to the

UNFCCC. The Kyoto Protocol, among other things, sets binding targets for the reduction of greenhouse gas emissions

by industrialized countries.

Mitigation

In the context of climate change, a human intervention to reduce the sources or enhance the sinks of greenhouse

gases. Examples include using fossil fuels more efficiently for industrial processes or electricity generation, switching

to solar energy or wind power, improving the insulation of buildings, and expanding forests and other “sinks” to remove

greater amounts of carbon dioxide from the atmosphere.

Payment for Environmental Services (PES)

Payment for environmental services (PES) is a market-based approach to conservation based on the twin principles

that those who benefit from environmental services (such as users of clean water) should pay for them, and those who

generate these services should be compensated for providing them. In a PES mechanism, service providers receive

payments conditional on their providing the desired environmental services (or adopting a practice thought to generate

those services). Participation is voluntary.

REDD+

REDD refers to “Reducing Emissions from Deforestation and forest Degradation”. The “+” symbol refers to additional

activities, such as the sustainable management of forests and the enhancement of forest carbon stocks.

REDD+ safeguards

REDD+ safeguards are set of principles, rules and procedures put in place to ensure protection against social and/or

environmental damage or harm caused by REDD+ programs or activities.

Reforestation

Refers to converting land that was not forested into forest.

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UNFCCC

An international agreement that was signed in 1992 and entered into force in 1994, with the ultimate objective of

achieving the stabilization of greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous

anthropogenic interference with climate system.

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 References
Anderson, Patrick (2011). FPIC in REDD+: Principle and Approaches for Policy and Project Development.
RECOFTC – The Center for People and Forests. Bangkok.

Climate Community Biodiversity Alliance & CARE International (2010). REDD+ Social & Environmental Standards,
Version 1.

http://www.redd-oar.org/

https://www.cia.gov/library/publications/the-world-factbook/geos/pp.html

http://www.forestry.gov.pg/site/page.php?id=40

http://unfccc.int/files/meetings/application/pdf/pngcphaccord_app2.pdf

http://www.tradingeconomics.com/papua-new-guinea/population

Oxfam Australia (2007). FPIC: The Role of Mining Companies. Carlton, Victoria, Australia.

Oxfam Australia (2010). Guide to FPIC. Carlton 3053, Victoria, Australia.

Papua New Guinea Forest Authority (1995). Village Guide to Land Group Incorporation. A.P. Power, Ivin
Enterprises, Wewak, Papua New Guinea.

PNG’s Economy 2012 – past, present and future prospects, by Paul Barker, Institute of National Affairs.

Readiness Preparation Proposal for Papua New Guinea, submitted 28 September 2012, Version 9 Working Draft, p.
30-31.

Report of the Special Rapporteur on the Rights of Indigenous Peoples, supra note 12, para. 49.

Tate, Bob, Trade in Challenging Times – A Role for ITTO? PNG Forest Industry Association, http://www.fiapng.com

United Nations Commission on Human Rights, 2004.

UN-REDD Programme (January 2013), Guidelines on Free Prior and Informed Consent.

UN-REDD Programme. Legal Companion to the UN-REDD Programme Guidelines on Free, Prior and Informed
Consent (FPIC): International Law and Jurisprudence Affirming the Requirement of FPIC.

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UN-REDD Programme (2011). The Business Case for Mainstreaming Gender in REDD+.

UN-REDD Programme (2011).Papua New Guinea National Programme Document.

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