This reprt is a synpsis f all f the three wrkshps t highlight the verlaps and trends in issues faced at each stage f the HCV management and mnitring prcess. The reprt details the discussins generated frm each wrkshp and in turn reflects the pinins viced by the participants. T clearly represent the events, it was deemed that the statements within this reprt shuld accurately represent the ideas f the participants invlved nly and nt thse f the authrs. Recmmendatins frm the authrs are frm an evaluatin f the discussins. ZSL - RSPO Wrkshp Series n HCV Mnitring and Cmpliance Summary Reprt Michael Zrust, Laura D Arcy, and Andjar Rafiastant
Zrust, D Arcy & Rafiastant ZSL - RSPO Wrkshp Series n HCV Mnitring and Cmpliance Summary Reprt Michal Zrust, Laura D Arcy & Andjar Rafiastant September 2013 Cntents Backgrund... 2 Intrductin... 2 Discussins... 3 The HCV Assessment prcess... 3 HCV Management and Mnitring... 6 Issues... 9 Assessrs... 9 Prducers... 9 Auditrs... 11 General Cmments... 11 ZSL HCV Mnitring System... 12 Assessrs... 12 Prducers... 12 Auditrs... 12 Participant Presentatins... 13 Recmmendatins (frm prducer wrkshp)... 14 Recmmendatins (frm auditr wrkshp)... 14 1
Summary Reprt Backgrund ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance In 2011, The Zlgical Sciety f Lndn (ZSL) identified a significant gap in the drive t successfully manage and maintain High Cnservatin Values (HCVs) in il palm landscapes. Whilst mnitring frms the backbne f successful and effective adaptive management, little guidance was available t prducers n hw t undertake mnitring, and n standardised mnitring prtcls and tls had been develped fr the sectr. During 2012, the Bidiversity and Agricultural Cmmdities Prgramme, tgether with tw il palm cmpanies, funded the ZSL Bidiversity and Palm Oil Prject t develp, field trial and train cmpanies n an il palm industry-specific HCV mnitring prtcl t mnitr HCVs. The system was designed t facilitate the adaptive management prcess fr activities undertaken by cmpanies t maintain and enhance HCVs. The prtcl was finalised at the end f 2012 with tw cmpany HCV staff fully trained n its implementatin and n the use f accmpanying sftware (SMART) which stres, analyses and reprts n the results f data cllectin. Intrductin The develpment f the HCV Threat Mnitring System was quickly fllwed by its endrsement by the RSPO BHCV Wrking Grup, demnstrating RSPO s fficial recgnitin f its value and place within the certificatin prcess and HCV prtectin. Whilst the RSPO and ZSL began t raise awareness f the System and its uses, it is clear that the System itself needs t be inherently linked t all f the stages f HCV identificatin, management and auditing befre, during, and after the certificatin prcess takes place. Due t this need, ZSL held a series f wrkshps fcusing n the three stages f the prcess: HCV Assessment, HCV management, and auditing, fr HCV assessrs, il palm prducers, and RSPO auditrs respectively. The fur brad aims f these wrkshps were: - T better understand current practices as they are in the field. - T gather infrmatin n the issues and difficulties faced by thse invlved at each stage f the prcess. - T intrduce the HCV Threat Mnitring System t raise awareness f hw it can be utilised t vercme issues f HCV management and mnitring and als t cnsult n any amendments needed. - T engage with the stakehlders t gather ideas n hw t imprve the system. Each wrkshp fllwed this agenda t fulfil the bjective f develping recmmendatins t the RSPO Bidiversity and High Cnservatin Value Wrking Grup frm each stakehlder grup. Detailed agendas and attendance lists can be fund in Appendices I & II. 2
Zrust, D Arcy & Rafiastant This fllwing reprt is a synpsis f all f the three wrkshps t highlight the verlaps and trends in issues faced at each stage f the HCV management and mnitring prcess. The reprt details the discussins generated frm each wrkshp and in turn reflects the pinins viced by the participants. T clearly represent the events, it was deemed that the statements within this reprt shuld accurately represent the ideas f the participants invlved nly and nt thse f the authrs. Recmmendatins frm the authrs are frm an evaluatin f the discussins. Discussins The HCV Assessment prcess Hw is the HCV Assessment develped? Overall, it was fund that assessrs fllw the HCV Assessment Tlkit develped by the HCV Resurce Netwrk. Sme assessrs stated that the guidance prvided within the Tlkit is nt always sufficient fr the purpses f the il palm industry assessment and are therefre used as a guideline nly. Further guidance is als sught frm RSPO Criterin 5.2 and the RSPO New Planting Prcedure in rder t prduce a sufficient RSPO HCV Assessment. Data fr the HCV Assessment are cllected frm a number f surces including published infrmatin (in any medium) in the public dmain, varius map catalgues, the cnsultancies wn databases, rapid field surveys and interviews with stakehlders. Data fr HCVs 1-4 are cllected frm research f published (free) remte sensing data, current flra and fauna distributin maps (e.g. IUCN, Trpenbs, Birdlife), rapid field surveys cnducted by the cnsultancy itself, interviews with lcal cmmunities and literature surveys. Species ppulatin data are rarely included in assessments as mst surveys are cnducted t gather nly presence/absence infrmatin. Data cllectin n wildlife tends t be mre pprtunistic than based n recmmended scientific survey methdlgies. Assessrs emphasised that they are frced t wrk within the budgets allcated by the cmpany, which limits the time spent in the field and therefre the depth and breadth f the data included in assessments is restricted. HCV assessrs cllect and cllate a wide range f maps int the HCV Assessment dcument. These include, but are nt always limited t, the IZIN Lkasi, HGU area maps, tpgraphy maps, thematic maps (gephysical data), village maps, land-cver and land-use maps, land-rights map, wildlife distributin maps, drainage maps, climate and rainfall, planting plan map etc. The lack f standardised maps means that assessrs ften wrk with maps f all ages, scales and prjectins, depending n what is available fr the area f interest; greatly limiting cmparability. Cmpanies d prvide certain maps fr the HCV assessment prcess (especially n land rights, IZIN Lkasi and HGU), hwever these can be f variable quality and assessrs are ccasinally required t develp their wn maps. 3
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance Data fr HCV 5&6 identificatin are cllected thrugh cnsultatins with interested parties. Assessrs agreed that they must sift thrugh the data carefully as perceptins f what is and is nt HCV 5&6 vary greatly in lcal cmmunities. As bth primary and secndary data are cllected, mst assessrs stated that secndary data are first judged t be f sufficient quality by the assessr themselves and then ptentially verified by field checks, interviews r phtgraphs f wildlife. It was als highlighted that public cnsultatins play an imprtant rle in the verificatin f secndary data. One participant nted that this is the primary ccasin fr the verificatin f data and it is imprtant t gain as much infrmatin frm these cnsultatins as pssible as assessrs d nt have enugh time t verify all the data they use within the assessments. Anther participant stated that if n ne bjects t particular infrmatin during the public cnsultatin, then the infrmatin must be crrect and is therefre cnsidered verified. Cmpany invlvement Dependent n cntractual agreements, cmpanies prvide assessrs with lgistical supprt, supprt frm cmpany staff as well as accmmdatin and feedback. Mst assessrs agreed that client (cmpany) invlvement is very imprtant as it prevents disagreements at a later stage n the size, lcatins and value f the HCV areas recmmended. Fr this purpse, the assessr in questin rganises regular interactins with the cmpany, tgether with lcal cmmunities and ther stakehlders frm the beginning f the assessment prcess. One assessr highlighted that, frm previus experience, cmpany staff presence can affect the respnses prvided by lcal cmmunities creating a ptential bias in the results. All participants agreed that whilst cmpany invlvement was very imprtant and that cmpany staff shuld take part in the develpment and research f the HCV Assessment, cmpanies shuld nt be allwed t interfere with the final utputs and recmmendatin f the reprt. Despite this, sme assessrs mentined that n numerus ccasins they have been requested t change r dilute their recmmendatins. One prducer stated that scial assessments tend t be dne by utside cnsultants, with cmpany s wn staff als jining the prcess. In cases where the cmpany disagrees with the recmmendatins prvided by the assessr, these are filtered t thse acceptable t the cmpany and the management plan is develped n thse recmmendatins. Public cnsultatin and peer-review Participants were unclear whether public cnsultatins shuld take place befre, during r after the cnduct f the HCV Assessment and at what gegraphical scale (lcal, reginal, natinal) the fcus shuld be. One assessr grup reprted that public cnsultatins indicate the level f interest stakehlders have in a prject. They shuld invlve traditinal leaders, the yunger generatin, religius leaders 4
Zrust, D Arcy & Rafiastant and lcal gvernment t assess the perceptins f each stakehlder grup. Public cnsultatins were fund by sme t be prly managed and therefre did nt supprt prfessinal decisin making, but even these assessrs still believed that they are useful as they generally tend t reflect the extent and areas f public cncern plantatin develpment and HCVs. Cnsultatins require the expertise f a technical facilitatr. In sme cases, the assessrs fund that the facilitatr des nt take int accunt the educatinal and awareness gaps between the assessrs and the lcal cmmunity r are nt impartial and push their wn perceptins f the situatin. The assessrs als stated that all the cnsultants can d under the remit f a cnsultatin is t develp a mdel fr ptential HCV areas, and in turn this mdel needs t be screened and endrsed by stakehlders. A public cnsultatin des prvide an pprtunity fr lcal cmmunities t vice their grievances. Hwever, it was nted by the assessrs that lcal cmmunities are nt well infrmed and ften d nt understand the maps presented t them r are nt invlved deeply enugh in the assessment prcess t have sufficient knwledge t participate actively with the issues at hand. As cnsultatins are allcated nly shrt perids f time (smetimes as little as 4 hurs), there is ften nt enugh time available fr a detailed and therefre useful discussin. Despite this, assessrs stated that they d use the results f cnsultatins t imprve the infrmatin cllated int the HCV Assessment. Overall assessrs fund peer reviews a useful prcess, hwever nn-transparency f the reviewers, their incmplete understanding f the pririty issues f the subject area and subject bias (amngst thers) ften wrks against the prvisin f useful input fr assessments. Other participants mentined that results frm bth cnsultatins and peer reviews tend t be limited with thse invlved t ften emphasising their wn interests rather than prviding useful feedback n the HCV Assessment. One participant stated that when reviews are dne by ther assessrs, criticisms tend t be watered dwn t avid cnflict between different assessrs. Hwever even thugh there are n clear fficial rules n peer-reviews, mst believed that they shuld be cnducted t increase the credibility f assessrs and the HCV Assessment. Hw d prducers and auditrs verify the quality f the HCV Assessment? In additin t using peer reviews, cmpanies have t determine fr themselves whether the HCV Assessment prduced by cnsultants is f sufficient quality and standard fr their needs and t meet certificatin and legal requirements. This is usually undertaken by analysing the cntent f the assessment and checking fr what data was cllected under each HCV type; the presence f species lists (including knwn RTE species) and interviews f plantatin wrkers and cmmunities; a wide range f maps (including slpe and sil type assessments); and fr the presence f recmmended sites fr riparian area prtectin. When peer-reviews have shwn an assessment t be inadequate, ne cmpany representative stated that they have requested fr the assessment t be re-dne. Sme stated that a peer-review f assessments is nly semi-cmpulsry. The auditr grups reprted back that in rder t verify the HCV Assessment, they researched: - whether r nt the assessr was RSPO apprved; - whether a stakehlder cnsultatin was held (t include NGOs and gvernment); - whether the dcument was peer reviewed; 5
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance - the HCV Identificatin Tlkit crrectly applied; - whether bth secndary and primary surces f data were used; - HCV maps (and land-use change maps since 2005) were present; - species lists present; - and whether mnitring recmmendatins were given. The presence f characteristics was the benchmark fr the quality f the HCV Assessment. Other checks put in place by auditrs t verify the presence f rare, threatened r endangered (RTE) species n the plantatin mentined by auditrs included: cnversatins with cmpany emplyees t determine species presence; verbal agreement n the presence f species with ther stakehlders (e.g. lcal cmmunities); ptential checks with gvernment departments; and sme field visits t find animal tracks. HCV Management and Mnitring What recmmendatins des the HCV Assessment prvide prducers fr HCV management? A wide variety f respnses were received frm assessrs with varying levels f detail. One participant nted that HCV management is assumed t be thrugh benign neglect and limited t the cntrl f external threats and their surces. Therefre recmmended actins wuld include mapping and marking f HCV bundaries; enfrcement activities f thse bundaries; awareness raising f the bjectives fr HCV maintenance t stakehlders wh pse a threat t HCV areas; and develpment f prcedures fr c-management in specific cases. Other participants recmmended the intrductin f a nn-hunting plicy (including putting up awareness signs t this effect in the area); educatin f wrkers; cntrl f access t prevent paching; maintenance and enhancement f areas unsuitable fr planting fr bidiversity; and ensuring that effluent and ther wastes d nt leave the prperty and pllute areas utside f cncessin bundary. The develpment f wildlife crridrs was mentined as a recmmendatin by numerus participants althugh the purpse f these crridrs r the understanding f hw they shuld functin was unclear. In additin participants were nt clear n hw far int the wider landscape utside f cncessins their recmmendatins shuld g, given the inability f cmpanies t cntrl actrs utside f their cncessins. T specifically supprt Criterin 5.2, cmpanies are advised t develp Standard Operating Prcedures (SOPs) fr HCV management and staff training; set aside recmmended areas frm develpment plans; infrm cntractrs and field staff abut HCVs; and specify penalties fr infringement f rules. Assessrs felt that the develpment f cntent fr SOPs was utside f the scpe f HCV Assessments and cmpanies needed t develp SOPs themselves. Their quality shuld then be reviewed by auditrs. The level f detail in an assessment was frequently limited t recmmendatins such as discuss the need t hunt with the lcal cmmunity, undertake scialisatin, prvide alternative livelihds, 6
Zrust, D Arcy & Rafiastant prvide budget fr HCV mnitring r seek ut experts fr further infrmatin. Many participants felt that recmmendatins were intended t be general and the detail was t be filled in by the cmpanies. Hwever sme participants mentined that they are specifically asked t keep recmmendatins general by clients in rder t avid binding them t specific actins. It was stated that the RSPO nly requires glbal (general) recmmendatins. Whilst sme participants believed that prvisin f better wildlife ppulatin data wuld allw prducers t better understand the negative impacts f il palm develpment, ther participants felt that cmpanies were nly respnsible fr the supprt f cnservatin and nt fr cnservatin itself. Therefre management recmmendatins reflect this. One assessr grup reprted back that the respnsibility f the management f the HCV management unit falls n the RSPO. What recmmendatins des the HCV Assessment prvide prducers fr HCV mnitring? Almst n infrmatin n the mnitring recmmendatins prvided in HCV Assessments were given during grup feedback. Participants that were specifically requested t divulge the recmmendatins they prvide t cmpanies ften cnfused management activities with mnitring. Tw participants submitted further infrmatin in written frm t ZSL after the cnclusin f the wrkshp. They stated that mnitring recmmendatins are ften designed t minimise effrt by cmpanies and seek t invlve third parties wh have specialist knwledge f the tpic areas f management and mnitring. Whilst cnsultants were recmmended fr this task, the assessrs stated that reginal stakehlders wuld be preferable. Bth participants stated that mnitring must be based n the capacity f the cmpany implementing it and bth stated that they recmmend increasing capacity thrugh staff training. Tw participants prvided further infrmatin fllwing the wrkshp. Their recmmendatins with the HCV Assessment included the identificatin f key HCV species that can be easily identified by staff fr adptin as indicatrs fr quick assessment and mnitring f waste and waste water discharge frm mills. Indicatrs need t be chsen accrding t the bjectives f the HCVs present and can be bth qualitative and quantitative. Hwever neither assessr was able t prvide recmmendatins n the prcess f hw management plans shuld be adapted fllwing data evaluatin. One stated that this was due t n mnitring data being available fr analysis. Hw useful is the HCV Assessment fr prducers? There was widespread agreement during the prducers wrkshp that the HCV assessment prcess had serius shrtcmings. Sme believed that HCV species lists prduced as a result f cnsultatins with lcal cmmunities are nt adequate and the lack f a timeframe meant that withut detailed prbing, species mentined by cmmunities during interviews may have lng-disappeared frm the area. The prducers als agreed that the level f detail within the HCV assessments was nt sufficient t develp sufficient management and mnitring plans and that recmmendatins verall were very general. 7
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance It was fund that (when given) detailed recmmendatins ften suffered frm a lack f practicality n the field level and therefre were difficult t implement due t lack f capacity, resurces and cmpany prcedures. Recmmendatins need take int cnsideratin the specific cnditins f cncessins and be better tailred t cmpany peratins and needs. Participants als recmmended that peer-reviews shuld be undertaken n HCV assessments. It was mentined that getting certificatin was easy, hwever it was at the audit stage that cmpanies began t struggle. Hw d auditrs assess cmpany HCV management and mnitring? During the prducer wrkshp, ne cmpany representative shared his experience with the audit prcess f HCV management and mnitring. His cmpany prvided management and mnitring data t the auditrs in a summary reprt and used the data cllected by utside researchers as a demnstratin f cmpany mnitring activities. Lack f cnsistency amngst auditrs frm the same Certificatin Bdy was highlighted by a number f prducers. It was fund that tw auditrs may audit very differently and inexperienced auditrs cause cmpanies many prblems especially when attempting t apply the HCV standard in il palm cntext in similar ways t that f the frestry sectr. Interpretatin f the HCV cncept was fund t vary between different auditrs and there appeared t be n standardisatin f the audit prcess even within a single certificatin bdy. Whilst it was mentined that auditrs d read the HCV management and mnitring dcuments prvided by cmpanies, recmmendatins and feedback tend nt t be in writing and nly ffrecrd. Participants als recmmended that auditrs require training n the helpful new indicatr f 5.2.5 which shuld link HCV 5 & 6 assessment t the Scial Impact Assessment (SIA). During the auditr wrkshp, a wide variety f respnses were given t the abve questin, yet the specific questins regarding what cnstitutes an indicatin f cmpliance fr maintaining and/r enhancing HCVs remained unanswered. Sme statements n this issue included: There will be n changes in HCVs unless there is encrachment. Therefre mnitring f HCVs is nt always necessary. and if the HCV area is still there; this cnstitutes cmpliance. Only ne grup stated that they searched fr evidence that specific illegal activities such as hunting are discuraged althugh it was nt made clear what this evidence is. Sme auditr grups stated that field checks are carried ut fr the presence f signs (t deter hunting), area demarcatin, and signs f encrachment by lcal cmmunities. Hwever, in general, nly a small number f participants mentined that any field checks are carried ut during the audit prcess. One grup remarked that they tk an evaluative apprach t the assessment f management and mnitring plans. They stated that it is imprtant t assess whether the management and mnitring plans are linked t the HCV assessment recmmendatins and natinal legal requirements. In additin, they wished t see that cmpany SOPs were in line with bth the management and mnitring plans. Anther grup said that they search fr details such as the frequency f mnitring; hwever they were nt able t explain clearly what cnstituted a gd mnitring prgramme when asked. Mnitring data are given t the auditrs by cmpanies in a variety f frms with little standardisatin including species lists, evidence f a mnitring budget, maps f HCV lcatins, recrds f HCV plan implementatin, stakehlder cnsultatin reprts, and as part f dcuments 8
Zrust, D Arcy & Rafiastant such as riparian management plans (althugh these d nt cnstitute n-ging mnitring results). Sme auditrs als cnducted and analysed staff cmpetencies based n interviews. The use f adaptive management as an example f gd management practice was nt mentined during grup feedback. Auditrs were therefre asked hw they wuld audit the requirement fr adaptive management and determine whether mnitring results were being fed int updated management plans. N infrmatin was prvided n hw this was audited, hwever this may be due t this indicatr being nly intrduced during the 2012-13 P&C review. Issues Assessrs There is little trust in statistical data prduced by the BPS (Indnesian Natinal Statistics Agency) n lcal cmmunities as well as data n rainfall and ersin ptential frm ther surces (nt mentined). Maps that are available are in general believed t be f lw quality. IUCN species list data are als believed nt t be up t date. Cperatin and gd relatins between cmpany and lcal cmmunity are required fr successful implementatin f HCV management recmmendatins, hwever these are ften lacking and in sme cases parties are hstile t ne anther. It is als required t accurately capture and assess scial HCVs. When this relatinship is nt present, the HCV Assessment may nt be fully accurate. Public cnsultatins are usually ut f cntext and variatin in representatin r attendance in cnsultatins can bias the infrmatin received and thus the recmmendatins prduced. Withut all members represented, the recmmendatins may be incmplete and quality f the Assessment may be lw. One grup felt that it was ften difficult t cmprmise between the size f the HCV required and the ecnmic lss that results frm such recmmendatins fr the cmpany as ecnmic cnsideratins are mst imprtant t cmpanies. When allcatins f resurces fr cnservatin are invlved, assessrs are under pressure t recmmend a cmprmise. Up until nw, the RSPO-published tlkits n HCV maintenance d nt prvide sufficient detail t prvide sufficient recmmendatins fr maintenance f HCVs. The recmmendatins fr capacity building fr cmpanies (including staff training) required t maintain their HCVs were given as examples where detail is insufficient. The lack f recgnitin f the HCV cncept under Indnesian law was recgnised by assessrs as a further issue. Prducers Participants felt that the HCV assessment is dne during a relatively shrt time and therefre failed t describe the verall cnditin f the area and prvided nly a narrw snapsht f the state f the envirnment befre planting. 9
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance Within peratinal difficulties, participants stated that cst was ne f the biggest hurdles t vercme. Budgets were ften nt allcated and senir cmpany managers ften attempted t d withut a dedicated HCV budget. Thse respnsible fr HCV management and mnitring therefre are nt certain what level f funding will be available t them frm ne year t the next and budgets were nly allcated n a prpsal (rather than regular) basis and smetimes nly n request. Managers ften questined whether tangible utputs f HCV management and mnitring culd be demnstrated, yet did understand the benefits t cmpany image. Mnitring hwever was ften perceived by managers nt t have sufficient tangible result. Staff allcated t HCV issues were rarely dedicated t nly deal with HCV issues. The majrity had ther respnsibilities and therefre culd nt be fully cmmitted t ne jb r the ther. One participant hwever suggested that the issue was nt ne f having a specific number f peple within an HCV team, but that the number f peple required was dependent n the size f the HCV area. He suggested that sme guidance shuld be prvided as t hw many peple are required per varying HCV sizes. The HCV cncept is nt currently recgnised by Indnesian regulatin (and therefre the Badan Pertanahan Nasinal BPN, Indnesian Land Agency) and this creates cnflict between the RSPO (specifically the HCV Assessment) and Indnesian laws. It was als mentined that enclaves can smetimes be referred t as HCV areas, yet are nt under the direct cntrl f the cmpany even thugh they still frm a part f the HGU; it was requested that this cnflict be addressed. A number f the participants agreed that there is a need fr a mediatr between RSPO certified cmpanies and the BPN t better cmmunicate the HCV cncept and cmpany respnsibilities under the RSPO. Hwever the participants were nt able t prvide an example where HCV land had been excised by the gvernment. Since allcatin f HCV areas reduce the ptential area fr planting, sme participants pinted ut that smallhlders refuse t allcate HCV areas. In additin, the majrity f lcal cmmunity members d nt understand the cncept f HCV and instead wish t use what they perceive as abandned land fr prductin. Land cnflict smetimes prevented cmpany staff t enter HCV areas. Discussins n mnitring were candid. Participants stated that external threats (e.g. mining) were the hardest t vercme and mst f these came frm cmmunities living arund the cncessins. Hwever threats t HCV areas were rarely analysed systematically and infrmatin regarding the threats t HCVs were nly reviewed annually. Participants explained that they did nt knw what t d with mnitring data and there was usually n fllw up n mnitring results thrugh changes in the management plan. Sme participants felt that there were simply t many indicatrs t mnitr and that it was f little use t have ppulatin status data fr HCV species as cmpanies did nt knw hw t analyse the data, wh it shuld be given t, r what t d with it and hw management shuld change as a result. 10
Zrust, D Arcy & Rafiastant Auditrs Auditrs prvided their feedback in bullet-pint frm due t the large number f issues identified: HCV Assessments - Cmpanies did nt have the crrect maps available (including land suitability and bundary maps) r maps were f pr quality fr auditing purpses. - In sme cases, maps did nt have GPS crdinates. - Data n land use prir t cnversin may be missing. - Cmpanies d nt have the landhlder titles available fr audits. - HCV identificatin can be incrrect. - There is n standard fr HCV Assessments. - Auditrs felt it was difficult t verify whether the presented stakehlder input int HCV assessments is in fact the actual input as raw data is ften missing. They are therefre unable t verify whether the reprt factually represents the discussins. HCV Management - HCV areas may be planted with il palm. - Management plans lack details f timelines and wh is t implement the plan. - There is a lack f understanding f hw HCV management plans are t be implemented. - Staff lack training n HCV management. - There is little evidence f stakehlder cnsultatin n HCV management. - There is n budget allcated fr HCV management. - Management smetimes nt willing t implement HCV management plans. - The adaptive management prcess des nt take place; mnitring data is nt used t imprve plans. HCV Mnitring - Mnitring and management may nt be aligned. - Mnitring recrds may nt be traceable; time, lcatin, date may be missing frm data cllected. Certificatin Bdies have attempted t reslve this by data review and cnduct f mre research and staff interviews. - Frequencies f mnitring can be randm with n justificatin. - Certificatin Bdies may nt be cnfident whether the quality f mnitring data is sufficient t infrm adaptive management. - Staff may nt have the capacity t understand hw mnitring results shuld feed int management plans. - Staff are ften unaware f what t d with mnitring data and may nt be able t analyse it. - There is n standard fr HCV reprting fr audits. General Cmments The abve prblems d result in the failing f audit, but they are cmmn prblems. 11
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance Certain auditrs requested mre guidance n best practices fr mnitring as they cannt make a judgement n the effectiveness f plantatins management plans. Specific requests were made fr details n effective mnitring with frequencies fr mnitring varius taxnmic grups. Issues f verificatin and quality cntrl exist, but auditrs are nt respnsible fr quality judgements. Therefre auditrs stated that we shuld decide wh is respnsible fr verifying the quality f mnitring data. Guidelines fr mnitring shuld be develped, but training needs t be develped fr cmpanies n hw t undertake mnitring and adaptive management. ZSL HCV Mnitring System Assessrs Assessrs asked what fllw up actins wuld be taken fllwing the utput frm the mnitring system. It was explained that this system is develped as a tl fr infrming management and there is still a need therefre fr prescribing Best Management Practices (BMPs). Further questins were raised fr clarificatin n whether HCV Assessments can be integrated as baselines int the system. Prducers The system was well received with questins psed t the resurces needed t implement the system and technical details such as the inclusin f phtgraphs under each data pint, whether the system can be based nline, and its susceptibility t viruses. A number f cmpanies apprached ZSL after the meeting t request further infrmatin regarding the training prcess fr the mnitring system. Auditrs The system was well received with questins psed t the staff resurces required t implement the system; the csts invlved; if a Persnal Digital Assistant (PDA) versin is available; the level f detail that is cllected during patrls; and the reprts prduced. Mst interesting questins arse in regards t the pssibility f the system helping t demnstrate cmpliance t Criterin 5.2. Questins were psed whether the use f the system demnstrates cmpliance. It was explained that the use f the system itself des nt shw cmpliance, but the results prduced can be analysed t shw cmpliance with certain sub-criterins (namely aspects f 5.2.2 and 5.2.4). Whilst the participants agreed that the system is valuable t prducers and will aid the audit prcess, they pinted ut that they cannt request the results f the Mnitring System withut the RSPO making it cmpulsry t use it. 12
Zrust, D Arcy & Rafiastant Participant Presentatins Dr Gan, Musim Mas presentatin (Prducers Wrkshp) Dr Gan presented n the mnitring activities f Musim Mas in Sumatra, Indnesia. Musim Mas have created Standard Operating Prcedures fr the management and mnitring which utilises bth internal cmpany resurces and utside help t prtect HCVs. Management is given HCV training which includes GIS, bidiversity assessment training and n issues f security. Musim Mas undertakes extensive mnitring f a number f taxns including birds, mammals and reptiles as well as vegetatin. This mnitring is undertaken tgether with Princetn University t allw fr internatinal students t study within Musim Mas cncessin. Agreements are made with the lcal cmmunity fr the prtectin f HCV land and external threats are regularly mnitred with patrls. Management plan review takes place regularly fr adaptatin fllwing mnitring results. Discussin During the discussin fllwing the presentatin, participants asked Dr Gan abut the resurces required t undertake the mnitring and hw it linked back t management. Dr Gan respnded that each cmpany (PT) has apprximately 14 staff wrking n sustainability issues and HCV area rughly equalled 20% f the cncessin land. Mnitring was cnducted every mnth and nce every six mnths fr vegetatin assessments. If threats were fund, this was immediately used t internally alter the management plan, hwever if serius issues were discvered, Musim Mas wuld lk fr supprt utside f cmpany staff and als seek a slutin with auditrs. Calley Beamish, Wilmar Internatinal presentatin (Auditrs Wrkshp) Calley Beamish gave a presentatin n Wilmar Internatinal s current mnitring and management activities and f the issues they faced during audits. Ms Beamish prvided examples f instances where auditrs allegedly went beynd the remit f their audit by requesting the reclassificatin f HCV areas. As there is n standardised audit template r checklist, there are differences in the requests made by auditrs and in the frmats that auditrs request the infrmatin. This leads t Wilmar s frustratin as dcument frmatting has had t be redne n numerus ccasins fllwing auditr demands. Ms Beamish emphasised the lack f an audit checklist which cmpanies culd fllw and stated that requests fr dcuments and ther infrmatin shuld be standardised by the RSPO rather than left t individual auditrs. Discussin Participants respnded that the mnitring plan presented was the mst cmprehensive they had seen and culd nt cme t a cnclusin why Wilmar faced the prblems it did. Hwever, there was disagreement n the requirement fr mre guidance fr audits. Sme agreed that mre guidance was needed whilst thers felt that guidance cannt cver all eventualities and must therefre be limited; prescriptin can cause prblems. The RSPO Secretariat infrmed participants that they must be fully aware f their TR and requesting infrmatin utside f the remit is nt permitted. The Certificatin Bdies must evaluate 13
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance their wn staff cmpetency, ensure that their staff are well trained and audits shuld have at least three auditrs in a party, each with their wn cmpetencies. In additin, audits must be well planned. An HCV template has been develped and therefre if auditrs request infrmatin utside f this, the cmpany is able t challenge it. In additin, auditrs are nt the final decisin makers (althugh reviewers usually accept the auditrs recmmendatins) and there is a windw f pprtunity fr cmpanies t challenge audit reprts. Recmmendatins (frm prducer wrkshp) - Given the large number f issues that prducers mentined in regards t the HCV assessment dcument, it is preferable that the HCV assessment dcument is peer-reviewed under all circumstances and that randm verificatin checks are cnducted t ensure standards are maintained. - Cmpanies shuld be given guidance n best practices fr the develpment, fcus and recmmendatins f HCV assessments t facilitate a cmpany critique system. - The system f using interviews with lcal cmmunities t gather baselines n bidiversity presence is pen t a number f issues that then present prblems during HCV management and mnitring. A standardised frmat fr such interviews shuld be created r data shuld be mitted as factual baselines. - Levels f detail sufficient fr the develpment f management and mnitring plans is ften lacking in HCV assessments and this must be raised with HCV assessrs. Better training shuld be prvided t HCV assessrs if it is fund that they are unaware f the recmmendatins they need t prvide and hw this can be tailred t each cmpany. - Better training shuld be prvided t auditrs given the discrepancy between audits. - Cmpanies must prvide dedicated, transparent and regular budgets t HCV management and mnitring. - Cmpany managers require further levels f awareness f the benefits and requirements f HCV management and the likely utputs fr the cmpany. - HCV teams require dedicated staff, hwever number f staff required is dependent n size f HCV area present and management requirements. - RSPO shuld prvide mediatr services fr cmpanies in discussins with Badan Pertanahan Nasinal during discussins relating t the HCV cncept in rder t wrk t vercme the cntradictins between the RSPO standard and natinal legislatin. - Mre guidance needs t be prvided t cmpanies n the management and mnitring f HCVs. This is specific t the species t be mnitred, the prcess f data analysis and adaptive management. Where pssible, methds f mnitring and management shuld be simplified and standardised. Recmmendatins (frm auditr wrkshp) - Certificatin Bdies shuld be invlved and cnsulted during discussins held by varius RSPO wrking grups and future reviews f the RSPO P&Cs. Outcmes f Wrking Grups and Task Frces need t be well cmmunicated t auditrs t ensure that new systems and standards are in place and enfrced. - Certificatin Bdies shuld be trained (r may need further training) n the definitins and implicatins f certain auditable criteria and indicatrs. This recmmendatin fllws the 14
Zrust, D Arcy & Rafiastant cnflicting definitins ffered by CBs during Sessin 1 and is further supprted by the lack f awareness, highlighted in Sessin 2, f hw cmpliance t the new indicatr n adaptive management can be audited. - A full review f the HCV assessment, management and mnitring systems currently in place shuld be undertaken due t the large number f issues raised by CBs under each. This wrkshp raised a number f specific cncerns (e.g. prvisin f raw data frm stakehlder cnsultatins within HCV Assessments), hwever it is clear that an verall review shuld be cnducted with auditr input t identify all existing issues and hw widespread within the industry they are. In additin, the system shuld be analysed as a whle t better understand hw the issues faced interact and which may ultimately be the cause f anther. - Randm checks shuld be perfrmed n audits and the reality n the grund t analyse decisins made and failings f the audit prcess. Given the large array f issues faced at the audit prcess, this is t ensure that cmpanies are crrectly audited. - Cmpanies shuld be aware f their pprtunities fr challenging audits. Further research shuld be cnducted t analyse whether further standardisatin and better guidance needs t be develped fr the audit prcess t avid cnflicts. - Intrductin f new standardised tls t aid HCV management and mnitring shuld be cmmunicated t auditrs and suitable training prvided t ensure capacity is develped t use the tls effectively. 15
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance APPENDIX I Wrkshp Agendas Auditr Wrkshp 21 May 2013 Kuala Lumpur, Malaysia. Facilitated by Reza Azmi, Wild Asia TIME TITLE DETAIL 9.00 Welcme and wrkshp verview 9.30 Intrductin Update n HCV 9.45 10.45 Sessin 1: Current requirements f HCV auditing under RSPO BRIEF PRESENTATION: Current requirements f auditing criterin 5.2 & 7.3 Reza Azmi, Wild Asia Grup discussin n general issues f HCV auditing fr Criterins 5.2 & 7.3 10.45 11.00 11.00 12.00 Tea Break Sessin 2: Current auditing prcesses fr 5.2 BREAKOUT SESSION 1: Explratin f current prcesses, appraches, differences and similarities Fur grups, t discuss: What data is sught fr cmpliance evaluatin fr Criterin 5.2? HCV Assessment (5.2.1). Hw is the assessment verified? What benchmarks are used fr quality r cntent? Are mnitring plans assessed and, if s, hw? Hw is cmpliance t the fllwing assessed? Apprpriate measures t maintain and/r enhance HCVs thrugh a management plan. (5.2.2) These shall include: Prevent deteriratin f HCVs Cntrl f illegal activity Where a management plan has been created there shall be nging mnitring: The status f HCV and RTE species that are affected by plantatin r mill peratins shall be dcumented and reprted; 16
Zrust, D Arcy & Rafiastant September 2013 Outcmes f mnitring shall be fed back int the management plan. In what frms is the abve data usually given t the auditr? Hw is the precautinary apprach audited? What field checks by the auditr are carried ut/pssible t carry ut fr Criterin 5.2? What frm f mnitring f HCVs des nrmally take place within cncessins by cmpanies? 12.00 13.00 13.00 14.15 Lunch Sessin 3: Ptential issues with current auditing prcesses Reprt back t rm by tw grups BREAKOUT SESSION 2: Ptential issues with current auditing prcesses: Fur grups, t discuss: Is there data that yu request fr audits, but find difficult t access? Are the data/reprts/ther dcuments usually presented in a frmat that yu find suitable fr auditing? D yu find reprts, data sets etc. usually cmplete? Are there frequent gaps t the infrmatin available? What are thse gaps? What are the mst cmmn issues with assessing cmpliance frm the available data? What are the mst cmmn failings fr cmpanies under Criterin 5.2? What are the weaknesses in the reprting standard fr cmpliance? D yu believe that current mnitring standards are f high quality and relevance t adaptive management? D yu find difficulties in evaluating hw HCV mnitring data is used and hw this is used t adapt management plans and actins? Are there gaps that need t be filled in the new P&C under Criterin 5.2, specifically in terms f mnitring and adaptive management? Other issues cncerning the reprting n HCV cmpliance? PRESENTATION: Industry perspective n the difficulties f HCV auditing under Criterin 5.2. 17
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance Calley Beamish, Wilmar Internatinal. Reprt back t rm by tw grups 14.15 14.30 14.30 15.45 Break Sessin 4: Strengthening the system PRESENTATION: Rm fr imprving the auditing standards fr Criterin 5.2 Bart van Assen, Gaia Cmmdities. BREAKOUT SESSION 3: Strengthening the system: Fur grups, t discuss: What infrmatin/data wuld yu like t see fr cmpliance fr the abve aspects f Criterin 5.2? Hw wuld yu like this infrmatin t be presented? Recmmendatins f what shuld be reprted; a checklist? Prvide recmmendatins fr suitable reprting frmats. Hw wuld yu imprve current mnitring and adaptive management practices fr HCV under 5.2? Wuld yu recmmend any further wrk/research that needs t be undertaken t allw fr better levels f cmpliance and quality f HCV management and mnitring? Wuld yu recmmend mre standardisatin as part f the certificatin system r greater flexibility? Which wuld ensure better envirnmental results? 15.45 16.45 Sessin 5: ZSL HCV Threat Mnitring System Reprt back t rm by tw grups PLENARY PRESENTATION: Standardised Threat Mnitring System Michal Zrust, ZSL Why the system is needed Hw des it wrk? SMART sftware What utputs can be derived frm the data cllected? 18
Zrust, D Arcy & Rafiastant September 2013 What reprts/reprting templates can be prduced? Gd mnitring practices Hw can auditrs verify the data cllected? 16.45 17.15 Clsing & Next Steps Demnstratin f SMART sftware Hw can the ZSL System vercme the issues discussed? Q&A PLENARY Reza Azmi & Michal Zrust Summary Next Steps 19
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance Prducer Wrkshp 3 July 2013 Bgr, Indnesia. Facilitated by Bart van Assen, Gaia Cmmditas. TIME TITLE DETAIL 9.00 Welcme and wrkshp verview 9.30 10.30 Sessin 1: Current prcesses fr 5.2 BRIEF PRESENTATION: Current requirements under the new criterin 5.2 Bart van Assen, Gaia Cmmditas. BREAKOUT SESSION 1: Explratin f current prcesses, appraches, differences and similarities fr ensuring cmpliance with Criterin 5.2. - The HCV Assessment Hw d cmpanies assess the quality f HCV assessments and whether they are in line with Criterin 5.2? What recmmendatins are usually given by HCV assessr in their reprt fr mnitring and management? - The Cmpany Hw d yu use the HCV assessment t design a HCV Management and Mnitring plan? Hw have the HCV Mnitring and Management plans been adapted fllwing the release f the new Principles and Criteria? - The Audit What type f infrmatin is requested by auditrs fr cmpliance with 5.2? What frmat is this infrmatin prvided in (e.g. raw data, summary reprts, maps, prf f existence f budgets?) Is there variatin (and what is this) between audits and auditrs in the infrmatin requested? D auditrs assess dcument quality? 20
Zrust, D Arcy & Rafiastant September 2013 10.30 11.00 11.00 12.00 Tea Break Sessin 2: HCV Management & Mnitring BRIEF PRESENTATION: HCV Management, Mnitring and adaptive management practices Surya, Wilmar Internatinal BREAKOUT SESSION 2: Current management and mnitring practices in the field. What mnitring is undertaken, what management actins are taken, and hw is management adapted frm n-ging mnitring. - What management activities d yu undertake t ensure cmpliance with Criterin 5.2 Indicatr 5.2.2 under the fllwing: Maintenance and/r enhancement f HCVs: Riparian areas The status f HCV and RTE species Water quality Habitat quality Preventin f deteriratin f HCVs Cntrl f illegal activity Operatinal errrs - What mnitring activities d yu undertake t ensure the quality f management f the abve aspects? What d yu mnitr? Wh develped yur mnitring activities? What frm f mnitring d yu use (e.g. surveys, remte satellite imagery, drnes, patrls etc.?) Wh undertakes yur mnitring activities (e.g. in-huse, grup r estate level?), cnsultants, researchers, lcal cmmunity etc.)? Hw d yu verify the quality f the data resulting frm mnitring? Wh and hw d yu analyse the mnitring data? What reprts are prduced t shw mnitring results? Hw is the data used t adapt management activities? 21
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance 12.00 13.00 13.00 13.30 13.30 14.30 14.30 15.00 Lunch Summary f Sessins 1 & 2 Sessin 3: Ptential issues with current mnitring and management practices Break Plenary presentatins and discussin f previus sessins. Practical difficulties fr il palm prducers in mnitring and managing HCVs fr cmpliance with Criterin 5.2. BREAKOUT SESSION 3: Explratin f the difficulties faced by prducers in maintaining HCVs. Hw d the current HCV assessments, audits help/hinder HCV management? - The HCV Assessment What difficulties d yu face in implementing the recmmendatins given in the HCV assessment? D yu find the HCV assessments sufficient as a reliable baseline t build a management and mnitring plan fr HCVs? - The Cmpany What challenges d yu face in managing in HCV areas? D yu have a dedicated team t mnitr HCV areas? Is their capacity sufficient t prvide managers with enugh infrmatin n HCV status? What difficulties d yu face when mnitring HCVs? D yu face prblems with using utside help fr mnitring activities? D yu face issues with data analysis and/r result interpretatin? D yu face difficulties in adapting management frm mnitring results? Wuld yu prefer if HCV mnitring and management guidelines were standardised by the RSPO? - The Audit Are there issues arising frm the HCV auditing prcess? D yu face difficulty in prviding the data/dcuments required by auditrs? D yu believe the audit prcess t be sufficiently analytical? Des the audit prcess help yu imprve yur management and mnitring activities? 22
Zrust, D Arcy & Rafiastant September 2013 15.00 16.30 16.30 17.00 Sessin 4: ZSL HCV Threat Mnitring System Clsing & Next Steps PLENARY PRESENTATION: Standardised Threat Mnitring System Lili Sadikin, ZSL OPEN DISCUSSION: Summary f Sessin 3. Ptential slutins t HCV mnitring and management issues. Use f Mnitring System t vercme current issues. PLENARY Bart van Assen & Michal Zrust Summary Next Steps Assessr Wrkshp 4 July 2013 Bgr, Indnesia. Aisyah Sileuw, Daemeter Cnsulting. TIME TITLE DETAIL 9.00 Welcme and wrkshp verview 9.30 10.45 Sessin 1: HCV Assessment baselines BRIEF PRESENTATION: Current requirements fr HCV assessments under the RSPO Aisyah Sileuw, Daemeter. BREAKOUT SESSION 1: Explratin f current prcesses, appraches, differences and similarities fr develping an HCV assessment. What data is cllected during the HCV assessment prcess? What methds are used t cllect the data fr the HCV assessment? Hw is the assessment frmulated t facilitate cmpliance with criteria 5.2? What invlvement des a cmpany have during the assessment prcess? Hw is the secndary data within the assessment verified? 23
Summary Reprt ZSL- RSPO Wrkshp Series n HCV Mnitring & Cmpliance D public cnsultatins and peer reviews prvide yu with sufficient feedback fr imprvement? What feedback d yu usually receive? 10.45 11.15 11.15 12.30 12.30 13.30 13.30 14.45 Tea Break Sessin 2: HCV Management & Mnitring Lunch Sessin 3: Issues and difficulties with HCV assessment and recmmended mnitring BRIEF PRESENTATION: HCV Management, Mnitring and adaptive management practices Dwi Muhtaman, Remark BREAKOUT SESSION 2: HCV assessment recmmendatins fr HCV mnitring and management. What recmmendatins are given t cmpanies t help them meet criteria 5.2? What recmmendatins are given fr develpment f a management plan? What recmmendatins are given fr the develpment f a mnitring system? What methds fr mnitring d yu recmmend? D yu recmmend use f cnsultants fr mnitring? Are recmmendatins generic acrss assessments r specific t each situatin? Are recmmendatins fr management and mnitring based n cmpany capacity t implement them? What recmmendatins are given t cmpanies regarding the develpment f capacity t implement management and mnitring activities? What recmmendatins d yu give t facilitate the adaptatin f management plans fllwing analysis f mnitring results? BREAKOUT SESSION 3: Explratin f the difficulties faced by assessrs and prducers in maintaining HCVs. Hw d the current HCV assessments, audits help/hinder HCV management? What capacity is present t ensure recmmendatins are fllwed? Which types f data are challenging t cllect? 24