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English (US) |
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BackgroundThe |
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"4 per 1000 Initiative: Soils for Food |
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Security and Climate" is part of the Global Climate Action Plan |
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. The initiative promotes the development of an international, science-based action plan to increase Soil Organic Carbon (SOC) sequestration |
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to |
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improve food security |
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and mitigate and adapt to climate change. |
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The overarching goal of the initiative is to |
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support partner countries and |
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organizations in developing evidence-based projects, policies, |
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and programs |
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that promote actions to reduce greenhouse gas emissions |
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by protecting and increasing SOC stocks |
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. Increasing SOC by 4/1000 (0.4%) per year |
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is an |
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ambitious and inspiring goal. |
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To this end, the initiative's Scientific and Technical Committee (STC) provides a service for the Formative Assessment of |
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Soil Projects (FASP). FASP aims to increase the positive impact and visibility of proposed, planned, and ongoing projects and thus make them more attractive to investors. It centers on a set of reference criteria |
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, indicators, methods, and metrics developed by the STC, referred to as |
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the "Reference Criteria and Indicators". They are used to check whether a project complies with the principles and |
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objectives of the |
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initiative and the relevant |
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United Nations Sustainable Development Goals (SDGs) |
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, with a particular focus on SDG 2 |
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"Zero Hunger", SDG 13 |
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"Climate Action" and SDG 15 |
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A project on soil organic carbon submitted to the STC for expert advice, hereafter referred to as “a SOC project”, should include a set of well-defined actions, hereafter defined as “SOC project actions”, that are expected to result in quantifiable increase in SOC stocks (or, at a minimum, reduction in losses of SOC) as a primary goal while balancing complementary impacts relating to the SDGs. Each project action should have clearly defined temporal and spatial scales. The SOC project actions should be aimed primarily at increasing SOC or reducing losses, following changes in land management and/or land use management options. The project proposers will be asked to assess the anticipated co-benefits, possible trade-offs and community benefits of the project based on the 4/1000 Reference Criteria.
Formative Assessment of Soil Projects (FASP)
An ensemble of criteria, indicators, methods and metrics, has been developed by the STC to provide guidance to project proposers and provide formative assessment of projects. For projects that satisfy the first set of criteria that ensure project actions do not restrict human rights or negatively affect land rights and poverty alleviation, the formative assessment will provide guidance for actions, and recommend improvements. This guidance will help to ensure that the projects are consistent with the aims of the Initiative, and that, with appropriate funding and project management, methods would be in place to monitor progress during project implementation. The assessment will provide narrative advice aimed at improving the quality of the project before it is implemented and during implementation. The post project stage, including funding opportunities, will not be included in project assessments. The depth and quality of the advice will depend on the quality of the information provided about the project.
FOUR STEPS FOR SOC PROJECT ASSESSMENT
The proposed SOC project assessment approach comprises four sequential steps, with each step being defined by a distinct category of reference criteria that include socio-economic and soil science dimensions. Assessment will proceed to the next step only if the criteria are met for the previous step. If not, the project proposer will be informed of the reasons why the project is not assessed fully. Then, depending on the level of technical information provided, and on the expertise available within the STC, technical advice will be provided to the proposer to improve the project. If Step 1 is successful, Step 2 will be completed and if successful, the SOC project assessment will enter the third and fourth final steps of assessment.
Step 1-Safeguard Criteria: The purpose of this step is to check and ensure that the project does not restrict human rights or have a negative impact on land rights and poverty reduction. If the project does not meet all the protection criteria, the STC terminates the assessment and informs the project owner.
Step 2-Direct Reference: These criteria are used to assess the direct impact of projects on the following areas:
i) SOC stocks and land degradation neutrality (SDG 15),
ii) Adaptation to climate change and
iii) climate change mitigation (SDG 13) and
iv) Food security (SDG 2).
A project must improve soil organic carbon, i.e. increase SOC or reduce SOC loss compared to "business as usual". It should also work towards a positive impact on the other direct reference criteria. Otherwise, the STC interrupts the formative assessment and advises on how the proposal can be improved to achieve a positive impact on all direct reference criteria.
Step 3: Indirect Reference Criteria will be used to assess indirect effects of projects on a range of other economic, social and environmental dimensions, including welfare and well-being (SDG 12), biodiversity and ecosystem services (SDG 15), water and nutrient cycles (SDG 6), etc. If, compared to a business-as-usual baseline, the project is likely to result in strong negative impacts on social, economic or environmental dimensions, it will be negatively evaluated on the corresponding criteria.
Step 4: Cross-cutting Dimensions of projects will be reviewed using cross-cutting criteria, including training and capacity building, participatory and socially inclusive approaches.
Projects that have undergone the full assessment for the four steps will also receive recommendations for further improvement. A short description of the projects that are assessed as conforming with the objectives of the 4 per 1000 Initiative will be included on the 4 per 1000 website (1).
There is no commitment from the “4 per 1000” Initiative to ensure funding for the projects.
(1) The Executive Secretariat of the 4 per 1000 Initiative will ask project holders whose projects are in line with the objectives of the Initiative if they give permission for their projects to be published in the media.
Reference Criteria and their links to the SDGs
Table 1 shows the list of 13 reference criteria to be used for the four steps of SOC projects assessments and their mains links with the Sustainable Development Goals (SDGs).
Table 1: Assessment steps, reference criteria types, criteria and their links with the SDGs
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Safeguard Criteria
Safeguard criteria are used to identify proposed SOC projects that have the potential to negatively affect human rights, land rights and poverty alleviation, in Step 1 of a SOC project assessment.
The assessment is bound by the Unified Declaration of Intent of the 4 per 1000 Initiative which ‘recalls the necessity of protecting existing legitimate land rights, including informal rights, and their holders, in coherence with the Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context of National Food Security (CFS 2012) and the Principles for Responsible Investment in Agriculture and Food Systems (CFS 2014)’. Major aspects of Safeguard Criteria to be assessed for SOC projects include:
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1.1 Human rights
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- Children
- Gender
- Minority groups
- Forced, unpaid or underpaid work
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- Extent of negative, neutral or positive effects on local people and communities.
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- The project holder’s assessment for each Safeguard criterion must be justified with evidence.
- The project holder should discuss the risks and benefits relating to relevant aspects of each Safeguard Criterion (including those listed above) and how any risks will be mitigated before the project start and provide a plan of how these risks will be monitored or surveyed during the project
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1.2 Land tenure
rights
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- Land property and land tenure system
- Land grabbing
- Conflicts
- Population displacement
- Litigation equity
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1.1 Poverty
alleviation
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- Farmer income and distribution
- Subsidies/taxes and their distribution (income support policies, rural development policies)
- Other income sources and revenue distribution
- Employment rates and opportunities
"Land Conservation and Restoration". Overview of Criteria and their links to the SDGsTable 1 shows the list of 13 reference criteria and their mains links with the Sustainable Development Goals (SDGs). Table 1: Assessment steps, reference criteria types, criteria and their links with the SDGs
Criteria, Indicators and MethodsSafeguard CriteriaSafeguard criteria are used to identify proposed SOC projects that have the potential to negatively affect human rights, land rights and poverty alleviation, in Step 1 of a SOC project assessment. The assessment is bound by the Unified Declaration of Intent of the 4 per 1000 Initiative which ‘recalls the necessity of protecting existing legitimate land rights, including informal rights, and their holders, in coherence with the Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context of National Food Security (CFS 2012) and the Principles for Responsible Investment in Agriculture and Food Systems (CFS 2014)’. Major aspects of Safeguard Criteria to be assessed for SOC projects include:
The following resources and references may be used to develop project indicators and methods for the Safeguard Criteria: Human rights (UN):
Local tenure rights:
Soils and the SDGs:
Direct CriteriaDirect criteria are used to assess the direct effects of projects on I) soil organic carbon (SOC) stocks and land degradation neutrality (SDG 15), II) climate change adaptation and, III) climate change mitigation (SDG 13), and IV) food security (SDG 2) in Step 2 of a project assessment. Major aspects of Direct Criteria to be assessed for SOC projects include:
The following resources and references may be considered in developing project indicators and methods for direct criteria:
Indirect CriteriaIndirect criteria are used to assess indirect effects of SOC projects on a range of economic, social and environmental dimensions in Step 3 of a SOC project assessment. Major aspects of Indirect Criteria to be assessed for SOC projects include:
The following resources and references may be considered in developing project indicators and methods for indirect criteria:
Cross-Cutting CriteriaCrosscutting criteria for SOC projects include training and capacity building, participatory and socially inclusive approaches. The project holder should describe the effects of the project activities on these criteria for assessment in Step 4, noting that for the long-term sustainability of a project cross social, economic and environmental aspects both cross-cutting criteria are important. Major aspects of Cross-cutting Criteria to be assessed for SOC projects include:
The following resources and references may be considered in developing project indicators and methods for cross-cuting criteria:
DownloadClick here to download the full version approved by the consortium of the "4 per 1000 - Initiative". |
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Arrière-planL'« Initiative 4 pour 1000 : Les sols pour la sécurité alimentaire et le climat » fait partie du Plan d'action mondial pour le climat. L'initiative promeut le développement d'un plan d'action international fondé sur la science pour augmenter la séquestration du carbone organique du sol (COS) afin d'améliorer la sécurité alimentaire et d'atténuer et de s'adapter au changement climatique. L'objectif primordial de l'initiative est d'aider les pays et organisations partenaires à développer des projets, des politiques et des programmes fondés sur des données probantes qui promeuvent des actions visant à réduire les émissions de gaz à effet de serre en protégeant et en augmentant les stocks de COS. Augmenter le SOC de 4/1000 (0,4 %) par an est un objectif ambitieux et inspirant. À cette fin, le Comité Scientifique et Technique (STC) de l'initiative propose un service d'Évaluation Formative des Projets de Sols (FASP). Le FASP vise à accroître l’impact positif et la visibilité des projets proposés, planifiés et en cours et ainsi à les rendre plus attractifs pour les investisseurs. Il est axé sur un ensemble de critères de référence, d'indicateurs, de méthodes et de mesures élaborés par le CST, appelés « Critères et indicateurs de référence ». Ils sont utilisés pour vérifier si un projet est conforme aux principes et objectifs de l'initiative et aux objectifs de développement durable (ODD) pertinents des Nations Unies, avec un accent particulier sur l'ODD 2 « Faim zéro », l'ODD 13 « Action pour le climat » et l'ODD 15. "Conservation et restauration des terres". Aperçu des critères et de leurs liens avec les ODDLe tableau 1 présente la liste de 13 critères de référence et leurs principaux liens avec les Objectifs de Développement Durable (ODD) . Tableau 1 : Étapes d'évaluation, types de critères de référence, critères et leurs liens avec les ODD
Critères, indicateurs et méthodesCritères de sauvegardeLes critères de sauvegarde sont utilisés pour identifier les projets SOC proposés qui sont susceptibles d'avoir un impact négatif sur les droits de l'homme, les droits fonciers et la réduction de la pauvreté, à l'étape 1 de l'évaluation d'un projet SOC. L'évaluation est liée par la Déclaration d'intention unifiée de l'Initiative 4 pour 1000 qui « rappelle la nécessité de protéger les droits fonciers légitimes existants, y compris les droits informels, et leurs détenteurs, en cohérence avec les Lignes directrices volontaires pour une gouvernance responsable des régimes fonciers. , les pêches et les forêts dans le contexte de la sécurité alimentaire nationale (CSA 2012) et les Principes pour un investissement responsable dans l'agriculture et les systèmes alimentaires (CSA 2014) ». Les principaux aspects des critères de sauvegarde à évaluer pour les projets SOC comprennent :
Les ressources et références suivantes peuvent être utilisées pour développer des indicateurs et des méthodes de projet pour les critères de sauvegarde : Droits de l'homme (ONU) :
Droits fonciers locaux :
Les sols et les ODD :
Critères directsDes critères directs sont utilisés pour évaluer les effets directs des projets sur I) les stocks de carbone organique du sol (COS) et la neutralité en matière de dégradation des terres (ODD 15), II) l'adaptation au changement climatique et, III) l'atténuation du changement climatique (ODD 13) et IV). sécurité alimentaire (ODD 2) à l’étape 2 d’une évaluation de projet. Les principaux aspects des critères directs à évaluer pour les projets SOC comprennent :
Les ressources et références suivantes peuvent être prises en compte lors de l’élaboration d’indicateurs et de méthodes de projet pour les critères directs :
Critères indirectsDes critères indirects sont utilisés pour évaluer les effets indirects des projets SOC sur une gamme de dimensions économiques, sociales et environnementales à l'étape 3 de l'évaluation d'un projet SOC. Les principaux aspects des critères indirects à évaluer pour les projets SOC comprennent :
Les ressources et références suivantes peuvent être prises en compte lors de l’élaboration d’indicateurs et de méthodes de projet pour les critères indirects :
Critères transversauxLes critères transversaux pour les projets SOC comprennent la formation et le renforcement des capacités, ainsi que les approches participatives et socialement inclusives. Le porteur de projet doit décrire les effets des activités du projet sur ces critères d'évaluation à l'étape 4, en notant que pour la durabilité à long terme d'un projet sur les aspects sociaux, économiques et environnementaux, les deux critères transversaux sont importants. Les principaux aspects des critères transversaux à évaluer pour les projets SOC comprennent :
Les ressources et références suivantes peuvent être prises en compte dans l’élaboration d’indicateurs de projet et de méthodes pour les critères transversaux :
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FondoLa "Iniciativa 4 por 1000: Suelos para la seguridad alimentaria y el clima" forma parte del Plan de Acción Climática Mundial. La iniciativa promueve el desarrollo de un plan de acción internacional con base científica para aumentar el secuestro de carbono orgánico del suelo (COS) para mejorar la seguridad alimentaria y mitigar y adaptarse al cambio climático. El objetivo general de la iniciativa es apoyar a los países y organizaciones socios en el desarrollo de proyectos, políticas y programas basados en evidencia que promuevan acciones para reducir las emisiones de gases de efecto invernadero mediante la protección y el aumento de las reservas de COS. Incrementar el COS en 4/1000 (0,4%) por año es un objetivo ambicioso e inspirador. Para ello, el Comité Científico Técnico (STC) de la iniciativa brinda un servicio de Evaluación Formativa de Proyectos de Suelos (FASP). FASP tiene como objetivo aumentar el impacto positivo y la visibilidad de los proyectos propuestos, planificados y en curso y así hacerlos más atractivos para los inversores. Se centra en un conjunto de criterios, indicadores, métodos y métricas de referencia desarrollados por el STC, denominados "Criterios e Indicadores de Referencia". Se utilizan para comprobar si un proyecto cumple con los principios y objetivos de la iniciativa y los Objetivos de Desarrollo Sostenible (ODS) de las Naciones Unidas pertinentes, con especial atención al ODS 2 "Hambre Cero", al ODS 13 "Acción por el Clima" y al ODS 15. "Conservación y restauración de tierras". Descripción general de los Criterios y sus vínculos con los ODSLa Tabla 1 muestra la lista de 13 criterios de referencia y sus principales vínculos con los Objetivos de Desarrollo Sostenible (ODS) . Tabla 1: Pasos de evaluación, tipos de criterios de referencia, criterios y sus vínculos con los ODS
Criterios, Indicadores y MétodosCriterios de salvaguardiaLos criterios de salvaguardia se utilizan para identificar proyectos SOC propuestos que tienen el potencial de afectar negativamente los derechos humanos, los derechos a la tierra y el alivio de la pobreza, en el Paso 1 de una evaluación de proyecto SOC. La evaluación está sujeta a la Declaración Unificada de Intenciones de la Iniciativa 4 por 1000, que "recuerda la necesidad de proteger los derechos legítimos existentes sobre la tierra, incluidos los derechos informales, y sus titulares, en coherencia con las Directrices Voluntarias sobre la Gobernanza Responsable de la Tenencia de la Tierra". , Pesca y bosques en el contexto de la seguridad alimentaria nacional (CFS 2012) y los Principios para la inversión responsable en la agricultura y los sistemas alimentarios (CFS 2014)'. Los principales aspectos de los Criterios de Salvaguarda que se evaluarán para los proyectos SOC incluyen:
Se pueden utilizar los siguientes recursos y referencias para desarrollar indicadores y métodos del proyecto para los Criterios de Salvaguarda: Derechos humanos (ONU):
Derechos de tenencia locales:
Los suelos y los ODS |
The following resources and references may be used to develop project indicators and methods for the Safeguard Criteria:
Human rights (UN):
- International Covenant on Civil and Political Rights,
- International Covenant on Economic, Social and Cultural Rights,
- ILO Convention 169 relative to Indigenous and Tribal People, Guiding Principles on Business and Human Rights.
Local tenure rights:
- International Covenant on Economic, Social and Cultural Rights (ICESCR), art. 2.1;
- Committee on World Food Security Voluntary Guidelines on the Responsible Governance of Tenure.
- Land use:
- Free Prior and Informed Consent principles, UN REDD guidelines.
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Direct Criteria
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Criterios directosSe utilizan criterios directos para evaluar los efectos directos de los proyectos sobre I) las reservas de carbono orgánico del suelo (COS) y la neutralidad de la degradación de la tierra (ODS 15), II) |
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la adaptación al cambio climático y, III) |
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la mitigación del cambio climático (ODS 13), |
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y IV) |
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seguridad alimentaria ( |
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ODS 2) |
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Major aspects of Direct Criteria to be assessed for SOC projects include:
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2.1 Soil conservation/improvement; land restoration
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- Risks of land degradation/ opportunities to restore degraded land
- Agricultural practices
- Forestry practices
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- Fraction of land area in the project maintained or restored using recognised conservation/restoration practices;
- Agriculture or forestry areas with regenerative practices.
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- Land use and management survey results;
- Records of the implementation of good practice and the nature and duration of these practices;
- Measures of improved land condition and soil health
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- Baseline conditions e.g. SOC stocks, soil stability, management practices
- Soil health e.g. depth, erosion, organic matter content, nutrient levels, biodiversity
- SOC monitoring e.g. SOC stock change by indirect accounting or direct measurement
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- Best: (1) SOC stock change relative to baseline (change per year to a depth of at least 30cm); (2) Monitoring plan that ensures (to the extent possible) permanence, no leakage, additionality of improved practices.
- Minimum: Soil carbon content (% C) monitoring of change in soil condition e.g. structure
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- Best: Full description of the method of quantifying SOC stock change e.g. sampling and analysis for measurement; use of validated models; other standardised with MRV methods; monitoring plan e.g. periodic re-measurement or model verification (e.g. every 5 years); record keeping protocol.
- Minimum: Description of measurements and records of observations; justification for use of other recognised and validated MRV methods e.g. IPCC Tier 1-3; and (if possible) plans to upgrade.
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- Nitrous oxide and methane emissions
- Reduction in fossil energy use; predicted renewable energy use
- Life cycle assessment studies
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- Increase in N2O, CH4 and fossil energy emissions in units of CO2 equivalents per unit land (and per unit production) and evidence that these emissions are not greater than the CO2e increase in SOC stocks.
- No production leakage caused by a reduction in productivity.
- Predicted new renewable energy use.
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- Description of MRV methods for GHG emissions associated with the project using standardised IPCC Tier 1-3 or other recognised and validated MRV methods
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- Production stability
- Resilience to extreme events
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- Reduction in the interannual variability of yield in agricultural/ forest production compared to baseline management.
- Reduced production losses under extreme droughts/floods/ heatwaves compared to baseline management.
- Reduced irrigation needs.
- Area covered under watersaving techniques; deficit irrigation.
- Institutional aspects.
- Early warning programs and actions.
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- Space for time: documented examples showing how similar changes in land use/ management have reduced climate variability and increased resilience;
- Documented improved/ introduced nature-based measures
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- Supply and procurement
- Access
- Safety and quality including nutrition aspects
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- Increase (or, at a minimum no decrease) on average in yields and agricultural productivity.
- Micro-nutrients content and food safety of plant and animal products are preserved or improved.
- Appropriate polices to ensure fair distribution of income to farmers and improved access to foodstuff for all people.
- New high yield and climate tolerant species introduced
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- Space for time measurements: documented examples showing how similar changes in land use/management have preserved or increased agricultural productivity, micronutrients contents and food safety of plant and animal products.
- Direct field surveys of yields and livestock production;
- Number of people with access to safe and healthy foodstuff compared to the total population at various stages of project to be recorded;
- Measures that have been taken in the project to improve food storage, supply or procurement (reduced food loss).
en el Paso 2 de la evaluación de un proyecto. Los aspectos principales de los Criterios Directos que se evaluarán para los proyectos SOC incluyen:
Se pueden considerar los siguientes recursos y referencias al desarrollar indicadores y métodos del proyecto para criterios directos:
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The following resources and references may be considered in developing project indicators and methods for direct criteria:
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Indirect Criteria
Indirect criteria are used to assess indirect effects of SOC projects on a range of economic, social and environmental dimensions in Step 3 of a SOC project assessment. Major aspects of Indirect Criteria to be assessed for SOC projects include:
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- Landscape beta diversity
- Plant functional diversity (especially endemic species)
- Protected patrimonial and endangered species
- Crop and animal genetic diversity
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- Shannon diversity indices.
- Protected/endangered/patrimonial species habitats conserved
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- Before the project: space for time;
- During the project: surveys of habitats and wildlife, field survey recording (describe random or stratified sampling techniques)
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- Soil infiltration; resilience to low rainfall /drought
- Annual evapotranspiration; water access
- Irrigation technologies for increased water use efficiency
- Development of IWRM, IWLRM
- Water policies; instruments for water management
- Water quality; nitrogen, phosphorus losses ; pesticide losses; water bodies in good ecological condition
- Tree cover fraction ; riparian vegetation
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- Water balance for aquifers and streams
- Crop water requirements
- Irrigation needs
- N and P loads to water bodies
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- Before the project: Baseline Hydrological and nutrient measures (water use efficiency; water quality), space for time measures;
- During the project: Periodic monitoring (repeat hydrological and nutrients surveys)
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- Access to education
- Access to healthcare
- Access to sanitation
- Access to communications
- Livelihood security
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- Potential changes compared to businessas- usual
- Expected benefits due to the project
- Degree of involvement of relevant stakeholders in the access to education and health services
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- Describe expected benefits and a plan for surveys during the project (reference to be provided by project holder)
Criterios indirectosLos criterios indirectos se utilizan para evaluar los efectos indirectos de los proyectos SOC en una variedad de dimensiones económicas, sociales y ambientales en el Paso 3 de la evaluación de un proyecto SOC. Los principales aspectos de los criterios indirectos que se evaluarán para los proyectos SOC incluyen:
Se pueden considerar los siguientes recursos y referencias al desarrollar indicadores y métodos del proyecto para criterios indirectos:
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The following resources and references may be considered in developing project indicators and methods for indirect criteria:
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Cross-Cutting Criteria
Crosscutting criteria for SOC projects include training and capacity building, participatory and socially inclusive approaches. The project holder should describe the effects of the project activities on these criteria for assessment in Step 4, noting that for the long-term sustainability of a project cross social, economic and environmental aspects both cross-cutting criteria are important.
Major aspects of Cross-cutting Criteria to be assessed for SOC projects include:
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- Participatory approach
- Inclusiveness
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- Stakeholders engaged in the project as a fraction of the local community
- Inclusiveness of participants
- Representativeness of the stakeholders involved in the project
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- Surveys across local communities (reference to be provided by project holder)
- Description of plan or framework for periodic surveys to be provided by project holder.
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- Technical training
- Socio-economic building
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- Fraction of stakeholders trained or provided opportunities for capacity building
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- Surveys across local communities (reference to be provided by project holder)
- Description of plan or framework for periodic surveys to be provided by project holder
Criterios transversalesLos criterios transversales para los proyectos SOC incluyen capacitación y desarrollo de capacidades, enfoques participativos y socialmente inclusivos. El titular del proyecto debe describir los efectos de las actividades del proyecto sobre estos criterios de evaluación en el Paso 4, señalando que para la sostenibilidad a largo plazo de un proyecto se cruzan aspectos sociales, económicos y ambientales, ambos criterios transversales son importantes. Los principales aspectos de los criterios transversales que se evaluarán para los proyectos SOC incluyen:
Se pueden considerar los siguientes recursos y referencias al desarrollar indicadores y métodos de proyectos para criterios transversales:
DescargarHaga clic aquí para descargar la versión completa aprobada por el consorcio de la Iniciativa "4 por 1000". (en inglés) |
The following resources and references may be considered in developing project indicators and methods for cross-cuting criteria:
- A framework for an inclusive local development policy. Background information.
- UNDP, 2009, Supporting capacity development: the UNDP approach.
- World Economic Forum, 2018. The Inclusive Development Index. System Initiative on the Future of Economic Progress
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