Memorandum of Agreement between the National Commission on Indigenous Peoples and the Department of Social Welfare and Development

Section 1. PURPOSE 1.1 This MOA is an inter-agency agreement defining the mutual and agency-specific roles and responsibilities of the NCIP and the DSWD, as well as the institutional arrangements for collaboration and partnership between the parties, in the implementation of the PROGRAM in municipalities with Indigenous Peoples' communities.

Section 2. SCOPE OF PARTNERSHIP 2.1 The arrangements stipulated in this agreement shall apply to partnership collaboration by and between the NCIP and the DSWD KC-NCDDP national offices, and their respective regional and/or field offices, in regions where Ancestral Domains of Indigenous People overlap with KC- NCDDP target municipalities. 2.2 Partnership collaboration between NCIP and DSWD shall focus on three (3) key objectives: (i) ensure culture sensitive facilitation of KC-NCDDP in IP areas; (ii) validate free and prior informed consent of IP communities over subprojects to be implemented in, or have an impact on IP communities, and; (iii) establish and operationalize institutional partnership and coordination mechanisms at the national and regional/field office level, to ensure objectives (i) and (ii) are attained. 2.3 Culture sensitive facilitation - In order to promote the rights and welfare of the indigenous communities that participate in KC-NCDDP activities, the PARTIES agree to promote, and ensure culture sensitive facilitation in the implementation of the PROGRAM. Culture sensitive facilitation is defined as awareness and acceptance of cultural differences on the part of the facilitator(s) that allow them to engage indigenous peoples in a manner that is appropriate and responsive to their customs, traditions, values, beliefs, and institutions. 2 2.4 Securing of free and prior informed consent - In order to secure free and prior informed consent of IPs, the PARTIES agree (i) that the KC-NCDDP subprojects shall be guided by Part VI of the NCIP Administrative Order No. 3, Series of 2012, or the Revised Guidelines on Free and Prior Informed Consent and Related Processes of 2012, and shall focus on validating that the subproject (a) is truly initiated by the indigenous community; (b) is in their best interest, and; (c) will indeed deliver basic services, and; (ii) that specific procedures for validation of KC- NCDDP subprojects, that are appropriate and adapted to the local contexts, shall be designed and developed by the respective NCIP regional offices, in close coordination and partnership with the KC-NCDDP regional program management offices (RPMO). 2.5 Institutional partnership and coordination - In order to ensure effective coordination, the PARTIES agree to form, establish, and operationalize institutional partnership and coordination mechanisms, in the form of Joint Technical Working Groups or JTWG, at the national and regional/field office level, by and between the NCIP National Office and Office and the KC-NCDDP National Program Management Office (hereinafter referred to as the NPMO) of the DSWD, and the by and between the NCIP Regional Offices and the KC-NCDDP Regional Project Management Offices (hereinafter referred to as the RPMO), and assign permanent and alternate staff thereto.

Section 3 . ROLES and RESPONSIBILITIES 3.1 MUTUAL RESPONSIBILITIES The NCIP and the DSWD commit to, and shall be mutually responsible for the following; 1. Ensure implementation of culture-sensitive facilitation strategies in the KC-NCDDP in IP areas, consistent with the IPRA, and as described in the various KC-NCDDP implementation manuals and guidelines. 2 . Ensure design and operationalization of region-specific validation processes, and the timely and effective validation of KC-NCDDP subprojects in IP areas. 3. Ensure effective working relationship and efficient communication between NCIP and the KC- NCDDP of the DSWD, at the national and regional levels, and establish planning, information sharing, implementation monitoring and reporting, and review mechanisms to strengthen coordination between the two agencies. 4. Conduct joint meetings and monitoring assessments, at both the national and regional levels, to maintain common understanding of the status of program implementation, and jointly address issues arising during program implementation. 5. Develop and conduct joint technical studies, pilot activities and projects, capacity building activities and learning exchanges, and other initiatives. These shall be aimed at two objectives: (i) ensure that both agencies have a clear understanding of, and develop culture sensitive approaches for implementing COD strategies along the CEAC, consistent with the IP concept of Ancestral Domains, IP decision-making processes based on customary laws and traditions, and an appreciation for gender relations in the context of indigenous communities. (ii) Inform the continuing development and enhancement of PROGRAM guidelines on COD facilitation and implementation involving IP communities. These initiatives may include, but may not necessarily be limited to the following; (i) conduct of a technical study on IP definitions and concepts on poverty, wellbeing, and poverty reduction; (ii) conduct of capability building activities on understanding of Ancestral Domains, ADSPPs, IKSP in decision-making, and gender relations in IP communities; (iii) conduct of a pilot project to explore linkages between the Ancestral Domains as a planning unit, ADSDPPs as local development planning instruments, and local development and investment programming of LGUs, and; (iv) others. 3 3.2 RESPONSIBILITIES OF THE NCIP The NCIP commit to, and shall be responsible for the following; 1. Provide information to the DSWD including, but not limited to, lists or maps of areas covered by ancestral lands and domains, whether the areas already have approved Certificates of Ancestral Domain Title (CADT) or Certificates of Land Title (CALT), are under application for CADT or CALT, or have yet to be applied for under formal recognition; Ancestral Domain Sustainable Development and Protection Plans (ADSDPP); confirmed Indigenous Peoples Mandatory Representatives (IPMR); and recognized Indigenous Peoples Structures (JPS) and their documentation. 2. Facilitate the validation process as defined in Part VI of the NCIP Administrative Order No. 3 Series of 2012. The NCIP will create validation teams at the regional level that will examine: (i) the decision making processes followed in the selection of subprojects and (ii) anticipated and unanticipated impacts of subprojects on indigenous populations, and in close coordination and partnership with the DSWD regional offices, define context-specific requirements and processing procedures to be used in the validation process. 3. Provide technical assistance to DSWD staff to build their capacity for cultural sensitivity in engaging indigenous peoples. The technical assistance may include: (i) orientation on IPRA and other related NCIP administrative issuances; (ii) guidance on the concept of poverty and well-being, and poverty reduction from the perspective of Indigenous People; (iii) guidance concerning ancestral domain as a planning unit, their relation to Local Government Units, and the Ancestral Domain Sustainable Development Protection Plan or ADSDPP as a development planning instrument in relation to Local Development Plans and Investment Programs of LGUs, and; (iv) guidance on Indigenous Knowledge, Systems, and Practices (IKSP), and indigenous decision making processes based on customary laws and practices. 4. Provide support, in the form of per diems, to NCIP national, regional and provincial technical staff participating in KC-NCDDP activities such as, but not limited to, the following: a) Events that make up the social preparation stage of the Community Empowerment Activity Cycle, including the municipal and barangay orientations and other activities that require the presence of NCIP personnel. b) Participation and support in activities during the project identification and selection stage, particularly the provision of technical assistance support during project development workshops, and assistance to communities in the formulation of subproject proposals, as part of the Municipal Inter-Agency Committee or MIAC. c) Assistance to DSWD in monitoring subproject activities to assess the level of engagement of indigenous peoples during the subproject implementation stage. d) Provision of technical assistance for the formation of community organizations to ensure not only the subproject's sustainability but also the recognition of indigenous peoples' structures. 5. Co-convene with DSWD mid-year and annual assessments to identify issues arising in the program implementation and develop joint responses to better improve the implementation of KC-NCDDP in IP areas. 3.3 RESPONSIBILITIES OF THE DSWD The DSWD shall be responsible for the following; 1. Provide information to the NCIP including, but not limited to, lists of areas covered by PROGRAM, basic PROGRAM documents and relevant manuals and guidelines on the CEAC, and basic information to facilitate NCIP validation of subprojects, including (i) brief subproject profiles; (ii) maps and geo tags of subprojects, and; (iii) details of specific CEAC decision making processes followed in the selection of subprojects, and; (iv) anticipated and unanticipated impacts of subprojects on indigenous populations. 4 2. Assist the NCIP in the validation process as defined in Part VI of NCIP Administrative Order No. 3 Series of 2012. The DSWD shall coordinate with NCIP validation teams at the regional level and (i) provide documentation on (i.a) the decision making processes followed in the selection of subprojects and (i.b) anticipated and unanticipated impacts of subprojects on indigenous populations, and; (ii) in close coordination and partnership with the DSWD regional offices, assist the NCIP in defining context-specific requirements and processing procedures to be used in the validation process. 3. Provide capacity building and culture sensitivity training for staff that are involved with KC- NCDDP initiatives in IP communities. NCIP will serve as a resource for these capacity building activities. 4. Ensure the implementation of social safeguards with clear guidelines for protecting the rights and welfare of indigenous peoples in all stage of the Community Empowerment Activity Cycle. 5. Provide necessary resources to enable DSWD and NCIP national, regional and provincial technical staff to participate in KC-NCDDP activities such as, but not limited to, the following: a) Events that make up the social preparation stage of the Community Empowerment Activity Cycle, including the municipal and barangay orientations and other activities that require the presence of NCIP personnel. b) Participation and support in activities during the project identification and selection stage, particularly the provision of technical assistance support during project development workshops, and assistance to communities in the formulation of subproject proposals, as part of the Municipal Inter-Agency Committee or MIAC. c) Participation in monitoring subproject activities to assess the level of engagement of indigenous peoples during the subproject implementation stage. d) Provision of technical assistance for the formation of community organizations to ensure not only the subproject's sustainability but also the recognition of indigenous peoples' structures. 6. Conduct capacity building activities for NCIP program staff that include, at a minimum: (i) Modules on Community Driven Development as a strategy in empowering marginalized sectors; (ii) Project orientation on KC-NCDDP and the Community Empowerment Activity Cycle (CEAC) as its primary means of implementation. 7. Co-convene with NCIP regular partnership meetings to include mid-year and annual assessments in order to identify issues that arise in program implementation and develop appropriate responses to improve the implementation of KC-NCDDP. 8. Assist the NCIP in accessing resources for activities related to this partnership.

Section 4: INSTITUTIONAL COORDINATION MECHANISMS 4.1 The NCIP and the DSWD shall form Joint Technical Working Groups (JTWG) at the national and regional level which shall serve as the primary mechanism for coordination between the two agencies. 4.2 The Joint NCIP-DSWD National Technical Working Group 1. The Joint NCIP-DSWD National Technical Working Group shall serve as the primary institutional coordination mechanism for planning and implementation of activities to operationalize the agreements under this MOA, at the national level. 5 2. A member of the Commission shall be designated to provide guidance and perform oversight over the work of the JNTWG for the NCI P. In similar fashion, the Deputy National Program Director (DNPD) for Operations shall likewise be designated to perform a similar function for KC-NCDDP. 3. The JNTWG shall be headed by the Executive Director of the NCIP, and the National Program Manager of the KC-NCDDP, as co-conveners. 4. The NCIP and the DSWD shall issue special orders naming the alternate conveners and members of the JNTWG from their respective offices, with functions consistent with the provisions of this MOA. Copies of these special orders shall be provided to each of the PARTIES, for reference purposes. 5. The JNTWG shall likewise act as the Technical Working Group for IP Concerns of the National Inter-Agency Program Implementation Team (NIAPIT) National Technical Working Group (NTWG), under the National Steering Committee (NSC) of the KC-NCDDP, and shall render report on a regular basis to both the NCIP Commission En Banc, and the KC-NCDDP NSC, on progress made in pursuit of the agreements agreed herein. 4.3 The Joint NCIP-DSWD Regional Technical Working Group 1. The Joint NCIP-DSWD Regional Technical Working Group (JRTWG) shall serve as the primary institutional coordination mechanism for planning and implementation of activities to operationalize the agreements under this MOA, at the regional level, and under the guidance of the JNTWG. 2. The NCIP and DSWD Regional Directors shall provide guidance and perform oversight over the work of the JRTWG in the region, for their respective agencies. 3. The JRTWG shall be headed by the KC-NCDDP Focal Person ofNCIP, and the Deputy Regional Program Manager of the KC-NCDDP, as co-conveners. 4. The NCIP and the DSWD shall issue special orders naming the alternate conveners and members of the JRTWG from their respective offices, with functions consistent with the provisions of this MOA. Copies of these special orders shall be provided to each of the PARTIES, for reference purposes. 5. The JRTWG shall likewise act as the KC-NCDDP Technical Working Group for IP Concerns in the Regional Action Committee (RAC) and/or the Provincial Action Committee (PAC) of the DSWD, and shall render report on a regular basis to the JNTWG, RAC and/or PAC, on progress made in pursuit of the agreements agreed herein. 6

Section 5: EFFECTIVITY THIS AGREEMENT shall be effective upon signing by all PARTIES, and shall be reviewed annually by the PARTIES to determine its (i) continuation and/or; (ii) need for modification. IN WITNESS THEREOF, the PARTIES her~ r r fx their signature to this MOA on thd UL l 2d~i1~f - - - - - ~ 2015, in rrn:-'30N . For the: NATIONAL COMMISSION ON IN DEPARTMENT OF SOCIAL WELFARE and PEOPLES (NCIR DEVELOPMENT (DSWD) ZONJU{ ~ Secretary Witnesses: .;t_____,,-:i__,,) v..f. ~ U -ForNCIP ForDSWD 7 ACKNOWLEDGMENT REPUBLIC OF THE PHILIPPINES) QUEZON CITY ) S.S. QlJ~GON.CllY JUL 2 2 2015 BEFORE ME, Notary Public for and in the City of _ _ _~ on this _day of _ _ _ _ 2015, personally appeared the following public officials: LEONOR ORALDE-QUINTAYO, with Philippine passport MGIP 10 "'C0-00\ issued on Au9w-t. 1, -i.ol~ at ~ u~.-2.DV\ u~ . in representation of the National Commission on Indigenous Peopless, Philippines; And CORAZON JULIANO-SOLIMAN, with Philippine passport ~ 00.3S(e0 issued on ;;;tv ~ "2&, ~ at DrA M..m; \a, in representation of the Department of Social Welfare and Development, Philippines; Who are both known to me to be the same officials who executed the foregoing instrument and they both acknowledged before me that the same is of their true and voluntary act and deed and that of the government entities they respectively represented at this instance. The instrument refers to a Memorandum of Understanding consisting of 6 typewritten pages, which is signed on each page by the official representative of the parties and their instrumental witnesses, and executed for the purpose(s) therein set forth. WITNESS MY SIGNATURE AND NOTARIAL SEAL on the date and place above written. DocNo. ~ ; Page No. _K_; ATT Book No. L Series of 2015 8 l'\rµ111Jl.ic of t~e .:!i)l)tliµ\)mr!l OFflCE OF THE PRESIDENT ~ NA fIONt\L C0:£11.:M!SSION ON INDIGENOUS PEOPLES 2nd Floor N. Dela Merced Bldg., Corner Wes! & Quezon Avenues, Quezon City Tel. Nos. 373-9534 • 373-~578 ' 3H-9ti57 Telefax: 373-9765 I• ' www.ncip.gov.ph. resow-cc@11cip.9CN.ph t • ,;I • I \ -..-: .- / i : \• . . \ . NCIP Administrative Order No. 3 ' '~. ·,•.~. Series of 2012 ~H:E REVlBED Gl.,TIDEL!NES ON FREE A":fD PRIOR IWFOR.~ED CONSE.."lllT (:r?P!C) A.l'W RELATED PROCESSES OF 2012 Pursuan'. to Sections 44 (m), 46(a), 57, 58, 59, and 7 of R.A 8371, othenuise known as the Indigenous Peoples Rights Act of 1997, and other related provisions, the Jol/owiny guidelines are hereby promulgated in lieu of NCIP Administrative Order No. 01, S8ries of 2006, as follows: • I 1:'A.~T :ii PRE!.XMJ.:NARY PROVlS.!ONS Sect:cin 1. Title . This Guidelines shal! be known as "The Revised Guidelines on the Exercise of Free and Prior Informed Con&nt. (FP1C) ..u1d RclaLed Pl l'Cesses".

Section 2. Objectives. '. a. Ensure genuine exercise by Indigenous Cultural Communities/lndigenous Peoples (lCCs/IPs) of their ~.ght to r.ree and .Prior Informed Consent (FPIC}, whene\ er applicable; b. Protect the rights of ICCs/lPs in the ii.1Lro0.uction and implemenlalion of plans, •.x ogram.s, projects, activities anc! other unc!enakings that will affect them 2.nc! Ll-ieir ances~ral domains to en::;ure their economic, social and cultural well-being; c. Provide, and ensure compliance with t.1-ie _procedure and t..1-ie standards in the conduct of Field-Based Investigation (FBI) and FP!C process, payment of fees, ccmpensation for damages, execution of Memorandum of Agreements, observ..=nce of corporate social responsibility; and imposition of sanctions frir the commission of prohibited ac.:ts and omissions as hereinafter provided; d. Ensure just and equitable partnership in environmental management, land use, development and . resource use within ancestral domains as well as benefit sharing, between and among the concerned ICCs/IPs and the prospec.tive investor, government agency, local government unit (LGU}, non- govemDent organization (NGO) and oLl-ier entities desidng to engage or -{ ·- ~ collaborate in such underta!<lng; ---::::- 't, "'-'~ r ~ ~ e. Ensure that when priority right to development and utilization of natural resour•~es is validly exe~cised by Llie lCCs/IPs, the same shc:.ll be va}idated ~ -: in accordance wi!.h the spirit and pri.r1cip?es of FPIC; f. Ensure that ru.1.y benefit derived after the grant of FPIC or as an exercise of priority rights shall be managed am! usec! properly by, for and with the conceri1ed comm.unity not forgetting inter-generalional obligations; and ,() _:)Ji>r ~ 0 g. Gua,-a,· tee pcoCecLion of mettled/ dis9•acetl !CCs/!Ps. -- 'JjJ) r( )V✓ ,,,1 th I\ ( ~ ) \) S e c Uo n 3. D e claration o f Policy. a) The FFIC actualizes and strengthens the exercise by ICCs/!Ps of their rights to Ancestral Domains, Soci,t.! Justice and Human Rights, Sdf- Governmce and Empowerment, and Cu:.tural lntegrity; b) The rig'.1l of !CCs/IPs to the m.:v:1agemcnt, c1.evelopment, use and utilization ' · of their land and resources within their own anceslrnl domains shall be given u .n1ost regard; c) No con::essim1, license, permit or lease, production-sharing agreement, or other undertakings affecting ancesl.ral domains shall be granted or renewed wilhoul going through U1e proccs-;; laid down by law and this Guideliaes. (a3) Sec tio n 4 . Operating Princip!es. In U1e i.P.l!)~c::meutation of this Guidelines, the following operating principles shall be observed: a. Empowerment. The ICCs/lPs s.'1c1..'.l freely pursue U1c:iJ: economic, social and cultw·al development through their participation in decision-ma.ring, . 1 detcrroi_nation of priorities, i:i.S well as '.he practice of their justice system and pe;;;.cc-building processes. b. Consensus-Building and Ded.sion-?1'':a!dng Proces s . The ICC/IPs shall participate in the decision-making processes primarily through their indigeno us socio-political structw·es. They shall like,;,.1ise affiru1 the decisior:.s of their duly authorized representatives. \ . c. Peace-:Zui!dto.g. The decision-making or the 1CCs/IPs in the conduct of the -~ FPIC is a measure to promote peace, h.armony, understanding, unity and security. d. Cul~ural Intl!grity. In the implemenlution or operation of plans, programs, projecls or activities in Ancestral Domau.11;, du.e regard must be given not only to the physical environment bul l.he lotal environment including the spiritual ..ui.d cultural bonds to the areas. e. Inter-generational Responsibi.~ty. The incligenous concept of ownership sustains the view that ancestral domains are cunsidered community property which belong to all generations and therefore cannot be sold, disposed or destroyed. The ICCs/lPs sha!.I have priority rights to manage and pu-nme sustainable a11d responsible development plans, programs, projects or activities within their a.'lcestral domain. f. Primacy of Cus tomary Law. ln Ll:le conduct of FBI, FPIC, and other processes provided un~er this Guiddines, including but not limile<l lo dispute resolutions in relation thereto, U1e primacy of customary law auc. decision- making processes as determined by U1e ICCs/IPs shall be \ .. observed and adhered to. g. Transparency and Clarity. The processes under this Guidelines shall be transparent lo all stakeholders. The applicant shall make a full and accurate disclosure of information concerning lhe proposed program, project or activity in a manner thal i:, boLl:l accessible and understandable to the concerned community. · h. Existing Property R egimes . Existing ond/ or vested rights shall continue to be recognized pursuant to Section 56 of R.A 8371 and its Implemen~1:J) Rules ar.d Regulations. \ ~ - t'' ,,---ti~ q\ I /f. ~:v ;✓ /-ir, VJ • I 1. Ancestral Doma•.n as a Single Unit. An Ancestral Domain shall be recognized and treated as one or undivided unit. Sec+..ion 5. Definitio:u o f Terms. !n adclilion to the terms c~eii.ned. under lPRA tmd its IRR, tl1e following are defined thus: a. Anc.e stn\l Domah1 Sustainable D,;ve!•.>pment & Protection Pfan (ADSD:0-l?). Refers to the consolid.:1.tion of the plans of lCCs/IPs within an \ . ancestral domain for the sustainable management and development of their land a .1d natural resources as well as the development of hunian and cultural resources based on their inc!igcnous knowkdge systems and practic,::s. b. Area /_ffecteo.. It refers t.o area/s in Ll,e ancestral domain which will be overlar:,ped or affected by the proposed p:an, program, project or aclivity, including areas that will suslatn ef.:ects or impact to be determined by U1e FBI Team. c. Bio-~rnspecting. The research, conecti.OI', un<l utilization c,f biological and. genetic resources and substances, with i.he view of applying the k...riowledge <le1ived therefrom for mediL·-i.nal, com.l'.'1ercial aiid olher purposes. . I d. CertAficat,e of Non-Overfap (CNO). I~ refers to che Ce::rlificate issued by the NCIP attesting lo the fact that the area where the particular plan; program, project or activity will be done dues not overlap ·with, or affect, any ancestral domain. e. Ce.rtmca~o.u P:reconc.ition (CF). It refers to the Certificate issued by the NCIP, signed by the Chairperson, attesb.ng lo lhe grant of FPIC by the \ . '.a concerned ICCs/lPs after appropriate compliance with the requin::mencs provided for in this Guidelines. f. Conser,sus-RuilcEng. It refers to that part of the decision-making process undertaken by the JCCs/IPs through L'ieir indigenous socio-political structures and practices in. arriving at a co!lective/communal decision. g. Environment Im.~act Statement (E.J.S). It is the document which aims to identify, predict interpret, and communicate information regarding changes in environmental quality associated with a proposed project and whic:i examines the range of alternalives for the objectives of the proposal and their impact on the environment. h. Extractive or !.ar.ge Scale ActiV!ties. The::se refer to the activities enumerated in. Sec. 19 of this Guidelines. 1. Field-Based Investigation (FB!l). ll refers to the ground investigation undertaken to determine whether or not the plan, program, project or activity overlaps with, or affects, ru.1 ancestral domain, the extent of the affecteci area, and the ICCs/IPs whose FPIC is to be obtained. r ~ j. Indige!l.ous elder/leader. An indigenous elder/leader emerges from the dynamics of customary laws and practices; they evolve from a lifestyle of conscious assertion and practice of traditional values and beliefs. They are recognized as authority in conflict resoluti01~ 1:md peace-buildi.'"lg processes. on spi.titual riles and ceremoni•.=s and in c~oing so, possess Lile attributes of wisdom and integrity. They lead and assist U-1e cornmunily in decision- making processes towards the protection and promotion of their rights an~& the sustainable development o:· their ancestral domains. z{ d 1 ~ ;p---/ I I I / / i,, J)J)B AV j '\- <"r1 lj} \'\ \ .\ k. Inde!)en~ent Ex:9ert. Refers lo a person speci.alizmg w related field whose education o.nd/ or experience cm1 be a sour ce of mvalw1ble mfonnauon pe1·laining to a particular iss!.le and who is expected Lo give an objective · I information or opinion, lhc.t will help the ICCs/IPs to reach a scnsib'.c:, intelligent and well-inion nec decisioD . 1. Non-Extractive and/ or S ma!.1. Sca~e Ac!.ivitfos. These are the activities enumerated in Section 24 of this Guidelines. m. Re solution o f Consent. It r<::fers to U-.e "1-Titten res0lulion adopled by the \ . affecte d ICCs/IPs by themselves or Uu-0 1..1.gh their duly aut!1.orized elders/leaders e}..-pressi:ng U1eir acceptance; of the plan, program, projc:cl o•· activit_y. n. Resot .:itiov. of No n-Consent. It refers to the written resolution adopted by the affe cted ICCs/IPs by themse!ves or through lheir duly ,,'.uthori.:i:t!d elder s/leader s expressing their non-acce9tance of the plan., program, project ur activity and the reasons therefor. :?A..~TU PR~L.!1\fiNA~YACTNXT!.ES Sectio n 6 . Ap,plication for lss11a~1ce of Cl!rt.m cation Pl'econdition.. The · I application for CP shall be endorsed by Ll-ie appropriate regulatory agency or unit of government to the NCIP Regional Office that has jurisdiction over lhe area where t..'-ie plan, project, program or activity is sought to be unc.ertaken, provideci however, that for plans, progr&.ms, projects or activi.ties affecting ancestral c!omai11s t!ial. do nol require. a permit, license or agreement from any government agency /instrumentality, the app!ication shall be filed directly with the same NClP Regional Office having jurisdiction over the area. In case the project is within two (2) or more regions, the endorsement or application shnll be transmitted Lo the Director of the Ancestral Domains Office (ADO) who shall decide which Regional O!Ii.ce shall rake the lead in facilitating the appropriate and :tpplicable process taking i..'"lto consideration the extenl of the effecl and ilie size of th,~ areas that will be affected. (a7) No two (2) or more applications of similar subjt!ct shall be simultaneously entertained al any given time covering the same area while an application is being pr ocessed therein, neither shall another be given due course whi!e a previous application is being processed. Sect ion 7. Doctunents Re~t•}xe~. fa Accom.!}"i!>.ny Apr:licati.or.. The applican• shall submit a company and project profile wl1ich shall include: the nature and pur pose of the project; location with an indicative map showing the names of sitios and/or barangays Ll-ial will be. affected; Abstract o.f proposed project describing the size, pace, reversibility and scope; du ration; pr eliminary assessmen t of tile likely economic, s ocial, :::ultural a n d environmental effects, inclu ding potential risks and how these will be addressed; Indicative budg<::t; Pt:rsons to be involved in implementation ; Operational Plan and activities; and the Profile of lhe applicant. \ . The ADO, in consultation wiUi .'ie!d o.!Jiceg, shall cri:tft L'1e standard and appropnate checl<l1st for the above purpose. At a n y time, the FBI/FPIC Team may require additional but pertine1~t$ document/_, from lhe applicant, e.g EIS from lhe DEN9., if available. ~~- fl{ <11 /! / 1 4 [ mw r';i/ 1 IP \""\ \ )

Section 8. Consti tution and Comuosition of the F.S:i: Tea.m. The FBI Team shall be constituted, by the Regional Dire~tor, by way of Memorandum, w1lhm ten ( 10) days from approval of this Guidelines, lo be composed of lhc following: 1) The Community Development Officer (CDO), as Team Leader ; • I 2) The FBI Provincial Focal Person; 3) One (1) from the Community Service Center (CSC); a.nd 4) Two (2 ) lP elders/leaders identified by lhe C SC The compo.;ition of the team may be revised or enhanced u9on the ag,Teement of the FBI team as the need asises in order to cope with existing work conditions or circumstances, with the approval of the Regional Director. For CSCs in provinces vvithout provincial offices, Ll-ie Regional Direct.or concerned shall designate the leader and members of the FBI Team which shall be headed by t...'-J.e CDO aud other person..T1el from the CSC and may be augmented by personnel of the Regional Office and/ or from the nearest Provincial Office.

Section 9. Duties an<!. F-.mctions of t k>.e FIU Team . The duties and functions of the FBI team. rue: 1. Consult ~vith the AD representatives if applical)le; 2. Conduct the pre-FBI Conference and along with the proponent, !Jrepare the WFP for the FBI; 3. Undertake Ll-ie FBI to delermine lhc parlicu:ar area that will be · affected, mcluding tl1e projection of foe inc!.orsed tecl.1.n.ical description/ geographic coordinates in the AD, the proba1..J 1.e e!'.c cts of the plan, program, project or activity, and the number of lCCs/IPs thal w:11 be affected, 4. Identify the eldt:rs/leaders and determine presence of disputes/conflict with adjacent ancestral domain/ s; • 5. Prepare, under oath, and submil a report ·with recommendatior..s to the Regional Di.rector; 6. Liquidate all funds handled in accordance with stru1dard accounting and auditing ru~es and regulations; a..ri.d \ . 7. Perform such other functiors as may be directed by higher authorities. In consultation with field offices, The ADO shcill craft the appropriate form / s , for the guidance of t.1-ie FBI Team in the performance of its functions.

Section 10. Pr.e-FBl Confez-en r.:e; Matters to be Taken . The following matters shall be discussed, tal-:en up and/or acted upon during the Pre-FB! Conference: a. Orientation on the requirements of lh<.: FB! process; b. The identity and other basic information about L'i.e applicant; c Detailed project profile; d. Work and Fmancial Plan; and e. Other unportant matters that may be agreed upon.

Section 11. Non-appearance at :?:te-FB!/Pre-FPIC Conference and Non - Z - payment of FBI/FPIC Fee. Should the ap!>lica.nt fail to appear in the Pre-FBI or Pre- FPIC conference, 1.he Provincial Officer or the CSC Head, as the case may be, shall schedule another conference with notice to, and at the expense of, U1e applicant. If on the second sched1...le, the applicant still fai.'.s ~o appear, the Provincial Officer or U1e CSC Head shall immediately m!"orm the Regional Director of such failure. Iv Upon receipL of the information or report, the Regional Director :;hall ordei- the suspension of the process with notice t o the applicant. The order shall also direcl Lhe applicant to show cau se, withm a non-extendible period of ten (10) days from receipt, why lhe application should not be deemed abandoned for lack or loss of intere t. ✓~WI fr/ 5 \ after the lapse oft.en (10) days from receipt of t:.'1c Order, as evidenced by a proof of receipt, and wi hout justifiable reason formally communicaled Lo the Regional Director, the la! ::er shall declare the application cancelled .m<l shall return tbe application to th'! endorsing regulatory agency or t!le applicant, as the case may be. Thereafter, other applications, if any, may be given due coL1rse. Failure or.. the part of the applicant to pay the FBl/ FPIC fee or cornply with t!te requirements as ,.1.greed upon during the Pre-FBI/Pre-FPIC conference/ s shall likewise result in suspension or cancellation as provided in Llic preceding paragraph.

Section 12. Work and Financial !-'!.a~ (WF.P) fo-,: FB!/FPIC. The WFP shall be agreed upon by the applicant, the concerned lCCs/lP representatives, and NCIP during Lhe Pre-FBI/Pre-FPlC Con.fere:nce. lt sha!J. include, among others, the estimated cost of- (a) Food and snacks, lodging a~d transportation expenses of U-wse who will be aclually involved in the FBI process; (b) Ducumenting the FBI aclivilies i.e. photo and/or video, cassette recording and devetopment, reproduction of do<.:uments; and (c) Others a.s may be agreed by all the parties during the Pre-FBI/Pre-FPJC conference. The computation of expenses or costs must be based on rates applicab~e in tbe particular area where the_FBI/FPIC is to be undertaken. No subsequent cash advance by the person authorized to do so in behalf of the Team sball be allc,wed unless the previous one is fully liquidated The FBI/FPIC Fee remitted or paid by the pruponent or applicant shall be deposited in a Tnist Account to be established for the purpose by ihe Regional Office. Cash advances ar,d withdrawals therefrom, and the ui.ilizaJion and liquidation of such advances and withdrawals shall be in accordam;e with t..11e appropriate memorandum circular to be issued by the Director of the Finance and Ad.ministration Office. Section !3. Commencement and Cond'!lct of e,e FB!. The Team shaU commence the FBI within ten (10) days from date of deposit/payment of the FBI fee and must be completed within. ten ( l 0) working days from actual commencement except when delayed by reason of fortuitous event or force majeure. The FBI Tea-rn shall submit its 1'eport in accordance with Section 9 of this Guidelines. Should it be apparent from the reporl that an AD shall be affected by the proposed project, the RD shall immediately mobilize the FPlC team, oL¾erwise, a CNO shall be issued pursuant to Section 15 of this Guic.e1.i.!le-s.

Section 14. Contents of the Field-:Sased fuvestigation R.e:!Jr.>rt. The FBI report must contain a narrative of what transpired during the ground or field investigation; findings and recommendations; and Ll-1~ pertinent altachments, in a standard pro Jonna form to be devised by ADO after consultation with field offices. The report shall be signed, under oath, \:,y the team leader and members. Sectio n 15. Certificate oif Non-0ver:.a~; V\'1le1.1. Issued. When the erea 1s patently and publicly known to be outside any AD, or U1e acrivi!:y is <!.et<::rmined, after FBI, not to affect la\.U AD, the Regional Director, with the concurre!1ce 0£ the concerned Commissioner, shall issue a CNO, provided however, t!Jat the applicant shall execute an undertaking for the conduct of FP1C shou:d it be discovered later that there is, in fact, an overlap with an AD, provided further, that special attention shall be given to ICCs/IPs who are shifting cultivators or. traditionally nomadic so as not to prejudice their rights as such. \ .

Section 16. The FPl.C Team.. The FPIC Tc·am iu each province with orovincial office, to be c:ons~tuted by the RegionaJ Director, shall be composed of t..¾e follow:,:ng.., \ . 1) The Provmcial Officer, as Team Leader; 2) The Provincial Legal Officer; 3) One (1) Engineer from the Provincial or Regional Office,; 4) The heac; of the FBI Team; and 5) Two (2) [=> elders/leaders selected by the community in the first assembly. In provinces without provincial office, the Regional Director shall, constitute the FPIC Team t,) be led by the CSC Head and witl1 members from the same service center to be augmented from personnel of U1e Regional Office and/or nearby Provincial . I Office, and two ('2) community elders/leaders selected by the community. Substitution, re-arrangement, augmentation of membership in /of the FPlC Team may be d•)ne for good and valid reasons, upon the recommendation of the Provincial Officer or CSC Head, as the case may be, with the approval of L'le Regional Director. The Regional Di.rector, Chief of Ll1e Technical Management and Services Division \ . (TMSD) the Regional Attorney, and the Regional Hearing Officer, shall in no cast be part of the Team.

Section 17. Duties and Functions of the FPIC Team. The FPlC Team shall perform the follovting functions: a. Convene, with prior notice, the First general as~embly to validate the following: (1) FBI Report; (2) Identity of the IP Elders and Leaders; (3) Decision-Making Process; (4) Census of IPs/Migra-rit IPs; (5) Area affected; (6) Existence of boundary conflict with other ADs; b Document Conflict Resolution Mechanism and facilitate the concuct of Ll-ie same by t...h.e chosen/selected Elders/Leaders, should tl1ere be any disputc/confljct to be resolved; c. Facilitate and document the proceedings of the assembly and be responsible for Lli.e interpretation, translation, clarification, or elaboration of matters discussed or taken up; d. Orient the participants on the pertinent provisions of IPRA at all stages and activities; \ . e. Present the agreed WFP during the assembly; f. Invite the appropriate independent experts, if available, Lo give their opinions on any aspect of the project; g. Should. the ICC/IP agree to the activity, help draft the Resolution of Consent and the MOA, or Resolution of Non-Consent should the ICCs/IPs reject the proposal; - h. Make an accounting, in accordance with gene1 ally accepted accounting and auditing rules, of all monies and properties received in relation to the conduce of the FPIC; and • I i. Prepare and submit FPIC report with recommendation/ s. and an executive summary of the same, both duly signed under oath by all the team leader and members, to the Regional :Director, copy furnished the concerned Commissioner. The ADO shall craft the appropriate pro Jonna fo!·m for FPIC Reporls after ~ ~~ consultation with field offices. \ . / I ' I // l. (jJ '~ ·, \ . s~ction 18. The Regional Review Team (RRT); Composition; Functions. There shall be a Regional Review Team (RRT) t.o be constituted by the Regional Director, composed of 1.he TMSD Chief, Regional Attorney and Ll-ie duly designakd Regional FPIC Focal Person. The RRT leader may either be the TMSD or the Regional Attorney, at the option of the Regional Director. The RRT shall have the following duties and responsibilities: l. Make aju.dicious and complete review of the FPIC report and the MOA; 2. Render a report, under oath, of Lli.eir findings and recommendations to t.11.e Regional Director; • I 3. Summon any member of the FPIC Team, representative of the lCCs/IPs, or represent.-ative of the proponent to clarify m.allers contained in the report and the MOA; 4. Appear before the Commission when so required; and 5. Perform such oL½.er functions as may be directed by the Regional Direct.or. \ PA.~Till \ . ACTMTIES, PLANS, PROGRAMS, PROJECTS COVERED AND ~..ANDATORY NC'r1.VITIES

Section 19. E:xt.ractive/ Intrusive/ Large Scale. The following plans, projects, programs, and activities are considered large scale/extractive/intrusive; a. Exploration, development, exploitation, utilization of land, energy, mineral, forest, water, marine, air, and other natural resources requiring pennits, licenses, lease, contracts, concession, or agreements e.g production- sharing agreement, from the appropriate national or local government agencies, . including feasibility studies related thereto; b.-Those that may lead to the displacement and/or relocation ofICCs/lPs; c. Resettlement programs or projects by the government or any of its instn.1m,~nt.alities that may introduce migrants; d. Declaration and management of protecled anc. environmentally critical areas, and other related undertakings; e. Bio-prospecting and related. ac!.ivities; f. Activities that would affect their spiritual and religious traditions, customs \ and ceremonies, including ceremonial objects, archeological exploration, diggings and excavations and access to religious and cultural sites: \ . g. Industrial land use including the establishment of economic zones; h. Large scale agricultural and forestry management projects; 1. Carbon trading and related activities; J. Large scale tourism projects; k. Establishment of tempo~ary or permanent military facilities; conduct of military exercises, or orgai1.izing para-military forces; l. Issuance of land tenure instrument or resource use instrument by any government agency and related activities; and rn. OU1ers analogous to t..hc foregoing, excepl small-scale quarrying. The foregoing shall be governed by lhe F.PlC process in Section 22 of this Guidelines.

Section 20. \V:b.o Shall Exerc½-e t..½.e Right to FPIC. All ICCs/IPs who arc owners of the ancestral dofnain have the right to exercise f PlC on/for any of the activities !is!ed in Lhc immediately preceding section; Provided, that in case the AD is owned by two (2) or more ICC/IP sub-groups, or under a unified claim, provisions of their duly executed and validly existing agreement shall be followed, i.f any, otherwise, all ICCs/IPs ;;;ur ' /7 JJJJJI t/V' 8 f)J ~ ' ( ?' \ groups, tiibes shall all participate in lhe decision-making in accordance wiU1 their applicable customary law/s; Provided further, that when Lhere are two or more domains affected, the ICCs/1Ps owning such domains shall exer cise the right to FPlC separately; Provided Jurlhennore, lb.at affect ed migrant !Ps inside the domain/ s may p articipate in the exercise of llie right t o FPIC if expressly allowed by t he domain owners. Unless specifically stated in the MOA, separate exercise of lhe right to FPIC shall be for each major p hase of the proposed aclivity suc..1-:i as Exploration; Operation or Development; Contracting of operator; aTJ.d Lhe liJ,c. Nothing in U1is provision may be interpreLed to prejudice the rights of persons under other exis,J:.ing laws. Sectfo!l. 2 1. P x-e~~PIC Conference. The :01.lowing shall be taken up, acted upon or accomplished during lhe Pre-FPIC Conference: a) The FBI Report; b) · Fin alization and approval of WFP; c) Deposit/Remittance of FPlC Fee; d) Setting of schedules and tasking; e) Preparation of Work Ore.er; .f) Orientation on the FPIC process, protocols, and prohibited acts; g) Arrangemcnls for the payment of the bond; h) Submission by Lile applicant of an undertaking, written .in a language spoken aud understood by the community concerned, that it shall commit itself to full disclosure of records and information relevant to the plart, program, project or activity, that would allow the community full access to records, clocumcnts, material information and facilities pertinent to the same; i) Submission by the applicant of an Environmental arid Socio-cultural Impact Statement, detailing all the possible iropac;t of the plan, program, project or activity upon the ecological, economic, social and cultural aspect of the communily as a whole. Such document shall clearly indicate how adverse effects may be avoided, mitigated and/ or addressed; j) Opinions of invited experts, if any; and k) Others as may be required. by the FPIC Leam or as may have been s1.:u:faced during the conduct of the FBI.

Section 22. Condu-ct of Community Assemblies and Ot:he:r Activities. Two (2) com..inunity assemblies, known as Fi.~st and Second Community Assembly, • I respectively, sh~ be held. The First Comnrnnity Assembly shall be heid as soon as t..1-ie proponent remils or puys Lile FPlC Fee to the Regional O.ffice arid t11c corresponding amount is released t o the concerned NCIP Provincial Office or Service Center for the purpose. lt shall be held on a date and strategic place within the AD after the following are complied with by the FPIC te~m: I • 1. Formal notice to fae Regional Director with his/her approval of the date and place secured; 2 . Posting of w1itten notices seven (7) days before the activity in conspicuous places in and around•· the concerned ICC/IP Community, i.e. the Community Tribal and/or Barar>gay Hall/s; 3. Personal service of formal notices to Hie AD representatives as appearing in the Certificate of Ancestral Domain Title (CADT) Recognition Book or ~ ADSDPP Book, if available, seven (7) days before the activity; 4. Ser vice of formal notice to the represenlalive of the proponent/locator; 5. Service of form al notice to the concerned LGU/s Chief Executive/ s, concerned NGOs and invited experts, if a.lly; and 6. Service of notice to the Provin!;ial Consultative Body (PCB), if existent. During this assembly, the following matters shall be Laken-up, discussed and/or acted upon: a) Orientation on IPRA and the FPIC process; b) Validation FPI report and the area/s aIIected; c) The Census of !Ps/Migrant IPs/Non-IPs; d) Identification and validation of IP Elders and Leaders; e) Determination of the Decision-making or consensus-building process/es; .f) Consensus on L~e involvement of NGOs/CSOs; ~ J(Jt001 w 9 io ~ . : ? \\ Validation of the members of the FPIC Team representing the community; h) 1 • P resentation of the agreed WFP; i) Option, seleclion and invicalion of indepenc!ent expert/s to conduct EIA or give Ll-ieir expert opinions; j) A1Tangements for conflict/dispute resolution mechanisms by the chosen/elected lP Elders/Leaders; k) Dale and place of Second comrnuni.i.y assembly; and I) Other matters !..hat may be necessary and pertinent. The Second Community Assembly shall be heltl on a date and place within the AD decided upon during the First commun.ily assembly. In this assemb'.y, the following shall be taken up or undertaken: l. Presentation by the applicant of the plan, program, project or activity that it seeks lo undertake. The presentation shall include: a) The Operation Plan and the scope and e"-'tent of the prop,.,sal; b) 1'!1.e cost and benefits of Lh.e proposal to the ICCl,lP and their ancestral domai.11s; c) The perceived disadvantages or adverse effects to the community; and d) The measures adopted by the applicant to avoid or mitigate Ll-iese; 2. Sharing by an expert/ s, if engaged or invited, to includepresentation of the result of the ElA if available, expert opinion/s on any aspect, recommendation/~' and identification of affected area/ s; 3. Remarks or inputs of other stakeholders, e.g. concerned NGAs, LGUs, NGO, \ · IPO; 4. Open forum to give the ICCs/IPs the chance to ask questions and to speak out their concerns relauve to the presentations and the project; and 5. Other important matters that are agreed upon during the assembly. -!f 1t becomes obvious or apparent that there are other ancestral domam/ s that are affected, the FPIC process shall be undertaken in such area/ s, either in one process or separately, depending on the obtaining facts and circumstances and the decision of the people of such affected area/ s. Towards the end of the Second. community assembly, the lCCs/lPs shall be left - I alone to agree qn their decision-making/consensus-!.>uikl.ing schedules and when to come out with their decision. This activity musl not be u_r1dertaken less than ten (10) days from t.."1.e date of the Second community assembly and must be completed within a reasonable tiir..e but not more than two {2) months tb.ereafter. Following the Second Community assembly shall be the consensus-building period. This is t..lle period when the lCCs/ lPs shall proceed to consult among themselves, employing their own tradition.al consensus-building processes, to further \ . understand and discern Lhe merits/advantages and demerits/disadvantages of the proposal in order to intellige~tly arrive at a consensus. Except for NCIP representatives who shall document the proceedings, the applicant and non-members of th.e IP community are strictly enjoined from participating in U1e consensus-building activity or interfering in any manner in the deci.~-:ion making process. Non-lPs or migrant lPs who are residenls of Llie AD may only participate if allowed by the AD owners in accordance with their customs and traditions, provided however, Uiat the permission be made in writing and signed by the authorized elders/leaders. When U1e ICCs/IPs are already ready with their decision or consensus, the duly auU1orized Community Elders/ Leade1:s shall communicate to the FPIC Team such consensus. If it appears to be favorable, the FPlC Team shall inunediately notify Lh.e proponent and the community representatives for Ll-ie negotiation of the terms and conditions that shall be embodied in the :tv~OA. Once the parties agL-ce on !.he terms and conditions, ' the MOA is forthwith drafted in Ll1c vernacular and English -:ir vic.:e versa. Thereafter, a valida!.ion assembly shall be convened within t..l-ie AD, at whic~& I ~ 10 ~{ fN \ . \ . I time the MOA provisions shall be explained to Lhe community by the FPIC Team in a language that they speak and understand. After having understood the contents and implications of the MOA, the community may cor1fi.nn the same. After confirmation, the san1e shall b<:: forthwith signed by the authorized sjgnatories of both parties. The \ . negotiation of the terms and conditions and the signing by the duly auH1orized representatives of the proponent and the ICCs/lPs must be done within Lhe AD. Along with the finalizaton of the MOA, the Resolution of Consent of the community ;,hall also be prepared, signed and released. lf the consensus is not favorable, the Resolution of Non-consent shall be prepared, signed and released. The FPIC Team shall facilitate the conduct of, and document all, proceedings/activities under this section and shall be responsible for the translation, interpretation, clarification, or elaboration of matters ta1(en up, and the explanation of pertinent provisions of IPRA, to Lli.e best of their personal knowledge and abilily. Views, pro·and con, shall be summarized and documented as accurately as possible. . 1 The FPIC team may also direct any participant in the assembly to submit written comments or objections which must be re;eived by t.he FPIC Team within a non- extendible period of three (3) working days, to form part of its final report.

Section 23. Po~ting of Bo1.11;!. After the issuance of written resolution of consent and before the start of any activity enumerated under Section 19 of this Guidelines, the. applicant shall secure a bond with a reputable bonding company with the consent of the NCIP, or deposit a cash bond wit.ti NClP, to answer for 'damages, I . violation of terms and conditions which the ICCs/IPs may suffer and claim from on account of t.b.e said activity as may be agTeed by the parties in the MOA and under other applicable laws. The kind, amount of bond to be secured or posted, w.1d the terms and conditions thereof, shall be specified in the MOA. ·A S'rction 24. Non-Extractive/Small Scale Act5.~tles .. The follo\i\Ting plans, projects, programs, and activities are considered non-extractive/ small scale. 1. Activities not covered in Section 19 hereof; 2. Feasibility studies not embraced in the preceding Sections; 3. Non-extractive exploitation and utilization of land, water and natural resources as defined under existing laws, rules and regulations of governing or regulating agencies, e.g. ISF, CBFM, IFMA etc.; - I 4. Programs/projects/activities not requiring permits from government agencies; 5. Other Small scale quarrying; and 6. Such other activities analogous to the foregoiJ.1.g. Researches undertaken by government, private persons, or corporations or foreign entities _for purposes intended directly or indirectly for any purpose shall be gove1ned by the Guidelines on Research and Documentation of IKSPs and Customaiy Laws. The FPIC process under t.'l.i.s Section requires negotiation between t..li.e community, represented by its Council of Elders/Leaders, and the applicant, facilitated by the FPIC Team. There shall be two (2) separate meetings with the elders/leaders wruch are herein referred to as the First meeting and the Decision meeting. In the First meeting, the applicant will be given sufficient time to present and clarify its proposal. The presentation mu_st include the operation plan., the scope and extent of the activity, the cost and benefits to Ll-ie ICC/IP and their ancestral domains, perceived disadvantages or adverse effects to the community, ai1.d measures adopted by the applicant to avoid or mitigate Lliese. In said meeting, the ICCs/IPs shall prepare ili=;;;-0): mo« ilian a schedule for their decision-making/consensus-building which must start not less from the fast meetin~ :.nd completed not Th;rly \31 . I I IN I)) { ? clays U1ereafter. The First meeting shall be followed by the conscnsus-builc:ing period by and among fae council of elders/leaders. They \-0.Jl also use U-us period to consult with their conslituency in accordance with their customary mechanisms. Afler they are able to anive at a consensus within the time frame they decided, they shall infonn the FPIC Team of such consensus. 1f the decision/consensus is favorable, the Team I • shall forU1with convene the Decision. meeting, with I '.Otice to the concerned parties. During this meeting, the council of elde1s/lcaders will formally proclaiJ.n their decision and lhe parties shaJl proceed to negotiate and finalize the terms and conditions of the MOA and thereafter consununate the same. If the consensus is against the project, the leaders/elcers shall issue a resolution of 11ou-consent, however, ii it is favorable, the Regional Director shall within three (3) days, from receipt of the resolution, prepare and sigu the CP and transmit the same, including Ll-ie FPIC Report, to the concen1ed corru:nissioner for concurrence, copy furnished ADO. Once concurred, the same shru.! be endorsed to the Chairperson for confirmation. The process hereirl 1-'rovided sha!.l be considered as exception to the strict provisions of Part V of this Guidelines. · I

Section 25. Excluded Areas. The follo~..ng B!"eas are excluded from any activity except for the exclusive purposes for wh.ich they are identified: a. Sacred grounds and burial s!tes of indigenous communities; b. Identified international and local cultura.:. an<l heritage sites; \ c. Criti-cal areas identified or reserved by the ICCs/IPs for special purposes; and d. Other areas specifically identified by !CCs/!Ps in their ADSDPP. PA.~T IV POST FPIC ACT!V!TIBS

Section 26. Submission of Report. Where lhe ICCs/IPs gave their consent in accordance \.Vith the foregoing provisions, The FPIC Team shall submit a formal report with recommendation/s, systematically prepared wiLl-i pertinent and legible annexes, signed by the team leader and members under oalh to the Regional Director. An executive summary thereof shall also be prepared and copy fumi::,hed the concerned Commissioner/ s. . I In cases wl}ere EIA, EIS and/or ECC are required by the regulatory agency, and the same are not available at the time of U1e FPIC Process, the proponent/ applicant shall execute an undertaking that should the sa.'11.e become available, the proponent/ applicant shall furnish NCI? a copy of the same, and undergo L"lie FPIC process in areas included in said EIA, EIS and/ or ECC as affected areas which were not included in the previously determined affected area/ s. In case of non-consent, the FPlC Team shall report the same to the Regional ' . Director, and the latter shall forthwith inform the proponent, copy furnished the concerned Commissioner/sand the ADO.

Section 27. Request fo.c Reconsiterat.i.on. The proponent/applicant may request for reconsideration of the resolution of non-consent wilhiu fifteen (15) days from receipt of the said resolution of "l!On-consent. The request for reconsideration shall be addressed to the ICCs/IPs through the Regional Director. It must embody any new proposal to ac!dress the reason/s for lhe rejection. After receipt of the request for reconsideration, the Regional Director shall direct the leader of the FPIC Team lo serve copies upon the authorized representatives of Ll-ie !CCs/IPs. Upon service to the ICC/IP elders;leaders, the FPlC Team Leader shall advise lhem t~ consu~L:-t 17, . I ~ ~r>W ~ 1/J C1 ·communily. Should the leaders believe faal there is need for a community assembly to discuss the merit of the request, they shall so inform the FPIC Team Leader with a proposal for the provision of funds for the holding of a community assem"bly. This shall then be communicated to the Regional Director who shall Ll-ien inform th.e proponent/ applicant. Should the Elders/Leaders, after consullution with the community on their own, believe that there is no chance for reconsideration, they shall formally inform the FPIC Team Leader, who shall lhen formally inform the Regional Director, copy furnished the proponent/applicant. If the ICCs/lPs manifests their rejection of Llie plan, program, project or activity, in any wiitten form signed by the members o.f the community and lhei.r e1ders/1eaders before or dm·ing the FBI, the same shaU be received by the FBI team and the Regional Director shall be notified of the same. Upon receipt of the notice, the Regional Director shall order the conduct of a vcilidation assembly simi1ar to a consensus- building activity :is provided for in this rules to validate the rejection. However, if the rejection is received or made after the FBI, the matter shall be tackled in lhe mandatory activity on consensus-building. If the rejection is affinnetl during the validation assembly, the appropriate resolution of non-consent shall be made, adopted, and signed, and thereafle.r - I transmitted to th,e Region.al Director by t.1-i.e FPIC Team. The Director shall then return the application to the endorsing agency or the applicant, as the case may be, with a transmittal of the resoluLion of non-consent. As a consequence of the adoption of such reimlution, all proceedings in the conduct of the FPIC shall ipso facto stop. No FPIC process for any similar proposal shall be undertaken vn.thi.!1 six (6) monU1s· from L'1e issuance of non-consent.

Section 28. RRT Review. After receipt of the report, the Regional Director , · shall direct the RRT to review the same wit..1-i.in five (5) days. Should t..lie review report be favorable, and the Director finds nothing wrong with Ll-ie same, he shall endorse the record of the FPIC Process undertaken, together with his recommendation/ s to the ADO for appropriate action, otherwise he may direct appropriate action by the RRT or the FPIC Team before he makes hi.s endorsement to the ADO.

Section 29 . .Inaction. The inaction of L"!ie applicant within six (6) months from the last FPIC activity, without justifiable reason, shall be a ground for a termination of the FPIC process to be declared by the Regional Director with notice to the applicant.

Section 30. Donnant Certification PreconditJon. If no activity is undertaken by the prbponent within a year from the approval/issuance of permit, the CP is . 1 considered dorm,ant and thus, upon the report of the Regional Director, the Chairperson shall issue a show cause order directing applicant/proponent why the CP should not be caTJ.celled. Failure of applicant to comply within a non-extendible period of fifteen (15) working day~ from receipt of the order, or to show justifiable reason, the CP .shall be cancelled by Resolution of the Commission, with notice to the concerned regulatory agency, proponent, and the ICCs/IPs. PARTV MEMORA..~DIJM OF AGREEMENT C

Section 31 . Preparation of the Memorandum of Agreement (MOA). When the consent of the concerned com.."TD.unity is obtained, the terms and conditions agreed upon shall be embodied in a MOA to be executed between and among the ICC/IP:;, the applicant/proponent, the NC[P, and any other party Lhat may be necessarily involv:;.R / ff /J / I . I The MOA shall be prepar ed by the FPlC Team strictly in accordance witb what has been agreed,upon by the parties, written in the language or dialect of the ICCs/IPs concerned, and thereafter translated i:nlo Eng!ish and/ or Pilipino. The drafting shall be the primary obligation of the Legal Officer of the concerned µrovincial office. In his/her absence tbe Regional Director shcll designak the Legal Officer from another province lo assist the FPIC Team. Sectio n 32. Contents of MOA. The MOA s!.1all include, but shall not be I • limited to, the following: a. Detailed benefit-sharing provisions in acconlance with rules and regulations [i.e. notless than 1% royalty under mining act]; b. Development projects based on the development priorities of tbe community; c . Monitoring of the implementation MOA to be implemented by NC!P in part.uership with LGUs and CSOs. This undertaking sball be paid for by the company; d. Mitigation and resettlement plans for potential risks ; e. Redress mechanisms; f. Clause on fae non-transferability of L'1.e MOA; g. Clause for renegotiation of the economic provisions; h. Whether the concerned ICCs/IPs shall require another FPlC to be conducted • I in case of merger, reorganization, lrans!·e:· of rights, acquisition by another entity, or joint venture; 1. List of responsibilities of the comp.my and Ll,.c affr:cted community j. Inclusive dates/duration of agreemcnl; k. Other than what has already been granted by law, the benefils to be derived by the host ICC/ IPs indicating Lhe type of benefits, specific targel beneficiaries as to sector and number, the period covered, and other pertinent information; 1. -.. Detailed use of all funds to be received by t..rie host ICC /lP communities, ensuring that a portion of such funds shall be allocated for developxnent projects, social services and/ or infrastructures in accordance with their development framework and the Guidelines on the Management of Royalty Share and Other Benefits promulgated by the Commission En Banc; m. Transparency mechanism on transfer and c..isburnement of funds; n. Detailed measures to protect IP rights and. value systems; 0. Detailed measures to conserve/protect any affected portion of the ancestral domain critical for watersheds, mangroves, wildlife sanctuaries, forest cover, and the like; p. Responsibilities of the applicant as well as the host IP community; q. The monitoring and evaluation system o!: the MOA, to include submission of r~ports and creation of monitoring teams; r. Remedies and/ or penalties for non-complia..>1.ce or violation of t.he terms and . I conditions which incluces app!ica~ility of customary laws and imposition of sanction/ s; s. Deposit of cash or surety bond mentioned pursuant to Section 23 hereof; t. Provision to render assistance in the event of calamities/disasters in the commu:n.ity; \ u. Provision to undertake a new FPlC Process in case of mining activities, after the exploration s tage; V. Provision on the effects of dormant Cl!rtification Precondition; w. Membership of proponent in organizations requiring ethical standards in a particulax line of activity; and X. Other requirements provided .u~ this Guidelines. Corporate Social Responsibility (CSR) or Social Development and Management Projects (SDMP) required under existing laws shall not be considered benefits enumerated above. :.--of I

Section 33. Signator ies t o tb.e MOA. The signatories of the MOA shall be: a. Elders/leaders or their alternates who have been ic.entified during the · I validaticn and authorized by t.he cornmun.ity to sign; b. For corporations, partnerships or single proprietorship entities, the authorized officers, Jepresentatives, or partners per Beard Resolution; and c. The Chairperson shall sign U1e MOA in beha~f of the NCIP as Third Party. For projects where the Regional Director is authorized by this Guidelines to issue the corresponding certification precondition, the MOA shall be signed by him/her in behalf of the NC!P as Third Pc.u·ty. Sect ion 3 4 . M OA Signing. The sif,'11.i.ng of the MOA shall be done within the affected ancestral domain by those duly aut.hori:ted, during a general assem1)ly ca!lt::d for U1e ptU-pose, after its contents is fully read aloud c.nd explained by the FPIC Team, and understood and affirmed by Ll-ie community. Should there be need for any change/s, the FPIC team shall make the appropria~e revision or amendment to the satisfaction of the community assembly. Signing by those duly authorized may lJe done through actual writing/ signing or the affixing of Lhumb marks, provided however, that in case of the latter, a member of the community who is able to read and write shall. sign as an instrumental witness. Those authorized to sign i..t1 behalf of the community, including instrumental witnesses, shall thereafter present themselves before a notary for the appropriate notai.-ial acknowledgment. Sectio n 35. Final Review of the M.OA by t:l\e Legal Affairs Office. The MOA shall be reviewed by the Legal Affairs Office (LAO) prior to the endorsement of the FPIC nport by ADO to the Commission. The legal advisory of the LAO shall form part of the FPIC Ret:,ort of ADO. \ . In cases where the Regional Director is authorized to issue the CP, the MOA shall be reviewed by the Regional Legal Officer or any Legal Offi.cer wb.o has not participated in any stage oft.he FPIC Process. S ect.ion 36. Non-transferability of. Free and Prior !n:ormed Consent. The consent of the ICCs/IPs for a particular proposal shall not be transferable except in cases of n1erger, reorganization, transfer of rights, acquisition by another entity, or joint venture, to any other party, and the same is provided in the MOA: Provided, however, That the transferee shaU assume the obligations of the tr.;nsferor, otherwise another FPIC will be required. The transferee may improve the terms and conditions of the MOA affording or providing greater bene!:its for the ICCs/IPs other than those stated in the MOA, or may propose ofaer tenns and conditions that would uphold the interest and welfare of the concerrned IP community. Such c!lange/improvement in the • I MOA shall bear the approval of the· Commission pun;uan.t to this Rule. In the circumstances mentioned iJ.1. t.llc imP.1ediately preceding paragraph, the transfer ee is required to execute a formul unc.ertaking, with notice to the representatives of the ICCs/1Ps concerned, t.l-iat upon the cffectivit-y of the new set-up or r elation brought about by the foregoing circumstances, the transferee shall faithfully comply with the terms and conditions of the MOA and that they shall observe and assume all the obligations stipulated in the said MOA. In this connection, it shall be the responsibility of the tran_sferor to infonn transferee of the existence of MOA before the perfection of the new set-up or relation. Likewise it shall be the duty of the transferee to inform, in writing, the !CCsjIPs concerned and NCIP of the im pending merger, reorganization, transfer, acquisition, or joint venture and shall be required to submit the necessary documents requii·ed under Section 7 of t ·s Guidelines to ADO and to the representative of U1e ICCs/lPs concerned. f - jd The preceding paragraphs shall not apply when it is expressly provided in the MOA that a new FPlC is r equired in the event of merger, reorgar1ization, transfer of rights, acquisitioa by another entity, or joint venture. . I

Section 37. Compfaints Reiated to tine Meinorandum of Ag~·eem.ent. Any complaint invoh,'ing the interpretation and implementation of the MOA shall be resolved first in the communily using Ll-ieir traditional conflict resolution process. If the complaint is not resolved using the customary system, the complaint shall be filed with the appropriate NCIP Regional Hearing Office (RHO) for disposition. The decision _of the RHO may be appea1ed in accordance wiLl-i the provisions of Adminislralive Circular No. 1, Series of 2003. \ . Sectfo.n 38. Applicability of Cu.stom.a:ry Laws a.11<! !m.pcslti.O!':l of Sandions for Vio1ation of the Terms of the MOA. Any person/party who wi.Ufuliy violal~s or fails to comply wilb. his duty or obligation under the provisions of the MOA may be held liable in accordance ·with the customary laws and practices of L½.e host or concerned ICC/IPs and sanctions may be imposed in accordance therewith: Provided, That the sanctions are not excessive, cruel and degrnding, and wiLh.out prejudice to the exhaustion of conciliation and mediation efforts by the NCIP, and the exercise of the latte.r's visitorial and. injunctive powers. This is without prejudice lo any action that any person or the community may ta..!.::e before the proper courts for the enforcement of civil, criminal or administrative liabi!ity.(48) PART VJ[ . I O'fR.'ER PROCESS!lS

Section 2,9. CommUtnity-SoHcited 11),7. fuiUatec Activities. Programs, projects a.pd aclivities so1.cited or initiated by the concerned ICCs/!Ps Ll-i.emselves where the activity-i,s strictly for the delivery of basic services to be undertaken within m· affecting the ancestral domain, do not require compliance with t..1-ie FBI/FPIC -requirement as provided in this Guidelines, however, they shall be subjected to a v~dation process where the following shall be determined: 1 • a. The ICC, in fact, voluntarily solicited or initiated the plan, program, project or activity to be undertaken; b. The plan, program, project or activity co!1forms wilh the community's ADSDPP or in the absence of fo.e ADSDPP, the concerned community considers the same to form part already of the ADSDPP that they will formulate in the future; c. The ICC knows the extent of the plan, program, project or activity and ils socio-cultural/ environmental impact to the community; d. The parties acknowledge their obhgationi;; or e. The pl.an, program, projecl or activity is for the delivery of basic services or • I livelihood,projects involving community .

Section 40. Projects, programs and activities undertaken by NCIP by itself or in cooperation wit.b. other goven.1.:m.ent agencies and LGU Projects. Projects, programs and activities undertaken by NC!P itself or in cooperation ,,vith other government agencies and LGU projecls shall also be validated to c.etermine if they coincide or complement with the --development priorities of the community and will not in any way adversely affect. their well-be{ng.(n)

Section 41. .Foreign. Funded Proj-ect. U:uclert:ill.l',i.:et1 in Cooperation with the NCIP. NCIP may enter into cooperation with foreign funding agencies for projec~s w development, in which case, the requirements of FP!C may be dispel1sed wLU1 aJ1d that. only validation u nder Lhe preceding sections of this Gu idelines may suffice. Projects undertaken by international funding agencies or institutions uy then1selves or in cooperation with non-govem.ment organizations or institutions shall, however, be subject to the appropriate FPIC process as provided in the applicab:e provisions of this G uidelines or other pertinent NCIP Guidelines. - I S e c tion 42. E.""erc ise o f Traditional Resource -Us e Rights. Gathering, hw1ting and such other t.-aditional use by members of U1e ICC/IP of natural resources found wiU1in their ancestral domain including gathering uf rattan and other forest products for family/personal consumption, subsistence and livelihood, do not require the con duct of the FPIC Process as provided in this Guidelines, provided, that the use shall be limited for the ICC/IPs' traditional use. To avoid circumvention or abuse of this provision, the NCIP shall validate such utilizalion upon the complaint of any member of the council of elders/leaders. ' . S e c tion 4 3 . Objec ts and Process of VaH<iaU.o!!.. Where villid.ation is required in the sections 39, 40, 41, and 42 to determine lhe consent of the Community, the process shall be as follows: (1) The Regional I;>irector, motu proprio or upon receipt of the written request for validation, shall constitute a team composed of not more than three (3) from the provincial office or CSC, as the case may be, to conduct a field validation; (2) The team shall immediately conduct t!1e validation and thereafter subrrut the appropriate report, prepared under oatl1, to the Regional Director within ten (IO) days from commencement faereof; - I I ,. (3) The process of validation shall be c.one through interviews of eldt:rs/ leaders ..~ and other community members; and (4) If the validation yielded positive report, the Regional Director shall within Ll-iree (3) days, from receipt, prepare the CP and validation documents to be transmitted to the concerned commissioner for concurrence, copy furnished \ . ADO. Once concurred, the same shall be endorsed to the Chairperson for conlirmation. Otherwise, L½.e Regional Director shall return the documents to the applicant/ petitioner. Even if an activity is covered under Sections 39, 40, 41, and 42, the NCIP may exercise its injunctive powers upon a written complaint of any member of lhe affected community to enjoin the conduct or continued implementation of the program, project, plan or activity in order to safeguard L~e rights and interests of the community. (34a) Sectio n 4 4 . Emergenc y- Cases . Where the concluct of plans, projects or activities of the government or any civic, religious, or similar organizations within ancestral domains is m response to emergency situations involving public order, health, security or safety including military operations W!thin ancestral domain areas . I when made in connection with hot pursuil operations, securing vital government installations, programs and projects against clear and imminent danger FPIC shall not b e required.

Section 45 . Regu!ation of ~ n try of Migran ts an d Other Entities. All migrants and other entities must first secure the express permission of the community's Council of Elders/Leaders who shall, in accordance with their consensus \ . building process, corrununity practices, customs and traditions and upon the free and informed prior consent of the community members agree to accept such mig~ant_,or entity wiLliin the domains, subject Lo the follO\-r..ng conditions: / ,,,/.' ./ -,/// , ,, // I .. / flV I • a. Said persons and entities can be allowed to perfom1 activities as are expressly authorized and which are not inimical to the development of Lli.c ancestral domains and cultural integrity of the ICCs/IPs, and b. The ICCs/IPs shall maintain the right to i..rnposc penalties for violations of the conditions in accorc.ance wilh lheir customruy laws. • I

Section 46. FP!C of ResetCeo/.Re:oca':ed or Displaced !CCs/IJ!'s Within Public Domains. A group or a community of ICCs/IPs occupying a portion of public domain, whether as a result of a resettlement or relocation project of lhe government or as a result of displacement, has the 1ight under Sec'.ion 7, paragraphs (c) and (d) of the IPRA to be provided with lands of quality and legal stalus al least equal to that of the land previously occupied by them suitable lo provide for their present needs an<.!. future development; hence, the said ICCs/lPs shall not be treated as roigra.11.ts and ca..11 likewise exercise their right to FPlC. ' .

Section 47. FPIC Rights of Resettled, Displac-ecl and Rdocated lPs as we.!.I. as Migrant !Ps Living in Co-existenc e wit.!2 t.he Ori.g5.na1 ltPs within the Domain. In a particular ICC/IP community where there exists resettled, displaced and relocated IPs or migrant IPs mingled or in co-existence "vith the owners of U1e AD, the right to FPIC of the resettled, displaced and relocated or migrant IPs will depend on the custom, practice or tradition of the owners of the AD allowing or disallowing the exercise thereof. Whether allowed or not allowed. by Ll-ie owners of the AD to participate in the FPlC proceedings, U1ey shall likewise be entitled to the benefits by virtue of the MOA and to compensation for damages, loss or injU1y to them or their properties. The obligation to compensate the resettled, disp~ace<l and relocated lPs or migrant lPs of what is rightfully due them shall be recognized by lhe app:.icant in writing either in the MOA or in a separate undertaking made as a.Tl inttgra. part of the MOA. (38) . I S~ction 4-8: Small Scale Quarry i\?provecl by the Local Gcvemment Unit (LGU}. The CP for small-scale quarries, whose pencils are issued by Local Government Units (LGUs) shall be issued by the concerned Regional Director with the concurrence of the concerned Regional Ethnographic Commissioner auc affirmation by lhe NCIP Chairman. A copy of the CP shall be furnished to ADO, the concerned Provincial Officer or CSC Head, as the case may be. I .

Section 49. Community-Initiated or Sol.kitec. Research. Research activities solicited, commissioned or conducted by the concen1ed ICC/IP themselves to be undertaken within or affecting the ancestTal domain, shall be governed by the Guidelines on IKSP/Customary Law research and documentation. !>A."5?.TVI!! E.."'{ERC!SE OF P:R!OR!TY RIGHTS

Section 50. Steps in the Ded.ara".:ion ofEPR by t~e ICCs/!Ps. In Ll-ie declaration of the EPR by a particular ICC/IP cornmuni~y, U1e followi..T1g must be observed: 1. Community Assembly. A community assembly of all members of the concerned ICC/IP .:::ommunity shall be he!d, at the community's own initiative and e:>rpense, wilh notice to NC!P. For purposes of lhis Guidelines, lhe community assembly of all members shall be deemed sufficient and shall proceed after complying wit.½. the folJowing rules~~ f ~y \ . /7 ~ r7L UJ ,J I (a) Every household is entitled to one representative and, at least, majonly of them must be physically present during the communily assembly; (b) Majority of the representatives of Lli.e co!Ilillunity identified as responsible to make decisions for the conununity ai:c also present; (c) If it involves a CADT area, the representativc/s identilied in the claimbook or majority of t:iem must also be present; (d) Public officials, officers or emp~oyces who are members of Ll-J.e community - I may be allowed to participa~e i...'1 the community assembly but as ordinary members, elcers/leac.ers or co1.n01unity representatives, as the case maybe. The community assembly shall take up lhe fol!owing, among others: a . Review of the population of lhe concen1ed ICC/IP community. Reference ~ay be made to the CADT application, the ADSDPP formulated, and/or \ . any other credible source of data/ information; b. Information, Education, Consultation (IEC) on IPRA and pertinent provisions of its IRR and current NCIP guidelines; c. Identification of, and discussion on, the particular natural resource ove1- which the community desires to exercise priority right, including its specificlocation;and d. Customary processes of arriving at a community consensus. 2 . Community Resolution. Should the community decide to exercise their priority right, after complying with the foregoing, a community resolution shall be drafted, discussed, finalized and approved by a majority of all the members of the eoncerped ICC/!P community during fac same e.ssemb!y or in another assembly, as the case may be. The resolution shall, among o~.hers: • I a. Identify the speciiic natural resource; b. Delineate in detail the specific location and area where the subject natural resource is or may be found; c. Describe the capability ru.1d/or capacity of the community to undertake the activity they seek lo engage in as consequence of the EPR; and d. List the names of community elders/leaders who are authorized to make the declaration of EPR. , · The approval of the community rcsolulion by a!l members of the concerned ICC/IP community shall be deemed sufficient and approved if signed or thumb- marked by a majority of all the members and representatives physically present during the community assembly as mentioned i..T1 Article U!, Section (1). 3. Declaration of EPR and EP.R Pla.n. The elders/leaders named and authorized in the community resolution to make the declaration shall mal<e the declaration of EPR. The declaration shaJl include an. EPR Plan which shall contain, .among others, the following: ~ a. General information about the Ancestral Domain and the lCCs/IPs of the area, including indigenous land use p!an, if existing and available; - I b. Purpose of the declaration; C. Natural resource for development, harvesting, extraction or exploitation; d. Specific Location and area of the proposed site/ s accompanied by maps, 3D maps, sketches and/ or other material reference monuments as annexes; C. Projects, progrruns, activities or undertakings to be pursued to realize the-- purpose of the EPR; · ~-iJ f. Scope and duration of operational plan/s for every activity; (f ! <tr µI ~ UJ I . g. Capability of the community to undertake the same or to engage a qualified partner; h . Conformity with the existing ADSDPP and/or lhc Environmental Conse1vation and Protection Program of lhe concerned lCCs/IPs as provided for under the IRR of IPRA; 1. Existence of a duly organized IPO registered and recognized by NCIP; J. Recogcition and Observance of IP Governance/Decision-making processes; k. Existence and feasibility of EPR Plan & ECPP; l. In the absence of a provision in an existing ADSDPP, or non-existence of an ADSDPP, a statement that it shall be so included in the exisling ADSDPP or in the one that shall be subsequently formulated. m. ·How income and/ or benefits will be managed, shared, used and accounted · I for; and n. Name 'and personal circumstances of the authorized elders/leaders who made the declaration and their signatures Of U-lllmb-marks. The community may request the assistance of NCIP in the preparation of their EPR Plan, or an NGO duly accredited by NCIP. 4 . Where to File. The declaration of EPR, along with its annexes, including the community resolution, shall be filed, in five(5) legible copies, with the NClP Regional Office that has administrative jurisdiction over the area declared for EPR. If the same is filed wiLh. any other office of the NCIP, it shall be received and immediately transmitted or endorsed to the concerned regional office. Section. 51. Validation of the ERR Declaratfo-n. and Validating Team. The validation of the declaration of EPR shall be done by a Validating Team to be constituted by the Regional Director from among personnel of L½e appropriate Community Service Center, Provincial Office and/or Regional Office, which must not b'e more~than five (5) persons. The Validating Team s.':l.all use as its reference and/or do the following, among others: a. CADT Claimbook and/or ADSDPP record, if existing. ln the absence thereof, · I the bar~gay census or IP census conducted by tJ1e NCIP, and other official documents produced in the performance of NCIP's mandate; b. AD Profile, if existing,. otherwise the team shall assist community in making one; c. Verify and validate the community resolution , the declaration, and other pertinent data/information; d. Get a copy and validate the Community EPR plan. \ . e. Verify and validate the capability of the community to undertake the activity which is I.he object of their BPR or their capacity to engage a qualified partner.

Section 52. Engaging ~ a part1ter. Should fae community, during the process of validation, inform the Validating Team t.11.at it does not have the financial or technical capability or capacity to undertake the activity relative to which they declared EPR and desires to engage a specific kind of part1~er, the Validating Team shall advise and assist the community make a declaration to that effect, through the elders duly authorized in the community resolution and who filed the previous ~ declaration. After such declaration is made, following the principles of FPIC, a community assembly must be held, at no e:xpen:;e to NCIP except for personnel services, at which time the following matters shall be tal<en up and acted upon: 1. Personal,ity of the proposed partner who shall be a non-member of Lhe community or a juiidical person whose i.nco.rporators ar<:: non-members or a mixture of members and non-members, validly organized and existing under 20 U> ' . ~L 2. Financial and technical cap ability, as well as track record of the prnposed partner ; 3. Proposed terms and conditions of tJ1e proposed partnership which musl include , among others: (a) the duties and obligations of the parties; (b) the determination, sharing, and release of benefi~s; L½e period of partnership; prohibited acts; and Conilict/Djspule resolution; 4. Sharing of exper t opinions by per sons invited by Lh.e community; 5. Open Forum; 6. Consensus-building period w:1ich must include a reasonal>le time frame of activities for such, the manner by which it wi!l be done ,and the date when · I the decil'>ion of the community will be made !mown to the Validating Team, by the authorized elders; and 7. Other matters that the community may deem necessary. The community may decide t.o accept or reject Llie proposed partner. If rejected, other persons may be considered, if any. If accepted, the approp1iate MOA shall be drafted. \ . Sect ion 5 3 . Memorandum of Agree1n,mt (MGA) on Partnership. The MOA between the community and the chosen partner shall be drafted and valid~ted with the community in a validation assembty facilitated by the Validating Team, at the expense of the proposed partner, to determine comp:iance with Ll-ris Guidelines and other pertinent laws, rules and regulations, and the terms and conditions agreed upon during the community assembly. · Se!,,t.ion 54. Report of the Valida.ting Team. The report of t..lie Validation Team, which shall be under oath, must include an executive summary with recommendations. It shall then be submitted lo the Regional Director within fifteen ( 15) days from t11e termi...'1.ation of the validaLi.on period, who shall immediately refer the ::;a.me to the R'R.T for review within three (3) working days. After receipt of the RRT review report, the Regional Director shall ta.!.<e such appropriate action he deems • I necessary, otherwi;,e, he shall forthwith ma.1<e a transmittal of the entire record, with his/her own recommendations, to the ADO Direc~or who, after receipt, shall inlmediately request the LAO to issue legal opinion a'1d furnish the concerned Commissioner a copy of the executive summary. After receiving the legal opinion, the ADO Director shall request for inclusion of Lli.e same in the agenda of t..he CEB for its next en bane session, through the Executive Director. \ . Sectio n 55. Ac tion b y the CEF. After app!opriate deliberation, the CEB may decide to issue L½e formal acknowledgment of EPR and/or direct otherwise, as it deems fit. Should it decide to grant the formal acknowledgment, the same shall be embodied in an En Banc Resolutioi1 and the corresponding Certification Precondition shall be issued accordingly. Should the CEB deciue not to confirm the EPR declaration, its denial and the grounds thereof shall be embodied in a.ri. En Banc Resolution. All su.::h actions shall be transmitted by ADO to other appropriate government agencies, the community, the partner if applicable, and the field office/s. S e c tion 56. L imitation o n Fonnal ikknowledgment of EPR. In no case shall the formal acknowledgment of a declaration of EPR by the CEB be presumed or considered as a grant of CADT to the community over their ancestral domain nor shall it exempt an AD claim from the orocess reouired unc!er the law and the Rules on delineation and titling. It shall not also exeP;?t the community from complying with the requirements i.rp.posed by concerned regulating agencies, nor the ripening into I JlOr/ )'JV" 21 UJ 0· \ .

Section 5 7. Applicability. The foregoing provisions on EPR shall be observed in the processing of all EPR declarations, including those pending before Regional, Provincial and Se.rvice Centers. All EPR declarations officially endorsed/transmitted to the Anceslral Domains Office before or on the clay of cffcctivity of this Guidelines shall continue lo be processed in accorda..11.ce with Admini:,trative Order 0 1, series of 2006 until approved or denied by the Commission. PA.'9..T WJ'.! MANAGEME..'lllT OF ROYA':-TXF...S & S!MlLAR BENEFITS.

Section 5 8 . Nature o f Royalties. Royalties s~all nol only be treated as economic benefits due ICCs/IPs but soci.a.1. justice measure, and in the management of the same, the int,:!r-generational rights of ICCs/IP:s must be recognizc<l, promoted and protected. These are entitlements of ICCs /!Ps as pa.rt of their guaranteed rights under domesli1.: laws and inlemational agreements, conventions or declaratio!ls. Sect ion 5 9. Person Authorized t o M .....:nage. On!y the duly organized, NCIP • I r egistered, IPO of the concerned ICCs/IPs shall be auU1orized to receive and manage the royalties. Protection of the royalties that are received by it shall be provic.ed in its by-laws and manual of operation, provided that, the same shall be compliant, and not be contrary, lo provisions of this Guidelines.

Section 60. Release of Royall::y Fees. The royalties mny be released : a) direcUy to the account of the IPO of the !CCs/lPs duly established for the purpose, or \ . b ) to a Trustee Bank agreed upon which shall, in turn, be responsible for releasei:. to the IPO account. In both cases, no release shall be made by lhe company lo the !PO, or the trustee ban..1<: to the !PO, without the concurrence of the Commissioner from the Region and the Chairperson of NCIP duly secured l>y foe IPO. The concurrence is intended to be a check on tht use of the funds based on £he CRDP. ~ction 6:'... Community Royalty Dev~fo•!).ment Plan (CR!>P). The ICC/IP receiving royalties and similar fees must formulate a development plan for the management and use of the same to be known as the CRDP. In the formulation of the said plan, the ADSDPP must be considered, and the ICCs/IPs can engage the services of a reputable public or private agency to provide consultancy arn!./ or technical services. The CRDP shall be subject to confirmation by the Commission En Banc after verification and validation by the concerned field office. • I

Section 6~. Use of Roya!ty. The royaltits must be used for programs and projects that will redound to the well-being and benefit of ilie lCCs/lPs entitled to it. It should have allocations for: Emergency concerns; Investments which may be short, medium or long term; Livelihood and social development projects which m u st be allocated not less than 30% of each and every release; Education and training of members, basic or professional; Capitalization for cooperative development; Credit facility; Salaries or wages of perso11s engaged to perform professional services; Mutual assistance, and the like. It must never be used as payment for damages caused by the ' . proponent/company's activities to the person and properties of ai.1 individual member, as this is a distinct obligation of the company and not part of royalties

Section 63. Transparency Mechanism. The IPO shall prepare periodic financial reports, and annual financial statements duly audited, and fu.:-nish copies of the same to the NCIP. The same must also be reported to the genenJ. membership during the annual assembly that must be convened to tackle financial and other community or IPO concerns.

Section 64. Monitori.ng and Visitori.a1 Power.s. In the exercise of its mandate to protect the well-being and promote the righls of ICCs/lPs, the NCIP may direct financial and management audits of IPOs managing royalties and other benefits f - I !?ART LY. PROIDBI1'ED ACTS AND REMEDIES

Section 65. Prohibited Acts. After the filing of the application and du1ing , . the period that the application is pending, any of the following acls or omissions are , hereby declared either as acts prejudicial to the interest of the IP community in the attainment of their consent or acts in circumvention of the intent of ti1e law in requiring the free, prior and in.formed consent of ICC/IP communily and are therefore _prohibited: a. By the applicant-. 1) Employment or use of force, threat, coercion, intimidation, at any degree or in any manner, including U1ose done by individuals or group of persons acting for the applicant; 2) Bringing of firearm/ s in the community during visits by the applicant or _group of persons acting for the applicruit. When needed, armecl security shall be obtained Crom local police authorities or the AFP as requested by - I NCIP; , 3) Bribery or promise of money, pnvilege, benefit or reward olher than what is presented by the applicant during the consultative community assembly/first meeting [Sec. 22 and 24] with Lhe elders/leaders; 4) Clandestine or sun-eptitious negotiations with IP individuals, some members of the community concerned or leaders cone, without the knowledge of the council of elders, leaders or majority of members of the community; \ . 5) Donations to Lli.e community or to any of its members for the purpose of influencing the decision of Ll-ie ICCs/IPs. 6) Holding of unauthorized meetin.gs such as but not limited to wining ru.1d/ or dining sessions, and tbe like or such olher activities with the NCIP Official •.,_ and personnel and/ or members of lhe affected com..rrrnnity, with the intention of unduly influencing the result of tb.e FPlC process. 7) Deliberately delaying the progress of the FPIC process which cause division among the concerned ICCs/IPs. b. By the NClP Officer o,· Empfoyee: l. Acceptance or receipt of money, gifts or other valuable thing from the ~pplicant intended to unduly inlluence the outcome of the FP!C process; 2. Consorting with the applicant or \vi.th cmy person connected to or mediating - I for the latter intended to unduJ.y influence Lhe outcome of the FPIC process; 3. Deliberate failure to act appropriately on complaints coming from the community concerning prohibited acts committed by the applicant or the latter's representatives; 4. Gross negligence or deliberate omission Lo perform his duty required of him by this Guidelines; 5. Acting on or performing his duty in consideration of any offer, promise of I • future reward, privilege or benefit from U1e applicant; ·r 6. Undue interference in Lll.e work of the FBIT/ FPICT/ RRT or doing Ll-ie latter's work without being a member thereof; 7. Use of falsified narration of facts in reports, attachments or any supporting documents in the reports submitted with respect. to FBI, ru1d all other necessary documents covered by the FPIC; 8. Holding of unauthorized meetings such as but not limited to wining and dining drinking sessions, ana the like or such other activities with the applicant and/or members of Lb.e affected community, with i_he intention of unduly influencing the result of the FPIC process in favor of the appli.,eant~ and ~- 23 lj; ~ • I 01 . I 9. Demanding or rece1vmg from t.½c applicant, IP community, or support institutions like NGOs, government agencies and institutions money, or any gi.ft, donation or other valuable thing outside the approved work and financial and/or supplemental plan for foe conduct of FBI and FPIC processes. Any 0U1er acts or omission by NClP officer or employee punishable or prohibited \ . under any existing laws, rules and regulations govern.ing public officers/ employees. c. By the IP Community or Member and/or Elders/Leaders 1) Solicitation and acceptance or receipt of gifts, money or other valuable things from the aJJplicant intended to unduly influence the outcome of U1e FPIC process in favor of the applicant; 2) Consorting with the applicant or with any person connected to or mediating for the latter intended to unduly in.lluence the outcome of U1c FPlC process in favor of the applicant; 3) Negotiating or mediating or transacting business with. the applicant with.out proper authority from the affected ICC/IP; and 4) Qiving or promising to give his consent in consideration of any offer, promise, future reward, privilege or benefit from the applicant other than • I what has been provided fo-r or explained by the applica-rit to the_ Council of Elders or Leaders and community members during the consultation meetings. d. Other Prohibited Acts by NGOs/CSOs/GAsfLGUs & Other Groups Undue influence or inlerference wilh the FPIC process or lo the community, either to the members, elders/leaders or their represenlatives, exerted by \ . representatives oi NGOs or CSOs or GAs or local government instrumentalities, includin_g barangay officials and their functionaries, c>..nd those made by other entities or groups witi, religious affiliations.

Section 66. Sanctions. Sanctions shall be imposed only after due notice and after the parties are given the opportunity to be heard, as follows: a) Grave Violations. Commission of any of the prohibited acts by the applicant/s considered grave violations shall constitute a ground for the non-issuance of the certificate applied for. The violation is considered grave when the com.mission of the prohibited act is intentional and h::ts resulted to loss of life or serious damage to property of a.,i IP • I member of the community, committed by means of, but not limited to, employment or use of force, threat, coercion, intimidat!on, violence, including those done by individuals or group of persons acting for the applicant, inclurung repeated commission of prohibited acts considered not grave. Grave violations shall be a ground for disqualification on future applications for . ..:... certificate precondition within ancestral domain areas, without prejudice to filing of appropriate criminal action against the offender under IPRA or the Revised Penal Code and other special laws. The imposition of disqualification can be lifred only upon petition by the individual or entity upon whom the disqualification was imposed, stating the grounds why the disqualification should be lifted. No such petition shall be entertained by the Commission ,vithout the favorable recommendation of the IP community concerned whose rights were-seriously violaled. b) Less Grave Violations. Commission of any of the prohibited acts by or attributable to the applicant, may constitule grounds for U1e suspension of the FPIC process by the :~gional Director until such time that the v i o l a ~ ~ i e n t l f / / ~~I ft/ / / ~\i 2~/L ~- ,- ~\ addressed as cerlified to by the concerned elders/leaders, in which event, the Regional · I Director shall ord~r the continuation of the FPIC process. Less grave violations refer to the commission of prohibited acls intentionally committed, but which do not result to loss of life or serious damage to propc1ty of an IP member of the community. \ For deliberate delay in the conduct of the FPIC process, altributable to the applicant, the application shall, upon order of the Regional Director, be returned to the endorsing agency. If the extent of the commission of the prohibited act would adversely affect the outcome of the community consent proceedings, the said proceedings shaU, upon written request, be suspended by the Regional Dircclor until it is shown that the prohibited act do1:e has already been addressed. c) Commission of any of the prohibited acts by or attributable to NCIP officers or employees will be proceeded against, and proper sanction shall be imposed, in accordance with existing laws, rules and regulations. In addition, he shall be, upon finding of primafacie evidence, immediately divested of his authority to be part of the proceedings upon order of the Regional Director and the formt.:r will be proceeded against criminally a.nd/ or administratively in acco:rdance with the Civil Service Rules - I and Regulations 0!1 discipline. Commission of any of the prohibited acts by or attribulo.ble to the NClP Regional Director or the ADO Director shall, upon finding of prima Jacie evidence, after hearing, immediatc:ly divest him/her of his/her aut½.ority to be part of the proceedings upon order of Hle Commission. In addition, U1e Commission shall file the necessary \ Criminal and Administrative Charges against the erring officer. \ - d)-~Probibited acts cornmitted by any officer or employee of any Government Agencies (GAs) /Local Government Units (LGUs) will be proceeded against, and proper sanction shall be imposed, in accordance with existing laws, rules and regulations. e) Prohibited acts committed by any member of NGOs and other groups or individuals shall be a ground for a warning, contempt or exclusion from the FPIC proceedings applying the Commission's subpoena and contempt powers. i) Commission of any of the prohibjted acts by or attributable to the lPs/ICCs/Elders/Leaders shall be first subjected to customary laws of 6e affected community. When there is no relief, a complaint may be filed by the aggrieved party with the RHO for the enforcement of the decision made under customary laws or for the award of damages. In no case shall the RHO issue an order or judgment for the suspension of the ,FPIC proceedings or for the non-issuance of the certificate applied for, or if already issued, an onlcr or:Judgment for its revocation.

Section 67. ,Jurisdiction of Regiona.l Hearing Officer on FPIC Controversies. Violations of the requirement of FPIC under this Administrative Order shall be dealt with accordingly. For this purpose, cases involving violations of the requirement of FP!C which are within the original and exclusive jurisdiction of the Regional Hearing Officer as provided under Adminish·ative Circular No. l, Series of ~r 2003 shall refer only to cases where the plan, program, project or activity was implemented without the required FPIC.

Section 68. Hearing of Com_._?la.i.nts before Applicatio11 is Endorsed to ADO. Prior to the endorsement of the FPIC application to the ADO, or issuance by lhe Regional Director of the CNO, all complaints involving irregularities in the implementation of this Guidelines, including commission of any of the prohibited acts shall be filed with the concerned Regional Di.rector, copy .furnished the FBI/FPC-Tea.n{ i 25 <7t \ leader. Within ten (10) days from receipt of U1c complaint, the FBI/F.PIC Team shall submit its answer thereto. The complaint shall be resolved by the Regional Director within ten (10) days from receipt of the answer or expiration of the period for filing thereof. The resc.,lution shall address the irregularity or in case of commission of prohibited acts, recommend to the Commission to impose appropria~e sanctions. No motion for reconsideration shall be ollowcd. The remedy of the aggrieved party is to file a petition pursuant to Section 71 hereof witJ.1in ten (10) days from receipt of the decision of the Regional Director. The aggrieved party must be furnished by the Regional Director a copy of the decision O!l foe very date that the decision is rendered. '. The filing of the administrative coinplai...rit shall not, as far as prai.:Licable, stop the FPIC process or of the processing of the applicatio11 unless the sanction calls for it.

Section 69. Hearing of Complai.nts after .tlppli.cation is Eru!.orsed to ADO /Certification Issued. Mer the FPIC application is !:!mlorsed to the ADO, or afler the concen1ed Regional Director issues the CNO, all petitions involving irregularities in the implementation oi' this Guidelines or those involving the commission of prohibited acts shall be filed with the Comrriission through the Clerk of the Commission, in nine (9) copies, with the original copy indicated as such, copy furnished the concerned Regional Director The petition must be verified and a-::compan:ied by sworn affidavits of witnesses, other evidence and a certification of non-forum shopping executed in accordance with L'1e requirements of the Rules of Court. - I . Section 70. 1'ra.nsmittal of Records a.n.d Ccmment. Upon the fiJ.u1g of the petition, the Clerk of Ll'le Commission shall, within three (3 ) days, c'irecl the ADO to forward the records of the FPIC application to L11e Office of U1e Clerk of the ,I Commission or the Regional Director to forward the CNO together with all accompanying documents within ten (10) clays from receipt of the directive. Within ten ( 10) daxs from receipt of a copy of the petition, the concerned Regional Director may file a comment to the petition, attaching therewith such evidence other than those included in the reco!'ds of the FPIC application indorsc:c.: lo the Commission. I •

Section 71. Su,nma,-y Proceedings to Resolve Petition. ln the course of its proceedings, the Commission may require the submission of additional evidence or the conduct of clari.6.catory heru:i..11.gs, a.fter whic~1, the Commission shall resolve the petition within thirty (30) days from the Order submitting L'1e case for resolution. Only one motion for reconsideration shall be allowed which must be filed within ten (10) calendar days from receipt of the decision, resolution or order, with proof of service that a copy of Llie motion was furnished t.11.e other parties to the petition. P A,_qT X FlNAf.., PJROVl:S!ON'S

Section 7'2. At~pZicability t,o Pe1~dtng App,lica.tions. This Guidelines shall apply to all applications for issuance of Certification. Precondition and Issuance of Certificate of Free and Prior Informed Consent by the IP/ ICC received after the effectivity of this Guidelines; Provided, however, That in cases where the application was already received but no FBI was commenced due lo failure of applicant to pay the required fee, such application shall still be covered by this Guidelines. -

Section 73. Separability Clause. In case any clause, section, sentence, or provision of this Administrative Order or any portion hereof is held or declared un~onstitutional or invalid by a competent.. Court, the other sections or portions hereofn which are not affected thereby shall continue to l>e iu full force and effect. f .~ I

Section 7~-- Repea.lir..g Clause. This Admirijstrative Order repeals NCIP A0- 01, Series of 2006. The provisions of other Ci:rcu.!ars, Memoranda, and Administrative Orders, issued by L11is Commission, i.ncons:.stent hereVlith or contrary to the provisions hereof are hereby repealed or mo<~ified accorc!.ingly. Sectfon 75. Effectivity. This Administrative Order shall ta'<e effect fifteen (15) days after ' ts last publication in a newspaper of general circulation and registration in the Office of the National Administration Register, U.P. Law Center, Diliman, Quezon City, Philippines. j./v Approved this ---1.ii__ day of J\;•,-:L'il 2012, al Q 1.1ezon City, Philippines. I . 0~~ /I},, rt..5>,A~ / ___,__ ltd;..Jtk A _ TY. ;?,_,~CY A. B:F_A\VNER ,CONOOITA C. CA!.,ZADO Commissioner Commissioner J).b\~!A.8"- - I D!ONESIA 0. BA.mJA Commissioner ~\ SANT~ ROQUE N. AGTON, JR. ' \ ' . Commissioner Commissioner ~ \ . l ~~~ ,JJ. ~ '-.._j ~NAmA B:?..!mDA B.. PAW!D Chairperson ' . 27